DAC GUIDELINES ON CONFLICT, PEACE AND DEVELOPMENT CO-OPERATION 1997

PREFACE

At the High Level Meeting of the Development Assistance Committee (DAC) on 3-4 May 1995, Development Co-operation Ministers and Heads of Aid Agencies focused on the growing demands, and opportunities, for development co-operation to contribute more pro-actively to conflict prevention and post-conflict rehabilitation and reconstruction.

The Committee decided to launch a programme of work aimed at drawing out lessons of experience in the linkages between conflict, peace and development co-operation; seeking ways to improve the efficiency, effectiveness and coherence of Members' efforts in these areas and providing practical policy guidance to those called upon to design and implement programmes in these complex and often path-breaking areas.

The DAC established a special Task Force for this purpose which began its intensive work in October 1995. 1 The Task Force work has drawn primarily on the operational experience of development co-operation agencies and the knowledge and expertise of outside experts and practitioners, further illuminated by the growing body of academic research in these fields.

The topic areas covered in the different chapters have all been selected as issues of particular concern in the design and implementation of development co-operation for conflict prevention and post-conflict recovery. They range from broad policy questions, notably in the field of assistance for conflict prevention, to much more technical and operational ones, particularly in the areas of assistance for post-conflict recovery.

While the guidelines are primarily concerned with the role of development co-operation in these areas, some activities and approaches described involve broader areas of international assistance and co-operation. This more integrated perspective should help promote greater coherence and co-ordination, while the rules and procedures governing the use of development assistance funds will determine the extent to which they can be used to fulfill these guidelines.

Each section concludes with specific recommendations for donors. Taken together, these may serve as a kind of "checklist" for quick reference. However, the more detailed analysis is also useful for those working in-depth in any of the fields covered.

Given the evolving challenges and learning in the field, these Guidelines on Conflict, Peace and Development Co-operation are very much a "work in progress". A number of important areas have been identified where further guidance should be developed, the DAC is continuing with this work. Moreover, the areas already covered are ones where experience is constantly being reassessed, so that feedback and further suggestions are invited and will be reflected in updated materials in the future.

Participating were: Australia, Austria, Belgium, Canada, Denmark, the European Commission, Finland, France, Germany, Ireland, Italy, the International Monetary Fund (IMF), Japan, the Netherlands, Norway, Portugal, Sweden, Switzerland, the United Kingdom, the United States, United Nations Development Programme (UNDP), and the World Bank. Invited organisations included the United Nations High Commission for Refugees (UNHCR) and the United Nations Department of Humanitarian Affairs (UNDHA).

DAC GUIDELINES ON CONFLICT, PEACE AND DEVELOPMENT CO-OPERATION

I. UNDERSTANDING VIOLENT CONFLICT AND ITS LINKS WITH DEVELOPMENT

A. Conflict prevention – a central development goal

1. Increasingly, violent conflict is taking place within, rather than between states. This intra-state conflict occurs primarily in developing countries, many of which suffer from cycles of civil violence, and its principal victims are civilians. Beyond their direct toll of death and destruction, these conflicts leave behind a legacy of deep and enduring social, political and psychological wounds. They can reverse decades of economic progress and impede future development.

2. Social and political tensions are inevitable in the process of socio-economic development. Although prolonged economic decline can be a potential source of conflict, economic growth alone does not prevent or resolve violent conflict, and may sometimes intensify tensions within society. The possible escalation of these tensions into open confrontation and violence can be a major obstacle to sustainable, people-centred development. Sustainable development must therefore be underpinned by institutions capable of managing socio-political tensions and avoiding their escalation into violence.

3. Work in conflict-prone and war-torn countries has always been a part of development co-operation activities. Helping strengthen the capacity of a society to manage tensions and disputes without violence is a vital part of development work. While it may sometimes be difficult to articulate and analyse, this "peacebuilding" objective must form the cornerstone of all development co-operation strategies and programmes. Development agencies can also be a catalyst for the broader inclusion of societal groups in discussion and negotiation processes. Women, and women's groups specifically, should be encouraged to participate in efforts to prevent conflict and build peace. They can often exert considerable influence in bringing warring parties to the negotiating table, and lend another voice to the search for peaceful solutions.

4. Development co-operation efforts should strive for an environment of structural stability as a basis for sustainable development. An environment of structural stability is one in which there are dynamic and representative social and political structures capable of managing change and resolving disputes without resort to violence. This is one of the primary foundations on which to build social peace, respect for human rights and human rights obligations, equitable access to development resources, and sustainable development. Strengthening economic development will provide a valuable, and often indispensable base for these efforts.

5. While concentrating on fields of action in which it has a comparative advantage, development co-operation can also work with other instruments; including diplomatic, military and economic ones, to strengthen the possibilities for peace and development. Over the long-term, it can contribute to alleviating the root causes of conflict and help to develop institutions capable of managing and resolving disputes in a peaceful manner. Development assistance and humanitarian aid can also help consolidate fragile peace processes by supporting societal reconciliation, political development and physical reconstruction.

6. With their intimate understanding of local conditions, development agencies can often contribute special information and insights on conflict causes. However, we have seen that humanitarian assistance cannot substitute for a long-term and sustained political will and commitment in the international community to support peace. Development co-operation, as well, needs to be much more alert and sensitive to the political context.

B. A framework for analysing conflicts

7. The causes of conflict are varied and intertwined. It is difficult to delineate clearly or weigh the influence of different elements. These range from destabilising social conditions, such as extreme social disparities and exclusion, to government lacking the appropriate mechanisms for the peaceful conciliation of differing interests within society. A comprehensive and integrated knowledge of the needs for state and civil society to work properly together is key to understanding the origins and dynamics of violent conflict. Indigenous capacities may already exist. Supporting them to the extent possible, and ensuring that they are not displaced, can strengthen the possibilities for peace and development.

Box 1. Terms and timeframes Conflict prevention, for the purposes of these Guidelines, refers to actions undertaken over the short-term to reduce manifest tensions and to prevent the outbreak or recurrence of violent conflict.

Peacebuilding and reconciliation focuses on long-term support to, and establishment of, viable political and socio-economic and cultural institutions capable of addressing the root causes of conflicts, as well as other initiatives aimed at creating the necessary conditions for sustained peace and stability. These activities also seek to promote the integration of competing or marginalised groups within mainstream society, through providing equitable access to political decision-making, social networks, economic resources and information, and can be implemented in all phases of conflict.

Structural stability embraces the interdependent and mutually-reinforcing objectives of social peace, respect for the rule of law and human rights, social and economic development, supported by dynamic and representative political institutions capable of managing change and resolving disputes without resorting to violent conflict.

Emergency relief involves immediate, survival assistance to the victims of crisis and violent conflict. Most relief operations are initiated at short notice and have a short implementation period with project objectives generally completed within a year. The main purpose is to save lives. External financial and personnel inputs are often predominant. The most complex relief operations are those resulting from drawn-out civil conflict.

Rehabilitation operations overlap with relief operations and objectives are normally targeted for achievement within two years. The principal aims are to initiate reconstruction of infrastructure at the national and local levels and to save livelihoods. As beneficiary self-sufficiency is a major objective, programme management is progressively put under local control. Cost recovery schemes, large-scale employment generating projects and revolving funds operations can be introduced. In situations of continuing instability, disaster prevention (avoiding a return to the emergency) and mitigation (reducing the impact of any deterioration in the situation) are essential aspects of the rehabilitation effort.

Development operations have long-term objectives, extending beyond two years, and presume conditions of security and a functioning administration pursuing national objectives and strategies in partnership with external actors. Feasibility studies and full project appraisal, economic rates of return, environmental impact assessments and social analysis (including gender) are normal. Beneficiary and local government ownership should be sought.

It is important to note that emergency relief, rehabilitation, and development operations are not necessarily sequential but are often carried out simultaneously. These distinct forms of assistance can be classified based on their immediate objectives and duration, rather than according to any presumed logical or chronological sequence leading from relief to development, which is rarely seen in reality. Failure to ensure that these operations are structured to be mutually reinforcing, however, can result in their becoming mutually undermining. 8. Theories on how and why violent conflicts occur distinguish between structural factors on the one hand, and accelerating or triggering factors on the other.

a) Structural conditions

9. Structural factors, which must be viewed on a long-term horizon, are those which create a potential climate for violent conflict without, however, making its eruption inevitable. They include such interrelated political, social and economic factors as population density, the level and distribution of wealth and opportunity, the state of the resource base, the structure and ethnic make-up of society, and the history of inter-group relations. Certain patterns of socio-economic organisation can result in a high degree of vulnerability to conflict. For instance, ranked societies with sharp patterns of stratification in which a politically-dominant group controls the state and access to wealth, education and status, often suffer from a high-degree of vulnerability to conflict.

b) Accelerating or triggering factors 10. Accelerating or triggering factors are the events, actions and decisions which result in the escalation of disputes into violent conflict. Since triggering factors depend heavily upon the specific context, it is not possible to list them systematically. Some examples include: economic decline, changes in the degree of internal state cohesion; shifts in internal control of the central authority, including the military; change in the internal distribution of power, including access to government power and privilege; shipments of (small) arms; interventions of neighbouring states, regional powers and organisations; and large movements of people and capital.

c) The phases and dynamics of conflict 11. Conflict is not a static, unchanging state of affairs but rather a dynamic process. While distinct phases can be distinguished, they do not necessarily follow a sequential pattern. A combination of factors will generally determine whether a conflict escalates or recedes. Hence, the passage from one phase to another is not necessarily the result of a single event or factor at the exact moment of transition. Notwithstanding the diversity of the causes and escalators of conflict, almost all crises can usefully be subdivided into four main, difficult to separate phases, as follows:

-situations of submerged tensions; -situations of rising tensions; -eruption phases of open confrontation and violent conflict; -fragile transitional and post-conflict situations.

12. In theory, it is possible to define a conflict cycle in terms of peace -conflict -reconciliation. The actual situation is far more complex. It is often quite difficult to define the moment at which peace or normality has been transformed into conflict, or vice versa. A clear progression from conditions of peace to heightened socio-political tensions culminating in violent conflict before receding back again to peace is the exception rather than the norm. Similarly, at a given point in time, certain parts of a country may be at peace while conflict lingers in others, flaring up periodically. Many countries are characterised by both peace and conflict simultaneously. This situation may span years or even decades. C. Sources of conflict and their development links

13. As a general rule, a society endowed with a good balance and distribution of solid social and economic resources, as evidenced by high human development indicators, is able to manage tensions with less risk of institutional and social breakdown than a society marked by destabilising conditions such as pervasive poverty, extreme socio-economic disparities, systematic lack of opportunity and the absence of recourse to credible institutions to resolve grievances. In the absence of such capacity, the following are some of the causes and contributors to conflict:

a) Problems in managing transition and rapid change

14. Processes of basic change often create social and political dislocations; without adequate opportunities to participate in national civil society, the political process and labour markets, this can erode social cohesion, and weaken traditional authority structures. Change can sometimes result in a loss of cultural identity and the uprooting or marginalising of communities. Economic and political transitions also generate tension, especially where the power balance shifts in favour of some groups and away from others. Power struggles can erupt between groups competing in the development process, even where they enjoy some of the benefits of economic prosperity. Transition processes at play during the decolonisation period, the current transformation from authoritarian to more participatory states, and the evolution of former centrally-planned economies, illustrate this.

b) Widening socio-economic disparities

15. Imbalanced economic growth and disparities in the distribution of its benefits can also increase tensions. This may disturb established patterns of production and distribution of income and wealth. The allocation of resources and benefits sometimes reaches only those groups which control the state apparatus. This can result in the marginalisation of vulnerable groups and the neglect of less dynamic regions. These inequalities are particularly important when coupled with increased perceptions of disparity, and a lack of institutions to respond to these inequalities, such as often occurs in fast-growing urban populations.

c) The exploitation of ethnic and other differences

16. Ethnic, religious and cultural differences, in themselves, seldom cause conflict. In an atmosphere of heightened tensions resulting from socio-political conflicts, however, they can offer fertile ground for political exploitation. Factors which may contribute to the polarisation of ethnic and cultural differences include: economic, social and political dislocation resulting from imbalanced development itself; the legacy of colonial boundaries; illegitimate or weak state institutions; the forced assimilation of minorities; and aspirations of increased autonomy by territorially-concentrated ethnic groups.

d) Resource-based conflicts

17. Competition over shared resources can also contribute to increased tensions, without resilient political means to manage such competition. Localised and regional scarcity of water and productive land (sometimes caused by rapid changes in population density), changes in land tenure systems, environmental disruption or degradation, and regional crises, lead to conflicts over the management, distribution and allocation of resources. Conflict over internationally shared resources can threaten the stability of neighbouring countries and sometimes even entire regions.

Box 2. Environmental insecurity and conflict

Evidence is mounting that environmental security can be a significant factor in generating tensions and disputes. Environmental degradation, resulting in poverty and large scale displacement of populations, can work with other factors to precipitate or aggravate violent conflict, both locally and internationally.

In developing countries, major environmental threats may include the deterioration of agricultural lands, growth in populations, and depletion of resources such as fuelwood, grazing land and drinking water. Often these man-made factors interact and reinforce natural forces --for example, when natural flooding is exacerbated by deforestation and the draining of wetlands. Environmental insecurity is created when ecosystems are no longer able to support and sustain the populations inhabiting them.

Large-scale population movements can result. Often groups migrate into areas which are even more environmentally fragile, or disaster-prone, entering into a vicious circle of displacement, environmental disruption and further displacement. It is estimated that at least 25 million people have been affected in this way, and this number is predicted to grow. Competition for, and unequal distribution of, increasingly scarce natural resources can thus contribute to local and regional conflict.

While most man-made forms of environmental insecurity can be prevented, or their effects mitigated, a better understanding of the nature of this multifaceted phenomenon will be necessary in order to formulate appropriate preventive strategies.

e) The legacy of violence

18. Violence and the damage it inflicts sharpen and entrench polarities in society. This intensifies insecurity, hatred, reprisals and revenge, all of which strengthen the "conflict history" of inter-group relations. In addition to hindering economic progress, it can contribute to aggravating the vulnerability of certain groups to adverse conditions, resulting in extreme cases in large-scale humanitarian crises. As a result of the exploitation of ethnic, religious and cultural factors, this often ensures the recurrence of conflict even when general economic conditions improve. Another frequent legacy of prolonged conflict, the ready availability of arms (especially small arms), can also contribute to fuelling conflicts, by enhancing the propensity to resort to violence.

D. External actions to support conflict prevention and peacebuilding

a) Planning a coherent approach to conflict prevention and peacebuilding

19. Conflict is a dynamic process. However, its course can be influenced by international action. Conflict prevention and peacebuilding approaches must be coherent, comprehensive, integrated and aimed at helping address the root causes of conflicts. The close co-operation of all policy instruments (diplomacy, military, trade and development co-operation), based on their respective comparative advantages, is required to ensure coherence and co-ordination. Approaches to conflict prevention must also take account of its potential international dimensions. Neighbouring and regional countries, the United Nations system, regional organisations and other states may all have essential roles to play, with the understanding that those participating directly must inspire the requisite levels of trust in the countries concerned.

20. Coherence of policies and instruments is an important goal for both national governments and the international or multilateral systems. At the national level, this requires coherence among political, economic, diplomatic, military, humanitarian and development co-operation policies. While policy coherence is difficult at the national level where, for example, arms sales may undermine regional security or human rights policies, it is even more difficult to achieve at the international level. A lack of policy coherence among states on questions of conflict and development policies can be the result of real differences in national priorities, approaches to conflict resolution, or ideas about the root causes of conflict, but it can also result from a lack of co-ordination among relevant actors.

21. The long-term role of development co-operation in helping to create appropriate institutions for conflict prevention and resolution is only one of the relevant factors at work. In most cases, the long-term perspective of development co-operation limits its use as a short-term expedient. Nor can development programmes proceed without consciousness of the conflict factors. In all cases, assistance on the part of outside agencies will require a high degree of political judgement to be constructive. Given their own potentially destabilising impacts, development programmes have to be carefully screened to avoid exacerbating existing tensions in conflict-prone countries or regions.

b) Orientations for external support in conflict situations

i) In situations of submerged tensions

22. Even in times of relative peace, structural conditions could over time make a country vulnerable to potential eruptions of violent conflict. Visible actions to address root causes of unrest, based on suitable early warning, analysis of information, and the rapid flow of signals, are vitally important. Activities could be aimed at improving the allocation and management of natural resources, reducing poverty, targeting socio-political activities in support of participatory development, promoting good governance, limiting the flow and diffusion of arms, especially light weapons, civic education, ensuring respect for human rights as well as measures supporting the self-help potential among crisis-threatened population groups, and promoting the creation of dialogue and mediation structures. There is a specific need to assess the divisions within these societies, and then determine the appropriate ways to minimise such schisms.

ii) In situations of rising tensions

23. Where crisis conditions in society become manifest (as evidenced by, for example, social unrest, armed opposition, mass demonstrations etc.), timely prevention measures must be considered and rapidly implemented. Appropriate measures can counter potential triggers that might otherwise push the conflict towards open confrontation and mass violence. Under the rubric of preventive action there are a wide range of instruments available for mediating and settling conflicts. At this stage, it becomes particularly important to monitor and prevent the stockpiling of arms by the conflicting parties. Though short-term measures to de-escalate the crisis will be necessary, long-term efforts aimed at peacebuilding should continue and may even be intensified. Conflict prevention, peacebuilding and resolution initiatives need to be closely co-ordinated if they are to play an effective role in support of other activities. As in the case of the preliminary phase, activities will have the most effect if targeted at the root causes of conflict.

iii) In violent conflict situations

24. In organised violent conflict and confrontation, preventive diplomacy and military measures are generally utilised for moderating conflict, ending hostilities and starting peace negotiations. Humanitarian aid and, where possible, continued development activities should support these efforts. In some circumstances this may require collaboration to implement cease-fires so that humanitarian assistance for war victims and displaced persons can be provided. The delivery of humanitarian assistance in such conditions presupposes assent and co-operation of the parties involved in the conflict. Negotiations with warring parties regarding the deployment of peacekeepers and the organisation of humanitarian aid itself can simultaneously open the way for other diplomatic initiatives aimed at ending the conflict. These initiatives require close co-ordination among security policy, diplomacy, humanitarian aid and development co-operation organisations.

iv) In fragile periods of transition and during the post-conflict phase

25. Peacebuilding and conflict resolution initiatives, in addition to reconstruction and rehabilitation activities, are important for ensuring successful peace negotiations. Of critical importance before reconciliation is possible is the re-establishment of security and the rule of law. Where ethnic or even genocidal violence has occurred, concerted effort will be needed to help overcome the enduring trauma, promote reconciliation, and help prevent renewed outbreaks of violent conflict. This is best achieved by linking measures in the following areas: the demilitarisation of conflicts including disarmament and demobilisation; mine clearance and reform of armed forces; the reintegration of uprooted populations; reconciliation between the parties in conflict, including the creation of mechanisms for peaceful conflict resolution; and long-term economic, social, political and ecological reconstruction that help to alleviate the structural conditions that made the country vulnerable to violent conflict. In this regard, the post-conflict period presents an opportunity for addressing the structural causes of conflict as identified above under the heading "In situations of submerged tensions."

E. Early warning

a) Needs and resources for early warning

26. Early warning can be concerned with the monitoring and analysis of early signals of potential conflict, the escalation of violence and impending humanitarian disasters. Based on this analysis, it can help to stimulate early action. There are different timeframes for different kinds of early warning. Central to an effective conflict prevention capability is the capacity to identify, monitor and analyse the long-term underlying causes of conflict.

27. Building on efforts already being made internationally, the systematic monitoring of early signals of potential conflict can be helpful in anticipating trouble spots in time to respond effectively. This requires selecting, monitoring and analysing key political, social and economic indicators which might include: military expenditures, power-sharing formulae, human rights conditions, ethnic violence, population movements, social and economic disparities, the functioning and access to basic services, freedom and diversity of the press, and external support for extremist groups.

28. Networks with early warning, monitoring and analytical capabilities are worth encouraging. These should be comprised of individuals and organisations that can alert political decision-makers of impending conflicts and that have sufficient credibility to encourage them to act on their warnings. Within such networks, regional and sub-regional institutions involved in conflict prevention often merit special support to strengthen and encourage their early warning capacities --they may also constructively participate in (informal) consultations and negotiations, as well as fact-finding missions.

29. Due reliance should also be placed on field workers and local partners familiar with conditions on the ground to collect and monitor information on conflict potential. This requires a co-ordinated approach, with the pooling of information within the donor community (in particular on long-term solutions for specific problems), between governments, international organisations and NGOs. This will allow refined quantitative data to be augmented by the analysis and judgement of "qualitative" warnings.

30. Effective early warning mechanisms must be able to provide interdisciplinary, integrated analyses that anticipate the questions and needs of policy-makers. They must address what might happen if the situation continues to deteriorate, and how various causal factors are linked. A recognition of this complexity is essential to prevent misguided responses --for example, treating a single factor as the exclusive cause of the conflict --disregarding the complex interrelationships from which it arises. In issuing early warning signals, the tools available to help prevent violent conflict and the appropriate timeframes for action, must be kept in mind. It may also be useful to present policy options or at least point to a set of possible actions, linked to the analysis presented. Alternatively, the formulation of scenarios may make the mass of information more readily usable while enhancing the ability to react swiftly to signs of escalation in violence-prone areas.

b) Bridging the gap between early warning and early action

31. It is difficult to secure attention for warnings very far in advance of a potential conflict. When conflict is more imminent, it is often difficult to agree on needed actions. Thus far, international efforts to create and use early warning (especially on long-range issues) have had limited effectiveness. In part, this is a consequence of the inadequate quality, accessibility, and timeliness of the information provided by forecasting and analysis. Clearly the lack of sufficient analytical capacity, and an analytic framework through which the information can be weighed which would include an integrated analysis of political, social and economic factors, creates critical bottlenecks in this regard. There is also a tendency to monitor the situation as it evolves instead of the long-term structural factors which are more difficult to analyse. An excessive focus on the trigger factors precipitating an escalation towards violence may detract attention from a more effective long-term preventive focus.

32. Even where accurate information and analyses have been made available to policy makers, there has often been a failure to respond. Sufficient political will is a vital connection between information and action. Thus, if an early warning mechanism is to be useful, it must help contribute to creating the political will and capacity to act at the national and international levels, including in the donor community. This may also help to mobilise the necessary resources for a timely response. Possible instruments for multilateral and bilateral preventive assistance can include the following: policy dialogue, including in the context of consultative groups, sanctions, demarches supporting peace processes, and actions to deal with impending conflict. Areas that enhance the capacity and effectiveness of timely political action include: strengthening co-ordination and co-operation; the elaboration of "emergency procedures" (including guidelines for co-ordination); and streamlining existing budgetary procedures for funding preventive activities.

33. The media and public opinion can be instrumental in fostering support for humanitarian action at the political level as well as informing the public of the underlying causes of violent conflict and consequent humanitarian emergencies. International awareness of the potential importance of the long-term problems creating conditions ripe for conflict must be stimulated. The sometimes inconstant and inconsistent interests and influence of the media and public opinion may contribute to an ad hoc approach to conflict prevention, thereby undermining more coherent and sustained efforts and initiatives.

F. The special role of development co-operation

34. A central focus of assistance should be to improve the general economic, political and social climate in partner countries, by supporting measures to improve the legitimacy and effectiveness of the state as well as the emergence of a strong civil society. Such efforts should facilitate the building of consensus on central economic, social and political issues. Assistance for the promotion of democracy, participatory mechanisms in the political system, and the rule of law can all be elements of a peacebuilding strategy helping to integrate individuals and groups into society, building their stake in the system and preventing their marginalisation and potential recourse to violence.

35. At the community level, donors can specifically help facilitate negotiations and reconciliation processes, particularly in the case of weak states or where large areas or regions are outside the control of the central government. Such assistance, having a primary peacebuilding and reconciliation objective, should focus on nurturing the appropriate social or institutional networks and organisations that can act as stabilising points in society in tandem with efforts aimed at the national-level. This can include support for the development of intermediary social organisations such as local NGOs, business associations, multi-ethnic committees, women's organisations and helping marginalised groups obtain better access to justice systems, the civil administration and the media. Realism requires donors to recognise that some governments may perceive active social or institutional networks as a threat and respond accordingly.

36. When a country is in crisis, external efforts to contribute to conflict prevention and peacebuilding may meet considerable opposition from domestic actors in the name of national sovereignty. Outside interventions may be viewed by parties to the conflict as partial to one side. In such politically volatile situations, or when a situations is on the verge of erupting into violence, the role and potential impact of development co-operation initiatives carried out through established authorities must be carefully examined. The continuation of development programmes designed in the pre-conflict phase can therefore be very problematic during civil war. The protection of civilians and aid workers is of paramount importance if aid is to be used constructively in the immediate pre-conflict, during and post-conflict phases.

37. Peacebuilding activities should normally be intensified with the outbreak of violent conflict, to reinforce other efforts and activities. The post-conflict consolidation phase can be particularly fragile and unstable. To address the potential for renewed conflict requires an in-depth, comprehensive understanding of its background and root causes. Measures formulated to deal with the consequences of war, such as reconstruction programmes, should simultaneously focus on preventing the relapse back into violent confrontation.

38. The dynamic nature of intra-state conflicts makes it difficult to distinguish clearly when and where violence ends and the conditions for genuine peace are established. In this light, an attempt should be made to identify, to the extent possible, the common characteristics of different phases of conflict as a contribution to helping the development community agree on what stage a particular country is currently in. Development co-operation agencies must adjust to operating in unstable conditions, and consider the scope for supporting development processes even in the midst of crisis conditions. They also need to be prepared to seize opportunities for conflict resolution, and they need to plan for post-conflict reconstruction. In such uncertain operational environments, however, the risk of failure must be recognised.

39. In formulating approaches towards development co-operation in situations of conflict the following principles must be kept in mind:

-Development co-operation should strive for an environment of democratic structural stability as a base for sustainable development.
-Donors should seek to develop their capacity to analyse the socio-political context in which development co-operation is provided.
-Detailed analytical work should form the basis of judgement to be made on the relative importance of explicitly addressing the root causes of conflict within development co-operation strategies.
-Where appropriate, this should lead to the exploration of opportunities for preventive action. These should build the capacity of partner countries and actors to address the root causes of conflict, and develop the institutions and mechanisms needed to facilitate the accommodation of competing interests within society, and the peaceful management of socio-political disputes.
-Development co-operation is only one instrument of foreign policy: mechanisms for co-ordination between policy instruments available to donor states (military, political, development, and trade) must be strengthened.
-Similarly, greater policy coherence within the multilateral system between political, military and development elements must be encouraged.

II. CO-ORDINATION WITHIN THE INTERNATIONAL COMMUNITY AND IN-COUNTRY

A. Key principles

40. Developing countries are responsible for their own development. External assistance must build on, and not substitute for national capacities, resources and initiatives. A basic principle of development co-operation is that the integration of external assistance into national efforts is the responsibility of the partner country. In essence, the present set of Guidelines is, in itself, an instrument designed to improve co-ordination toward common objectives, for which the country itself should have ownership. This is a dominant concern of the strategies expressed in Shaping the 21st Century: The Contribution of Development Co-operation, OECD, 1996.

41. There is broad agreement on the purposes of aid co-ordination: resources should be delivered as efficiently and effectively as local conditions allow; the contributions of the many donors involved should be complementary and allocated in line with indigenous priorities and policies. Furthermore, external assistance must be managed so as to ease the burdens on partner countries and not add to their own co-ordination problems.

42. Given that co-ordination is voluntary, its success depends upon the extent to which it adds value to the operations of individual donors and agencies. Such value-added results might include independent needs assessment, and access to information or the conduct of diplomatic negotiations on behalf of all donors, in order to secure safe passage and access to victims in areas in conflict.

43. The voluntary character of aid co-ordination also makes it fundamentally different from the concept of "management", which implies substantial control of the various elements present. Good co-ordination should not be construed as forcing all activities into a single mould. Diversity of approaches, including experimentation with new methods, can contribute to co-ordination.

B. Adapting aid co-ordination for countries in crisis

44. In conflict-prone countries, particularly in situations of rising tensions, the need for donors to adopt common approaches is especially important. Yet, it is all the more difficult to achieve in view of the large number of humanitarian and development assistance actors operating during emergencies. Donors often increase their contributions in times of disaster, which usually results in a larger field presence. Numerous international NGOs establish field operations, and national NGOs may also expand their activities. In such conditions, the United Nations organisations have a key role to play on behalf of the international community.

45. In situations of violent conflict a country may not have a government able to define and articulate national priorities and co-ordinate donor assistance. In some extreme cases, the collapse of a central authority can give rise to situations where different factions exercise de facto control in different parts of the national territory. The delivery of relief aid in areas outside government control often requires negotiating with non-governmental or anti-governmental actors in the conflict. As noted in Chapter I, external assistance may be viewed by parties to the conflict as partial to one side.

46. At the post-conflict stage, a negotiated settlement will need to deal with competing interests as regards the future political structure. Pending successful completion of peace negotiations, there may be little certainty as to what power structure will eventually emerge.

47. While the main parties in a conflict generally take part in the formulation of post-conflict reconstruction plans, notably in the context of peace negotiations, the international community may temporarily have to take more initiative than is normal, in identifying priorities and ensuring a proper match between foreseeable needs and anticipated resource availability.

48. In such situations, donors and implementing agencies should strive to work with representative actors at the national, regional and local level rather than defining priorities themselves. Even in situations where the main parties are part of the negotiated settlement, donors and implementing agencies should strive to work with representative actors at all levels. This places a special responsibility on the many agencies involved (UN agencies, bilateral donors, multilateral financial institutions, regional organisations, and local and international non-governmental organisations), to co-ordinate their programmes and ensure that relief assistance reinforces and complements longer term development co-operation.

C. Building-blocks for effective donor co-ordination

49. In practical terms, aid co-ordination is based on five elements:

a) a common strategic framework for assistance;
b) timely access to resources allowing for flexible implementation;
c) leadership among international actors;
d) mechanisms for field-level consultation and sharing of information; and
e) the availability of resources specifically earmarked for co-ordination purposes.

50. Even when these conditions are met, co-ordination can be constrained by differing views on co-ordinating or lead agency mandates and the need for participating agencies and organisations to surrender a measure of independence and accept the consensus implicit in meaningful co-ordination. Successful co-ordination requires discipline by the participants.

a) A common strategic framework for assistance

51. Co-ordination should be based on a broad consensus among the main actors as to how their respective actions and initiatives will contribute to the attainment of shared objectives. Local ownership should be given the maximum effect possible. Since external assistance can never be divorced from the local, national and international political context, this consensus must be based on a intimate understanding of the causes and dynamics of conflict (including the "political economy of war") in order to avoid counter-productive impacts of external assistance. This should include in particular the regional dimensions of conflict both with respect to its causes and potential consequences.

52. Based on this consensus, donors should attempt to formulate and agree on a common integrated strategic framework addressing the contents and priorities of the programme as well as the policy and operational roles of different actors according to their comparative advantages. This situation-specific and time-specific strategy will implicitly define the respective mandates of different actors. Therefore it should be agreed upon at headquarters-level as the strategic approach forming the basis of the dialogue with local counterparts at the field-level.

Box 3. A strategic framework for assistance: an illustrative checklist

A strategic framework articulates the rationale for the programme of relief assistance and recovery. It defines the underlying political, economic and social determinants and provides the context and the logic for a rational allocation of resources devoted to relief, reconstruction and development. Strategic frameworks are both a consensus-building process and a product, and are elaborated in consultation with the government, and other local actors, major bilateral donors and IFI's. It should seek to answer the following questions:

Situation analysis

-What is the prevailing political, economic, social and security environment?
-What are the implications of recent developments, for example the return of a large number of displaced people?
-What is the government's response to these events, in terms of policy, governance, institutions and economic management?
-What are the macroeconomic parameters? -What domestic and external financial resources are available?

Risk assessment

-Can political arrangements that withstand the tensions and stresses of accommodation be reached?
-Can security conditions create an adequate environment to begin reconstruction?
-Can external assistance help overcome the legacy of violent conflict and set in motion a process leading to a more just, humane and productive society?

Programme response

-What are the programme goals, immediate and long-term objectives?
-What are the principal programme components aiming at conflict resolution, reconciliation and recovery that need external support (e. g. reintegration and reconstruction, capacity-building, governance and judicial systems)?
-Is there a road-map for reaching those goals (including a transitional "safety net" covering basic needs for food, water, shelter and medicine provision of basic health, education and other social services and infrastructure; support for a return to productive work and sustainable livelihoods; strengthening of indigenous community-based management and administrative systems)?
-Is there a gender strategy available or being prepared on major thematic programmes such as security sector reform, national reconciliation, institution-building?
-How is the available budget apportioned between the above objectives?

Requirements for success

-Where are the critical requirements for successful programme implementation?
-What is the capacity of local groups and communities to identify and deal with their needs?
-Has specific attention been given to the role women can play in reconciliation and reconstruction?
-Is effective co-ordination amongst national and international actors in place?
-How can short vs. long-term needs be reconciled and dependency avoided?
-Have exit arrangements been formulated for all forms of direct support?
-Are resources available to cover recurrent costs?

1. Strategic frameworks for assistance have tended to focus on countries recovering from crisis and conflict. Similar approaches in cases of conflict prevention are not well developed.

53. Based on a shared analysis of the most pressing needs for political, economic, administrative or social rehabilitation, this strategic framework can provide a guide for prioritising resource allocations across sectors and geographical areas, determining the division of labour amongst actors, and defining common approaches towards key policy issues. By definition, it is not a list of projects but rather a dynamic instrument mapping out the transition from relief to longer-term recovery assistance.

54. This strategic framework should also play a key role in facilitating the phasing out of humanitarian assistance, avoiding the creation of dependencies perpetuating aid supported activities and in helping to ensure that longer-term assistance is provided within the context of a sound macroeconomic stabilisation plan. This is covered in more detail in chapter V.

b) Flexible resources and procedures

55. The availability of flexible resources, combining elements and features of emergency relief and development, contributes to effective aid responses in unstable environments. Countries emerging from crisis and conflict typically find themselves on the edge of bankruptcy and need some immediate injections of funds in order to maintain basic services and avert further economic destabilisation.

56. Planning, programming and disbursement procedures must allow for timely responses to changing circumstances and take account of the exceptional human resource constraints facing many countries emerging from crisis. Flexibility with regard to the areas and activities eligible for support, in line with the special needs and priorities of countries in crisis or recovery, is also essential in order to strike a balance between immediate humanitarian needs and the requirements of rehabilitation, long-term reconstruction and peacebuilding. Timely fulfilment of pledges for resources is also critical.

57. Flexibility on the part of donor agencies must be reflected in the way fund-raising instruments (expanded consolidated inter-agency appeals, special donor consultations, round-tables, consultative groups etc.) are prepared. By mapping out clearly the rationale and funding requirements of peacebuilding and reconstruction programmes, the strategic framework can help guide donors in their decisions, relative to aid resource allocations.

Box 4. International framework for resource mobilisation: Experience from Cambodia The civil war in Cambodia lasted for 13 years before a cease-fire was finally achieved with the signature by the concerned factions and countries of a peace agreement in October 1991 (Paris Agreements), forming the basis for a comprehensive peace process.

The Paris Agreements also prompted the international community to increase its aid to Cambodia. At the Ministerial Conference on Rehabilitation and Reconstruction of Cambodia held in Tokyo in June 1992, a total of US $880 million was pledged by the participating countries and international organisations. There was also agreement to establish the International Committee on Reconstruction of Cambodia (ICORC) as the co-ordinating mechanism for medium-and long-term reconstruction assistance to Cambodia. Three ICORC meetings were convened in September 1993, March 1994 and March 1995, which led to a total pledge of US $1 079 million. The total ODA volume from DAC Members and international organisations doubled each year from 1990 to 1993. Multilateral financial institutions, such as the IMF and the International Development Agency (IDA), also began to offer full-scale financial assistance from 1994.

ICORC has thus not only proved to be effective as the core group for co-ordinating international aid but has also played a catalytic role in mobilising aid resources towards Cambodia. One of the key factors which accounted for the relative success of the Cambodia peace process was the steady fulfilment and execution of aid pledged by the countries concerned. This contributed to the gradual stabilisation in the daily lives of the Cambodian people.

By 1996-97 international assistance for Cambodia was entering a new phase. The ICORC functions were being taken over by the Consultative Group (CG) meeting. The first CG for Cambodia was held in Tokyo under the co-chairmanship of the World Bank and Japan in July 1996. The total amount pledged at the meeting --US $501 million --was almost equal to the amount of external resources required by the Cambodian government in the same year.

c) Leadership among international actors

58. While always seeking to encourage local capacity, ownership and responsibility, reaching consensus on, and commitment to, a common strategy may require a facilitating mechanism for external partners. This may include the designation of an independent co-ordinating authority to monitor donors' adherence to agreed principles.

59. Experience suggests that the co-ordination of technical and financial assistance benefits from the leadership of a bilateral or multilateral agency or donor that is recognised as credible by donors and aid recipients. Different agencies and donors have performed this role and it seems appropriate that flexibility in assuming leadership be retained. The lead agency is responsible for the proper dissemination of information in the otherwise disorderly environment which is likely to exist during or in the aftermath of the crisis. This is vital in order to ensure that the various activities supported by donors are consistent with agreed-upon policy principles, and are mutually supportive.

60. In addition to even-handedness towards the main parties in conflict, criteria guiding the selection of a leading agency or donor include:

-commitment to the leadership role and willingness to take the corresponding risks, including the possible need to take decisions that may not be favourably interpreted by public opinion in the donor country;
-knowledge of cultural, historic, ethnic and linguistic factors of the country or region;
-previous track record of effective support in crisis situations;
-capacity to mobilise qualified and experienced personnel promptly;
-capacity to mobilise significant financial resources.

d) Mechanisms for operational consultation

61. Within the context of an agreed strategy, co-ordination at the operational level requires clearly defined headquarters-field relations and the delegation of sufficient administrative and financial authority for field personnel to be able to respond to changing circumstances. In some agencies, this may require greater decentralisation of responsibility as well as the availability of specially selected and trained field personnel.

62. The peacebuilding process must be complemented by initiatives targeted at the grass-roots level. The mechanisms of co-ordination for relevant assistance therefore should be as decentralised as conditions permit, involving established national, regional and local capacities. At the local-level, the number of actors is normally more manageable than in the capital, so that a representative cross-section of the organisational interests at hand can meet regularly. This contributes to the effectiveness of co-ordination.

63. The importance of having a common information base and a shared assessment of the situation and its evolution cannot be overestimated. Many co-ordination problems arise from varying perceptions among actors, resulting in differing opinions as to the potential impact of assistance.

64. All parties should be encouraged to pool information regarding the evolving socio-political and security situation, and on progress made in the execution of the programmes and relevant actions taken by the government. Each actor should have at its disposal information on all relevant factors, including, the assistance provided by others, in order to make informed decisions. Information gathered in the field regarding programme impact, failures or inconsistencies must be transmitted to senior decision-makers at the field and headquarters' levels.

65. Not all organisations and agencies involved can necessarily attend meetings of a co-ordinating entity. Where NGOs are present in significant numbers they should be encouraged to create co-ordinating structures of their own, which can represent them in larger co-ordination and information exchange mechanisms.

66. The large volume of resources mobilised for relief and rehabilitation makes it essential to establish an up-to-date, systematic means of tracking aid flows. In this context, there is an urgent need to develop common definitions of the related nomenclature, i. e. statements of intent, pledge, commitment, obligation and disbursement. Different understandings of the same terminology can lead to confusion in the field and in headquarters and hinder attempts to develop shared databases.

e) Earmarking resources for co-ordination

67. Co-ordination requires resources. United Nations agencies, which have general co-ordination mandates cannot usually accommodate co-ordination requirements within their normal administrative budgets. Accordingly, they fall back on financing co-ordination work from project funds or from the proceeds of special appeals to the donor community. In a few cases, co-ordination costs have been covered under peacekeeping budgets voted by the General Assembly. The lack of predictability of these various methods for raising resources for co-ordination have often led to seriously underfunded situations, false economies and inefficiencies.

D. Partnerships and division of labour

68. UN agencies and other multilateral organisations are often called upon to assume a wide range of responsibilities, including co-ordination and leadership, in relation to international co-operation for relief and development assistance. This is based on an appreciation of the fact that co-ordination of external assistance is best exercised by a body perceived to be even-handed and at the same time able to embody the collective purpose of the international community. Where these organisations are not judged appropriate, other co-ordination mechanisms can be established, as noted above.

69. NGOs are significant actors in crisis and post-crisis situations. Their sheer number, diverse mandates and varying operational capacities make co-ordination essential to ensure the coherence of their combined efforts. In the absence of an effective NGO co-ordination mechanism, the mandates and fund-raising approaches of certain NGOs may skew their assistance away from effectively meeting priority needs as seen from a government, UN, or bilateral perspective. Donors relying on NGOs as channels for their assistance have a responsibility to ensure that the organisations they finance have the capability to undertake the tasks allocated to them, and conform to agreed policies, programmes and standards of behaviour.

70. The delivery of humanitarian assistance in the midst of violent conflict entails facing particularly difficult and dangerous conditions. NGOs are principal delivery vehicles, and UN specialised agencies are often heavily reliant upon them as implementing partners. As NGOs are often the first to initiate relief operations, they face particular challenges. The exceptionally difficult circumstances in which humanitarian operations are conducted to meet immediate life-saving objectives can detract from needs assessment and co-ordination efforts. This context must be kept in mind in evaluating the performance of NGOs.

Box 5. Co-ordination of humanitarian assistance in Angola

Angola returned to civil war in October 1992, after only eighteen months of peace. The resumption of fighting, and resulting humanitarian crisis took most humanitarian agencies by surprise. Within a few years, about four million Angolans were in need of emergency relief. This number almost doubled over the course of 1993 and 1994. Heavy fighting took place throughout the country. The economy collapsed, agricultural activities ceased, commercial ties broke down, social services stopped and families were separated.

In March 1993, the Government, which no longer had access to most of the territory, asked the United Nations for help in confronting the mounting humanitarian crisis. Leading donors and NGOs called for a mechanism to co-ordinate humanitarian relief. This led to the establishment of the Unidade de Coordenacao para Assistencia Humanitaria (UCAH) by the UN Department of Humanitarian Affairs (UNDHA).

Co-ordination not operation

Established for the purpose of co-ordination, UCAH was not charged with the implementation of programmes. This allowed it to play a leading role in objectively assessing the humanitarian needs of the populations affected by war. In this function, UCAH could draw upon the experience of staff seconded to the unit by the principal UN agencies in Angola.

By defining the roles and responsibilities of the various agencies involved, UCAH created acceptable conditions for co-operation. UN agencies would concentrate on "macro-level" issues such as logistics or security while field-based NGOs would focus on "micro-level" issues such as the food distribution in villages and towns.

Politically neutral and operationally independent from the UN Verification Mission, UCAH could furthermore negotiate with both the Government and the rebel movement Uniao Nacional para a Independencia Total de Angola (UNITA) in order to identify the populations most in need of assistance and obtain safe access for relief supplies.

Co-ordination in practice included the following elements

Information exchange among bilateral donors, UN agencies and NGOs involved in emergency relief activities. This included weekly bulletins summarising main events related to the various ongoing humanitarian programmes; briefing notes on key cities and provinces; situation and needs assessment reports; and special reports on sectoral issues such as agriculture and nutrition.

Regular consultations with bilateral donors and NGOs explored specific issues and programmes, needs assessment at field level and the co-ordination and mobilisation of resources. UCAH also assisted NGOs with communication and transport, and backed their fund-raising efforts by including them in the appeal process.

Joint needs assessments were conducted with the Government or UNITA, as well as bilateral donors, UN agencies and national and international NGOs. It is noteworthy that UCAH was able to secure the co-operation of UNITA despite the sanctions imposed against the latter by the UN Security Council, following the resumption of hostilities.

Linking relief and long-term development

UCAH understood the need to frame relief actions in the context of longer term requirements of reconstruction and development. In February 1994, when the prospects for successful peace negotiations improved, UCAH highlighted the need for bilateral donors, UN agencies and NGOs to plan for post-conflict reconstruction and rehabilitation. Priority programme areas included the reintegration of displaced people and former combatants and demining.

E. Best practices identified

71. Donors and implementing agencies have an interest in co-operating to ensure that:

-the prerequisites for sound co-ordination are established and that adequate financial resources are provided for this purpose;
-to the extent possible, and wherever appropriate, the government is encouraged to lead the co-ordination process;
-government agencies are provided with the necessary technical assistance to perform emergency management functions.

72. Efforts at co-ordination should concentrate on promoting coherent approaches to critical objectives. Whatever the mechanisms established, care must be taken that co-ordination does not inhibit rapid responses and innovation by individual donors. Within an agreed strategic framework individual actors should conduct their operations according to their own comparative advantages. Indifference or lack of support for the work of the co-ordinating entity may, however, undermine its effectiveness. Active support can be expressed in several ways, such as by:

-freely subordinating "proprietary" or other interests in order to buttress consensus programmes and policies recommended by the co-ordinating entity;
-streamlining regulations and simplifying procedures;
-staying within the confines of the common strategy agreed amongst donors and recipients;
-contributing to trust funds set up by the co-ordinating entity to advance agreed policies and programmes;
-assisting in the collection of information so that comprehensive data may be assembled on current aid programmes;
-offering to second staff to the co-ordinating entity and actively participating in co-ordination work.

73. In order to improve co-ordination of activities undertaken by NGOs, donors and NGO-funding partners (including UN agencies) should:

-Agree on common principles for funding specific kinds of operations, activities and costs, including items such as the funding of overhead and recurrent costs.
-Ensure transparency in funding NGO activities in order to avoid gaps and duplications between funding sources.
-Establish criteria for oversight and accountability of NGO-activities funded from public sources in accordance with agreed performance standards and basic humanitarian principles. The monitoring of performance should not be confined to questions of efficiency and cost-effectiveness but should also include adherence to the common strategy agreed to by donors.
-Encourage and support the activities of local NGOs, strengthening their capacity for networking with international sister-agencies.
-NGOs and others delivering services in conflict and post-conflict situations need to have gender integrated staff, to ensure appropriate communication with, and delivery of services to, the target populations.

F. Key orientations for donors

74. All parties should support the co-ordinating entity, co-operate in its effort to collect and process information, and --whenever possible --rally to its calls for joint action.

75. Programme managers and operational staff in the field are the best-placed to observe and judge what actually works and to identify synergies or overlaps between different programmes. Field level co-ordination requires special mechanisms to agree upon the main rules of co-ordination and the means to translate them into practice.

76. NGOs are often bound by the principles of impartiality and independence in the delivery of assistance. Seemingly impartial interventions can contribute, however, to aggravating tensions and can undermine the general objectives and principles agreed upon by donors as a group. It is the special responsibility of donors to monitor the organisations whose programmes they finance to ensure that recommended policies are being observed. Unless funding governments are ready to insist upon, when necessary, adherence to a given policy, co-ordination may suffer.

77. Local NGOs and other entities of civil society --given their local knowledge and human resources -- may have a comparative advantage in providing support in a number of fields. These may include community development, local-level dispute management, post-crisis social and economic rehabilitation and post-conflict reconciliation and, more generally, capacity-building for disaster management. Compared with their expatriate counterparts, they may also place more emphasis on the sustainability of assistance. Local NGOs, whether independent or affiliated with an expatriate NGO, should be invited into operational and co-ordination mechanisms as full partners.

78. In the immediate post-crisis phase, there may be a period of uncertainty as to which agency should assume the co-ordination role or act as lead agency. Several organisations may be suitable and willing candidates. This signals the need for an authoritative mechanism under which the responsibility for co-ordination is assigned as early as possible, in order to minimise any potential institutional controversies. This may have to be complemented by mechanisms and procedures helping to move more rapidly to resolve differences of opinion.

79. Embassies are normally familiar with the various policy and funding issues, through their exposure to other in-country co-ordination networks, to World Bank-sponsored Consultative Group Meetings or Round Tables co-chaired by government and UNDP. They should thus be well-positioned to bring their experience and insights to bear on the co-ordination process and to integrate bilateral activities in the overall programme. These in-country co-ordinating networks should also take account of the regional dimensions of the issues they address.

80. A degree of competition may develop in the field when implementing agencies vie with each other for resources and donor support. Donors need to be aware of such competition, as it can have a crippling effect on co-ordination and effectiveness. Transparency among the various funding sources of NGO activities can greatly enhance co-ordination efforts.

81. Sectoral committees or working groups responsible for the articulation of sector-specific policies and programmes can greatly facilitate the effectiveness of co-ordination efforts. If these committees cannot be established under the leadership of the host government, they should at least include its active participation. Donors and implementing agencies can then take part in these committees where they have a particular interest. It is also possible to assign leadership responsibilities for each committee to a specific donor agency.

82. The costs of co-ordination, in terms of financial resources and staff time, must be explicitly taken into account in the formulation of aid programmes and budgets. Failure to earmark sufficient resources can severely impair co-ordination efforts, ultimately resulting in duplication and other inefficiencies.

Box 6. Co-ordination among multilateral agencies

In 1991, the United Nations General Assembly established, under the authority of an Emergency Relief Co-ordinator, a Department of Humanitarian Affairs (DHA), with a clear mandate to take a lead role in the co-ordination of emergency aid in crisis countries. The DHA relies on the support and comparative advantage of other UN agencies that are able to bring technical or specialised contributions to the process. The following organisations have recognised mandates and responsibilities in the area of humanitarian protection and assistance:

-the UNDHA Emergency Relief Co-ordinator, for the overall co-ordination of humanitarian relief; -the country-level UN Humanitarian Co-ordinator, who with rare exceptions is also the UN Resident Co-ordinator for Development Operations;
-the UN High Commission for Refugees (UNHCR), for the needs of refugees and persons in refugee-like situations;
-the World Food Programme (WFP), for the provision of food relief; -UNICEF, focusing on the needs of women and children;
-the International Organisation for Migration (IOM), for migration activities; -International Committee of Red Cross (ICRC) and the International Federation of Red Cross and Red Crescent Societies (IFRCS), for general relief activities.

In most humanitarian crises, the provision of emergency assistance is combined with reconstruction and development efforts. Humanitarian actors must ensure that relief operations do not undercut the long-term objectives of development initiatives. In the multilateral sphere this falls within the fields of competence of:

-the United Nations Development Programme (UNDP), which deals with the full range of development issues;
-the International Monetary Fund (IMF) and the World Bank, which advise on macroeconomics frameworks;
-specialised UN agencies and other UN programmes, each within its sector of interest, which co-operate as part of the UN Resident Co-ordinator System.

Given the frequent mix of emergency and development interventions, DHA and UNDP have worked to establish a structured and close relationship. The complementarity of mandates should enable these organisations to help bring together the various programme components in consolidated appeals for resources and to shape consensus among aid agencies on policy matters that affect the programme.

At the country level, the UN resident co-ordinator will normally assemble a "Disaster Management Team" and co-ordinate the humanitarian assistance of the UN system on behalf of DHA, seizing opportunities to facilitate the transition from relief to development.

In some countries peacekeeping operations of limited duration are established by the Security Council, giving the UN added responsibilities in the political and military area. All such activities are then co-ordinated by the Special Representative of the Secretary-General, to whom all UN entities and specialised agencies involved arerequired to lend their support.

III. FROM HUMANITARIAN RELIEF TO DEVELOPMENT: SOME OF THE CHALLENGES

A. External assistance in conflict situations

83. External assistance in complex emergencies injects substantial resources in an environment of acute scarcity, where control of resources is an important objective for contending parties. Aid is often assumed to be a powerful lever for peacebuilding and reconciliation, but it can also be counter-productive, aggravating the competition between the parties in dispute, and raising the stakes in the struggle for political control. In situations of open conflict, the right to humanitarian assistance must be maintained. At the same time, donors should be aware that even if aid is intended to be impartial in scope and purpose it can often be perceived as being the reverse, mainly favouring one of the warring parties. Aid therefore does bring a risk of fuelling tension, either as an inadvertent by-product or due to manipulations by controlling distribution.

84. Although the need for impartiality is not in dispute where humanitarian matters are concerned, it can be very difficult to operationalise in conflict situations. In cases of outright violation of human rights, ethnic cleansing, genocide or other war crimes, even-handedness, within clearly articulated and respected humanitarian criteria, may be a better guide, though also difficult to put in practice. Even-handedness is achieved when the sum of external assistance is provided in such a manner that none of the parties to conflict is able to accrue politico-military advantage. This implies that external assistance is perceived by the warring parties as being provided in a balanced way.

85. Given the inevitable political context in which humanitarian aid is provided, experience has shown that aid agencies must guard, in particular, against the following situations:

-Warring parties may try to monopolise access to humanitarian resources, in particular food, to gain political strength through the control of such key resources. Alternatively, they may benefit indirectly from selling stolen aid supplies.
-Humanitarian aid may indirectly contribute to the continuation of conflict by allowing the belligerents, whether established governments or opposition movements, to evade or defer their responsibility to address the urgent needs of civilian populations and to seek political solutions to conflict.
-Programmes which result in more attention being given to returning refugees than to internally displaced persons and other groups affected by conflict can create tensions between these groups.

86. In an environment of long-standing enmity, it will often be necessary to negotiate with the parties to secure safe passage for humanitarian relief supplies. This may serve to convince the antagonists of the even-handedness of external aid interventions and ultimately enhance the ability of aid agencies to contribute to the resolution of the conflict. Conversely, offering payment to the parties in conflict to secure access to people in need of relief can directly contribute to reinforcing the power and legitimacy of the forces of violence. The process of negotiating access for relief deliveries can also result in high-levels of diversion and biasing of assistance away from those areas in greatest need.

87. It is also essential to avoid creating dependencies among the recipients of aid. Short-term and long-term goals in relief operations can be contradictory; what makes good sense in terms of saving lives may in some circumstances make longer-term solutions harder to attain. Three examples will suffice: -Free distribution of seeds and agricultural implements to farmers after a period of violent conflict may alleviate food shortages during the first few cropping seasons following the crisis. However, it can also produce a situation of dependency if it is continued and farmers take free distributions for granted reducing their savings and investment accordingly. Also, the free distribution of agricultural inputs to farmers cultivating on squatted land can contribute to legitimising their occupancy, sowing the seeds of future conflict when the rightful owners return. Thus, short-term considerations, such as the urgent need to "jump-start" agricultural production and the administrative burden involved in recovering the costs from beneficiaries can contradict the longer-term objectives of promoting self-reliance and reconciliation.
-The geographic concentration of people may, from a logistic point of view, facilitate the delivery of relief aid. But it may also foster dependency by distancing people from their normal means of livelihood and weaken social cohesion.
-Relief has a significant impact on local administrative institutions, which are often by-passed and weakened because of the alternative capacity of well-equipped NGOs. Reducing vulnerability and building capacity to cope depend on the evolution of competent local institutions. While heavy use of expatriate teams may be unavoidable at the start, the hand over to local institutions must be a priority.

88. Avoiding these pitfalls requires an intimate understanding of the local, national, regional and international dynamics of the conflict. External assistance must also be carefully monitored so as to identify counter-productive impacts and to harness political forces, groups and entities in support of peace and long-term reconciliation. In particular, the benefits derived by certain groups from conflict and its perpetuation (e. g. status, material gain, economic livelihood, political support, sense of individual and collective identity) need to be examined, and the political obstacles to conflict resolution identified.

89. The social impact of relief aid on different groups must also be examined. Men and women have different material and social needs, which can be considerably affected by violent conflict. Insecurity and forced displacement can result in a redistribution of access to, and control over, critical resources such as land, labour, tools, seeds. Social relations are often redefined, with new roles emerging for both men and women, and traditional values are often undermined. Relief and rehabilitation strategies that understand and respond to men and women's differential vulnerability, and support their coping and survival strategies, can result in higher-impact, more cost-effective assistance.

90. Gender should be a prime consideration when distributing resources in the context of relief and development assistance. For example, distribution of food to men can undermine women's roles in managing household food consumption, with lasting socio-economic consequences. As important providers of resources aid agencies themselves can often help develop new roles for men and women, where appropriate, and help establish new networks of social relations.

91. The search for solutions to questions of whether to distribute through community structures, to household heads or to individuals, should begin with an understanding of the effect on gender relations. Gender analysis should identify men and women's differing vulnerability to crises as well as their different capacities and coping strategies. It can also help identify unequal power relations underlying social organisation so that the findings can be applied to ensure that women are not further marginalised by relief interventions.

92. Giving women influence in decision-making and support for effective mechanisms for participation are key elements of a gender-aware approach. This will require staff with the appropriate training to establish the methodology of programme appraisal to identify gender-based vulnerabilities and responses. Early in the consultation process means should be sought to ensure that women are represented in the local institutions. Thorough consultation may not always be possible in periods of acute crisis. Therefore, mechanisms to give all actors a voice in decision-making processes should be set up as soon as possible.

B. Lessons learned

93. In crises, the media and public opinion in donor countries can generate strong pressures for a quick aid reaction, which result in a large-scale aid response. The humanitarian imperative of responding rapidly to the needs of the largest possible number of victims is often the only viable option, and public sympathy and the media can help mobilise the resources necessary to provide relief. Such situations, however, are not necessarily conducive to considered decisions on how best to intervene. Inexperienced NGOs may hinder the work of established actors, and media attention can distort assessments of priorities, affecting the formulation of assistance programmes.

94. Agencies and NGOs specialised in disaster relief have made significant contributions in many emergencies. They have concentrated on saving lives and relieving suffering, paying less attention to the longer-term needs of recipients. There is a real need to introduce longer-term planning at the early stages of a crisis in order to promote self-reliance and avoid dependency on continued external assistance. As NGOs are often the first on the scene, they may also be thrust into policy decision-making roles by default and their actions may set the course for later programmes. The policy gap which often exists at the beginning of a crisis cannot be ignored.

95. Relief aid unaccompanied by planning beyond immediate needs can also contribute to weakening the local administration. In crisis situations, local organisations, often already weak, can be totally overwhelmed where international relief agencies set up parallel systems to procure and distribute humanitarian aid. When relief agencies leave, there is an administrative vacuum that hinders the rehabilitation effort.

C. Bridging relief and development

96. For the purpose of analysis, the transition from emergency crisis to long-term development has often been described as a "continuum". This does not, however, conform to actual situations which follow no set pattern, chronology or order. Emergency relief, rehabilitation work and development assistance all co-exist in times of conflict and crisis, and they interact in innumerable ways. The challenge is to overcome the functional distinctions of the various agencies involved and to integrate, rather than merely co-ordinate, relief, rehabilitation and development objectives within the framework of a long-term strategy.

97. Periods of extended crisis offer opportunities for investments aimed at improving the capacity to cope with crisis, particularly among vulnerable groups. For example, building up emergency food and seed stocks at the community-level can contribute directly to limiting the risk of massive dislocation of people when disaster strikes, reducing the impact of humanitarian emergencies and the need for relief assistance. In practice, the recognised importance of disaster preparedness in sustainable development strategies is not matched by resource allocations, which are usually a small fraction of funds devoted to humanitarian assistance.

98. It is often possible to reconcile within the same activity short and long-term objectives and to address simultaneously the needs for relief, improved disaster preparedness and development. For example, a typical food-for-work project to rebuild community infrastructure can:

-provide relief through the distribution of food rations (emergency);
-provide legitimate employment opportunities and work skills, including to recently demobilised soldiers (emergency and rehabilitation);-rehabilitate a school building that has been destroyed (reconstruction);
-help create the national capacity to administer similar projects in future emergencies (preparedness);
-help ensure that primary education is not unduly interrupted (development).

99. Emergency aid can also make use of existing local markets and entrepreneurships for the delivery of relief supplies. Business networks are often active despite civil disorder, and can be used for the distribution of essential goods in rural areas and for bringing surplus crops from farm-gate to the market. Where rural commercial networks have vanished entirely, their re-establishment poses a major challenge, particularly in relief environments dominated by the free distribution of food and other goods.

100. A constructive way of linking humanitarian assistance and development-oriented interventions is the systematic mapping of existing social and productive assets of districts and regions affected by the crisis. Detailed baseline data, recording the results of rehabilitation activities carried out at the district level by official aid agencies, NGOs and private commercial operations is very useful. It can provide knowledge of the current situation, early warning signals indicating a need for preventive action, and help in assessing the impact of assistance. Sharing the results of such mapping among donors can be a useful tool for fund-raising and for operational co-ordination.

D. Best practices identified

a) During the planning phase

-All complex emergencies are different and situation-specific strategies need to be developed for each crisis. A thorough understanding of local conditions is vital.
-Limit the scope and duration of emergency relief operations to the strict minimum and plan the implementation of post-emergency operations at an early stage.
-Cease parallel relief and rehabilitation delivery systems as early as feasible.
-Examine the risk that development and relief aid can prolong a crisis by creating large groups of dependent beneficiaries and by providing supplies used by protagonists in the conflict.

b) Towards beneficiaries and local institutions

-Support local capacities to take over the running of aid operations as soon as possible. Avoid over-funding local structures, creating expectations that may not be maintained. Introduce effective control procedures, through, for example, double signatures on cost recovery revenue accounts. Emphasise bottom-up support in strengthening local capacity.
-Consult beneficiaries and inform them in advance of important changes, such as the replacement of free food with food-for-work projects and cost recovery policies.
-Incorporate gender analysis into relief and rahabilitation programming as standard practice, paying attention to the specific needs or women, particularly in single-headed households, and wherever possible building on and supporting the distinct coping/ survival strategies of men and women.

c) Towards partner agencies

-Agree on a code of conduct, in particular as regards contact and co-operation with factions in a civil conflict; strict impartiality is essential. Payments for "protection services" cannot be justified as they provide an incentive to factions to maintain insecurity and ransom humanitarian aid.
-Set up information exchange mechanisms between agencies in the field and at headquarters. Implement pooling arrangements in logistics to reduce costs and to limit the scope for misappropriation of aid by the parties in conflict.

E. Key orientations for donors

101. Conflict involves control of resources and it must be recognised that the injection of resources into these situations inevitably means involvement in the conflict. This is an important factor for humanitarian assistance but also for development co-operation. Thus, the risk is not just that outside parties may be perceived as partial, but that their resources can be diverted and used by warring factions. In short, there is an undeniable political impact of relief assistance and longer-term development assistance in conflict situations.

102. The political impact of relief must be recognised explicitly. Development and relief assistance can confer power to local organisations involved in its distribution and challenge other economic and social structures. Food and other forms of aid can be misappropriated by combatants for commercial gain or for power-brokering purposes. Aid agencies may thus find themselves accused of taking sides (feeding the enemy), and indirectly contribute to prolonging the crisis. This must be addressed explicitly in crisis management programmes.

103. A careful analysis of the social context is critical where relief goods, notably food, are channelled through local community organisations. This can help minimise the risk of inequitable distributions and avoid reinforcing any existing patterns of exploitation. Special consideration should be given to the gender dimensions. This should take into account women's needs and potentials in various sectors, develop projects in view of women's roles in the household, society, and the economy, make projects and aid accessible to women, use gender-trained staff, and improve target-group orientation through participatory planning and flexible project design.

104. Independent agencies and NGOs should be encouraged to analyse the potential socio-political impacts of aid distribution, and to develop standards for their activities in post-conflict operations. These could be based on commonly agreed principles such as the Code of Conduct in Disaster Relief for the International Red Cross and Red Crescent Movements.

105. The transition from crisis to long-term development follows no set pattern or order. The distinction between emergency relief and long-term development aid is not always useful for planning support to countries in crisis. Institutional, budgetary and functional walls between relief assistance and rehabilitation can in fact produce contradictions, gaps and barriers to co-ordination. Integrating the planning of relief and development assistance within the context of long-term approaches aimed at fostering self-reliance is a major challenge.

106. The role of development assistance in preventing violent conflict, or mitigating its effect, should be examined systematically. In areas where the potential for violent civil conflict is high, assistance must focus on addressing the root causes of violence before it erupts. In this context, the concept of vulnerability is important in identifying the groups most at risk.

Box 7. Code of Conduct in Disaster Relief for the International Red Cross and Red Crescent Movement and NGOs

The Code of Conduct in Disaster Relief, completed in 1994 by the International Red Cross and Red Crescent Movement and major NGOs, aims to define standards of behaviour and ensure independence, effectiveness and impact for humanitarian aid operations. The principles elaborated for NGOs involved in disaster relief programmes include:

-the humanitarian imperative comes first; aid is given regardless of the race, creed or nationality of the recipients and without adverse distinction of any kind;
-aid priorities are evaluated on the basis of need alone; aid will not be used to further a particular political or religious standpoint;
-NGOs shall endeavour not to act as instruments of government foreign policy; NGOs shall respect culture and custom;
-NGOs shall attempt to build disaster response on local capacities; -ways shall be found to involve programme beneficiaries in the management of relief aid;
-relief aid must strive to reduce future vulnerability to disaster as well as meeting basic needs; -NGOs shall be accountable to both beneficiaries and donors.

107. The identification of "dependency syndromes" is an essential exercise for national and international aid agencies. Careful assessment of needs, based on detailed knowledge of locally available resources is required for making proper judgements of the aid required, in terms of quantity as well as quality.

108. Avoiding market distortions, especially in the food production sector, is essential to counteract dependency on aid. Free distribution of food aid can do long-term damage to local food producers. It is important, therefore, to monitor the impact of food aid on the local supply and pricing mechanisms. At the onset of each crisis and in parallel with any relief operation, efforts must be made by donors to ensure protection and/ or supply of development assets such as livestock, seeds and tools.

109. If local government is non-existent, other local structures or NGOs could be engaged. If they lack capacity, they can be trained by counterpart international NGOs. Care must be taken that salaries offered by aid agencies do not rob the local administration of qualified staff. Addressing this question requires that explicit standards for local staff recruitment and remuneration for humanitarian relief programmes be accepted and applied by all donors.

110. Excessive reliance on international NGOs may serve to weaken or inhibit the development of effective national governance. It may also impede the development of problem-solving and self-governing capabilities within communities. International NGOs should be encouraged to form structured relationships with national and local NGOs --both those involving men and women --with the goal of helping to build the capacity of all segments of the population.

IV. FOUNDATIONS FOR PEACEBUILDING: GOOD GOVERNANCE AND CIVIL SOCIETY

A. Basic principles

111. Peacebuilding involves both long-term preventive measures and more immediate responses before, during and after conflict. It depends upon and, at the same time, seeks to foster a spirit of tolerance and reconciliation. Broad acceptance throughout society of the legitimacy of the state and the credibility of the institutions of governance is a key aspect of forging such a civic spirit. When all people's human rights are respected, when society is governed by the rule of law, and when ordinary men and women are involved in the political process, resort to violence to effect political change is obviously less likely. Efforts to support participation, democratisation and peacebuilding, through strengthened institutions of governance, are clearly interlinked.

112. In countries divided by inter-group conflict, certain elements of civil society may be able to play an important role in building bridges between polarised groups, promoting dialogue and reconciliation. Conditions of insecurity, sometimes aggravated by the exploitation of ethnic, religious and cultural differences, contribute to a climate of social distrust. However, socio-political conflict itself can also provide a stimulus for the emergence of new actors and institutions specifically dedicated to the cause of peace. These can include human rights networks, peace activist groups, and independent media organisations. Other stabilisation points or "voices of peace" can be found among community and religious leaders, traditional forms of authority, in trade unions and professional associations.

113. In the case of "failed states", or in countries where certain areas are controlled by non-government or anti-government authorities, local level, non-state mechanisms may be the most effective means through which peacebuilding and conflict management can be animated. Even though not all elements of civil society necessarily work toward peace, the opportunities often exist, even in crises, for a society to develop and strengthen commonly-held values and goals. By identifying and supporting key actors and mechanisms dedicated to peace and reconciliation at the community level, and avoiding inadvertent support to "forces of war", donors can make an effective contribution to peacebuilding.

B. Building-blocks for peacebuilding and reconciliation

114. Given their sensitive and complex nature, governance oriented assistance programmes need a strong base of political commitment in both donor and recipient countries over the long term. Assistance efforts should consistently emphasise the strengthening of partner-countries' own capacities for good governance. Mechanisms to help strengthen political will for reform in partner countries often involve elements of policy dialogue and incentives. The DAC Orientations on Participatory Development and Good Governance, Development Co-operation Guidelines Series, OECD 1995, provide a sound framework for these efforts. In discussing the design of development co-operation programmes with partner countries, donors can, without proselytising or understating the complexities, consistently emphasise the need for good governance, the rule of law and respect for human rights, and the development of a strong civil society, as a basis for long-term stability.

115. The various elements in a vigorous civil society do not necessarily set out to achieve a broad consensus. Yet the chances for a society to develop and strengthen commonly-held values and goals, and the ability and willingness of the individual to participate in mainstream society are vital components of peacebuilding and sustainable development. In the longer term, donors can contribute to this through, among other activities:

-support to government institutions and other organisations, including the business community, which are able to establish or maintain social networks and associations enhancing participation in mainstream society, or who support or promote commonly shared values, such as cultural and athletic programmes;
-support for access to information through education, and institutions such as citizens advice bureau's, local media, etc.;
-support to local NGOs and community-based organisations to help them become more capable and responsive to their constituencies.

116. Although DAC Members usually rely to the maximum extent on measures of positive support, they may need to call upon persuasion and dialogue when working with some partner governments to promote constructive steps towards improved governance. Policy criteria focused on promoting democracy, the rule of law, human rights and good governance should be integrated in a wider range of development assistance programmes in this area.

117. The most basic tenets of democratic practice require broad acceptance by the state and civil society. Democratisation is thus a complex, gradual, and participatory process whereby citizens, civil society, and the state create a set of norms, values, and institutions to mediate their relationships in a predictable, representative and fair manner. Development co-operation efforts in support of improved governance and participation must be framed over the long-term horizon, based on coherent strategies consistently applied by different donors and multilateral agencies. This requires effective co-ordination among all actors involved in the design and implementation of programmes.

118. Approaches to governance must be adapted to national circumstances. For example, when dealing with authoritarian and semi-authoritarian states, the scope for constructive dialogue may be severely limited, and donors may have to restrict their assistance to non-governmental sectors committed to reform. In the case of countries in transition to democratic systems, support may concentrate on strengthening civil society actors and democratic political processes. Donors must also be careful to avoid precipitating political and economic instability through the sudden introduction of democratic institutions.

a) Respect for human rights

119. The fundamental freedoms that should be protected by the rule of law are essential for healthy relations between the state and civil society.

120. DAC Members must support the international principles contained in the UN Charter, and elaborated in the Universal Declaration of Human Rights (1948), and the Vienna Declaration (1994). They must also comply with the provisions of the international and regional conventions to which they have adhered, such as the Convention for the Prevention and Punishment of the Crime of Genocide (1948), the UN Convention on the Elimination of all Forms of Discrimination Against Women (1979) the Red Cross Conventions (Geneva 1949) in the field of humanitarian law, and the Additional Protocols (1977) which aim to provide protection to persons not taking an active part in conflict and to the victims of conflicts, as well as the Convention on the Status of Refugees (Geneva 1951). More generally, internationally recognised human rights and fundamental freedoms should be explicitly promoted and supported through development co-operation and humanitarian aid initiatives and policy dialogue.

121. Active non-governmental interest groups can be important vehicles for donor initiatives in support of human rights, by providing information in a given country and building a constituency for promoting human rights vis-à-vis governments and public opinion. Similarly, targeting groups who are close to or represent the victims of injustice and misuse of power can also be effective (e. g. women's groups, farmer co-operatives). Channelling aid through international NGOs benefits from their influence, professionalism and neutrality, and local human rights groups may gain protection and enhanced capacity through association with international networks.

122. Donor assistance in this area should be used as part of a wider promotion of just and sustainable development, providing vulnerable and disadvantaged groups with knowledge about their human and legal rights, as well as the rights and responsibilities associated with citizenship. Efforts to strengthen the rule of law and respect for human rights must place emphasis on the institutions and processes which formulate and interpret law and social policy (legislatures and courts), as well as on those which implement and enforce them (government departments, police forces, military actors). Experience has shown these approaches work best when integrated into an overall strategy, rather than in isolation.

b) Participatory processes

i) Participation

123. Fostering popular participation in the governance agenda is essential to peacebuilding. Participation strengthens civil society and the economy by empowering individuals, communities, and organisations to negotiate with institutions and bureaucracies, thus allowing civil society to influence public policy and to provide a check on the power of government. Participation also aids in dealing with conflicting interests in a peaceful manner. It follows that the creation of a climate and the capacity for constructive interaction between civil society and government is a critical component for long-term peacebuilding.

Box 8. Decentralisation

Decentralisation can stimulate local and regional participation in decision-making, thereby improving the accountability and legitimacy of government. It can improve the responsiveness of the state, and thereby reduce tensions which may lead to violent conflicts.

However, if decentralisation is perceived as affecting the allocation of resources, income, or employment opportunities at the expense of certain ethnic or religious groups, there is a danger that such identity traits may be politicised and mobilised. Thus, decentralisation could exacerbate separatist and regional pressures and their violent manifestations.

Central authorities, whose commitment to the decentralisation is needed for reform, may see diffusion as a threat to their power. Thus strengthening local government requires an understanding of the structure of incentives facing political leaders at both the central and local government levels.

124. Specific areas of donor support include:

-providing specialised technical assistance and expertise in the field of decentralisation policy (introduction of decentralised planning and administration structures);
-clarifying functional responsibilities between central and local levels of government. This includes support for the establishment of systems to allocate fiscal revenues and corresponding responsibilities;
-strengthening organisational capacities of representative intermediary bodies, including regional parliaments and local councils;
-strengthening the representation of marginalised groups in civil service posts.

125. Within the context of projects aimed at the provision of basic social services as education, health and infrastructure, donors can also play an important role in helping ensure that these services are made available to all segments of society, and especially marginalised groups.

ii) Democratic processes

126. Democratisation enables the population to articulate its needs and interests and to protect the rights and interests of marginalised groups, and the most vulnerable. A democratic system also provides mechanisms for the peaceful resolution of conflicts, including the distribution of political and economic power, and mechanisms for transferring political control. By supporting and consolidating democratic institutions, which include political parties and representative institutions, donors can contribute to building peace and stability.

127. The following list draws on available experience, to suggest broad approaches towards strengthening democratisation with direct conflict prevention and peacebuilding objectives:

-support for constitutional reforms, including provision of advice to governments on constitutional and legislative issues;
-assistance to strengthen representative political institutions, including political parties;
-support for legislative systems and electoral processes, including informing the electorate about their rights, election monitoring, analysis and reform of laws governing elections;
-assistance for the organisation and monitoring of elections and referendums. This should contain a capacity building element so that a country may develop the pool of skills necessary to the organisation and monitoring of its electoral processes;
-assistance for the organisation and monitoring of other democratic institutions (e. g. courts, legislative bodies and the executive).

c) Strengthening public institutions

128. Public institutions are the means through which government implements policy. Partiality and corruption in the public institutions responsible for managing public resources and social services directly undermines the credibility of the state. This can encourage marginalised groups to resort to violent means to effect change.

129. A state which may appear to have considerable capacity may really be ill-equipped for its basic functions. State institutions may be non-representative, non-accountable and under the control of certain elite individuals or groups. Helping strengthen the ability of institutions to perform their core functions in a more effective and non-discriminatory manner, can be an important part of peacebuilding.

130. Specific areas of donor activity can include:

-Support for the executive branch to help improve efficiency of the delivery of government services and promote transparency, sound management, and the eradication of corruption. Support should focus on institutions seriously committed to reform.
-Civil service reform focusing on improving impartiality of, and access to, public institutions, thus helping to eliminate discrimination and bias.
-Strengthening the control by civilian institutions over political and economic affairs, and the armed forces (including military budgets and expenditures).

d) Strengthening systems of security and justice

131. To be effective, justice systems, including security forces, must recognise and protect the rights of the individual and be accessible to all. They must be impartial and politically independent. Ineffective justice and security systems may encourage people to take the law into their own hands. As elements of security and justice systems can have an important role to play in conflict prevention, international assistance in these areas, can be very potent elements of conflict prevention and development strategies.

132. Successful support in these areas depends on the willingness of the recipient government to accept the need for, and recognise the value of, effective justice systems to overall good governance, social stability/ harmony and good economic management. Dialogue with governments may be required to persuade them of the advantages of effective, internationally sanctioned norms of law and justice. Security and justice systems are basic responsibilities of the state and are at the core of a country's sovereignty. Efforts should not undermine but rather strengthen respect for the state's monopoly over the use of force within the rule of law.

133. In order to maximise the effectiveness of their assistance, donors must have a broad awareness of their agency's and nation's skills, experience and cultural background which may indicate how best to target development assistance. Donors should also draw upon the knowledge and expertise of a range of fields, including foreign affairs, defence and development co-operation.

i) Justice systems

134. A predictable and reliable legal system is an essential factor for democratisation, good governance and human rights. The absence of a fair justice system can trigger frustrations which impede peacebuilding and conflict prevention. A justice system perceived as unpredictable, inaccessible and arbitrary can trigger resistance within society, and confrontation and repression by the state. Hence all efforts to strengthen peacebuilding and conflict prevention capacity through development co-operation are conditioned to some extent by the legal environment in which they are undertaken. The maintenance of law and order must be matched by a commitment on the part of government to meeting citizens' basic needs and safeguarding their basic rights.

135. Aid should be proactive in helping to develop and maintain mechanisms that honour basic human rights, improve non-discriminatory access to legal and judicial services, and facilitate the peaceful resolution of disputes. Donors can help defuse tensions by providing support to measures that ensure all individuals, and groups within a society have access to legal remedies, informal decision-making processes and avenues of compromise.

136. While many traditional societies often maintain complex and effective codes of social conduct, they are not always able to meet the demands of an open society. However, the benefits and efficacy of existing traditional systems should not be overlooked. Donors should be open to local initiatives for strengthening such traditional structures as village courts and the roles of traditional leaders.

137. Assistance should be focused on:

-formal law and justice institutions i. e. courts, ombudsmen, law reform commissions, civilian police forces, and prison/ detention services;
-communal, traditional law enforcement/ dispute resolution structures and groups;
-other agencies which operate in areas that have to face conditions of communal conflict i. e. resource management authorities;
-facilitating access to legal systems for individuals and groups, especially those which are marginalised. 138. Given the complexity and sensitivity of many of the development issues in the law and justice sector, there is a need for flexibility when designing interventions. Aid agencies should investigate innovative projects which can approach the task through various types of support. These may include:

-projects designed to create links between the formal and informal institutions operating in the areas of law and justice, to foster greater community acceptance and commitment to law and justice initiatives (complementing approaches to strengthen the formal institutions in isolation);
-support for monitoring human rights abuses; and
-support for professional training for lawyers and policy-makers.

Box 9. Supporting the justice system in Cambodia

As a consequence of a series of repressive government administrations, Cambodia experienced the almost total destruction of its formal legal systems. Moreover, the massive dislocation of communities has resulted in the disintegration of many traditional mechanisms of arbitration. This has left the country without effective means to resolve disputes and protect the human rights of its citizens. The law and order vacuum presents a substantial barrier to democratic reform and to general economic development. For example, the inability of existing systems to effectively manage investigatory, judicial and imprisonment processes has resulted in the detention and incarceration of people charged with petty offences alongside hardened criminals (sometimes for months) before their cases are properly dealt with. They are literally "lost" in the system.

The loss of institutional memory on basic legal procedure and systems of justice led to a series of donor fact-finding missions during 1994 and 1995. The principal objectives of these missions were to document the state of the sector and to identify appropriate areas for assistance. Specialist teams conducted detailed interviews with Cambodian ministry officials, senior management of the judiciary, prison and law enforcement agencies, and other donors and NGOs operating in the sector.

The project design proposes the introduction of reforms in the prison, judicial and police institutions of the capital, Phnom Penh, and in four provincial centres. This will allow for testing and refinement of procedures and practices and provide models for institutional reform throughout Cambodia. In designing the project, it emerged that it would be important to undertake a number of supporting initiatives including:

-further investigation of alternative community justice mechanisms which could complement the services provided by the formal system; and
-the development of appropriate non-penal sanctions to avoid possible excessive growth in prison populations which could result from the stronger administration of criminal justice. An unanticipated outcome of this examination of the existing system has been the stimulation of a number of locally-initiated reforms, particularly in the prison sector. These have arisen largely as a consequence of the information exchanges between Cambodian officials and visiting project design teams.

ii) Security sector reform

139. Conditions of socio-political conflict can often contribute to increasing the power and independence of military and police forces vis-à-vis civilian authorities and the population. Reforming security forces to improve accountability and professional conduct and strengthening civilian oversight, can play an important role in peacebuilding. Taking these efforts in parallel with activities designed to strengthen legal systems and civil society as a whole can help promote informed debate and wider participation in these processes.

140. Specific areas of international assistance include:
a) the provision of training for civilian leaders in security matters including for monitoring the conduct, performance and cost-effectiveness of security forces;
b) the establishment of independent ombudsmen offices, civilian review boards and other forms of civil oversight of security forces;
c) the provision of training for police and military forces focusing on their roles in a democratic society and their capacity to enforce standards of professional conduct; d) support for the reform of military education systems.

141. The extent to which these activities can be supported from development co-operation funds will depend upon Member states' rules and procedures. Nonetheless, positive outcomes can be achieved through close co-ordination between development co-operation and other forms of assistance. Successful efforts towards security sector reform depend heavily on the existence of a justice system capable of investigating and punishing abuses and misconduct. Thus security and justice systems are intimately linked.

iii) Human rights training

142. The role of the military is changing rapidly in many countries. Defence and security forces are increasingly being used in domestic policing operations and in disaster relief and prevention work. While some military forces may have received training in the basic principles of humanitarian law, few have received appropriate training in the broader principles of human rights. This training is critical for these groups to operate appropriately in domestic situations. As representatives of the international community, peacekeeping forces must be prepared for, and held to, the highest standards in this regard.

143. Culturally sensitive training in human rights can help assure appropriate relations with the civilian population in these situations. Such training needs to be tailored to country-specific situations, but also based on internationally accepted principles as elaborated in international human rights instruments. Given that it is widely acknowledged that women often bear the brunt of the consequences of conflict both domestically and in the wider social context, human rights training should particularly target gender specific concerns and issues.

144. In addition to the provision of training, logistical support for the supply of equipment may be needed, providing infrastructure to assist the target agency to carry out its functions. However, in the area of equipment supply, there can be particular sensitivities. The potential for misuse of assistance must be carefully considered. For instance, equipment for police, while entirely appropriate if properly used, has greater potential for significant misuse than equipment in most other areas.

145. Justice and dispute resolution systems must also integrate respect for and promotion of human rights as fundamental principles. Donors can contribute to strengthening institutions and training personnel who have a role in protecting human rights and managing conflict. Key candidates for human rights training are military, police, judges, legal and paralegal professionals and prison personnel. Other groups that would benefit from human rights training include community leaders and educators.

C. Reinforcing civil society for peacebuilding and reconciliation

146. The institutions of civil society play a vital function in representing different interest groups, but when they confront resistance or inadequate accommodation processes, heightened tensions, oppression and increased levels of violence can result. Support to civil society should maintain the objective of helping to reconcile group interests over the longer-term. "Citizen diplomacy" at various levels can provide vital capacities for this reconciliation.

147. In regions of latent or manifest violence, actors within civil society may be inhibited from playing a peacebuilding role by intimidation and attack. Information and communication networks may be especially vulnerable. Group divisions may also be exacerbated and special efforts may be required to help protect the human rights of people in minority situations. However, these same conditions may also generate the impetus for the emergence of new actors and institutions, such as human rights networks and peace activist groups. In certain circumstances this may also include the re-emergence of traditional forms of authority and techniques of conflict management and resolution.

148. While seeking to identify sources of peacebuilding strength in society, development agencies need to be alert to the risk that their support for particular social institutions and authorities can be misrepresented and misunderstood. Some traditional groups may be elitist and oppressive; some NGOs or other local groups may be instruments of contending factions. These alternative or supplementary peacebuilding agents should be subjected to the same scrutiny that the work of other "partner" institutions typically receive, and their most positive aspects built upon.

149. Specific areas for donor support fall into three broad areas: a) supporting some traditional institutions of authority; b) promoting dialogue and co-operation in divided societies; and c) supporting the freedom of, and access to, information for all members of society.

a) Supporting some traditional institutions

150. Traditional authorities and mechanisms often reflect systems and institutions developed over-time to help manage inter-group tensions and natural resource distribution. In some instances informal dispute resolution mechanisms and traditional authorities exercise considerable influence over national political leaders, even if this influence is not always visible.

151. Where the authority of a government is weak, traditional authority institutions often have a significant influence on communities and can be essential mechanisms for effective peacebuilding. There have, for instance, been many cases where traditional and informal peacebuilding mechanisms