Advocacy Guidelines

ADVOCACY GUIDELINES HUMANITARIAN AID OF THE SWISS CONFEDERATION

CONTENTS

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 BASIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 DEFINITION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 OPERATIONAL FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 SCOPE OF APPLICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 CONCEPT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 INDICATORS AND CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 TASKS AND RESPONSIBILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 INSTRUMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 SDC–HA CODE OF CONDUCT FOR ADVOCACY ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 RESOURCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 MONITORING AND CONTROLLING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 ANNEXES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

The Swiss Agency for Development and Cooperation (SDC) is part of the Swiss Ministry of Foreign Affairs Swiss Agency for Development and Cooperation (SDC) Department of Humanitarian Aid and Swiss Humanitarian Aid Unit Design: BOH Consulting, Christian Jaberg, Solothurn © SDC, March 2004 For a free copy of the Advocacy Guidelines please contact: DEZA-Verteilzentrum, P. O. Box, 3000 Berne e-mail: info@deza.admin.ch, www.deza.admin.ch

ADVOCACY GUIDELINES / Introduction

In the SDC 'Humanitarian Aid Strategy 2005', Advocacy has been set as one of the four main tasks of the Swiss Confederation's Humanitarian Aid. There, Advocacy figures as cross-cutting to the three other tasks, namely Prevention & Preparedness, Emergency Relief (understood as rescue and survival) and Reconstruction.

The practical objective of translating 'Advocacy' into action has needed clarification of its content and of the procedures to be followed for its implementation. As a consequence, these Guidelines have been worked out in a broad participatory approach, including the Swiss Agency for Development and Cooperation (SDC) staff (at HQ and in the field) and relevant partners in the Federal Administration. They are intended to lay the ground for a common understanding and they will be used as a practical tool for the conduct of Advocacy activities.

Hence, the Guidelines indicate the Basis, the Purpose and give the Definition as well as the Objectives of SDC–HA Advocacy activities. They also clarify the Operational Framework by indicating the Scope of Application, the Concept, the Indicators and Criteria, the Tasks and Responsibilities, the Instruments, the Code of Conduct for Advocacy activities as the core of the Guidelines and finally the necessary Resources. The Annexes contain the Literature and the List of the actual priority issues, Notes and Definitions plus a list of abbreviations.

These Guidelines are meant to be a practical tool of the Swiss Confederation's Humanitarian Aid in the field and at HQ for the benefit of all those human beings in need of assistance and protection resulting from conflicts, crises, natural and technological disasters. The Guidelines, which are explained on the right side of the document are meant to be a work in progress, to be reviewed within two years at the latest. Hence, key experiences and lessons learnt will be integrated therein accordingly.

It is our hope that the Guidelines will help to raise awareness about the growing gap between ethical behaviour and field reality, and that they will help to feed the required debate on this issue in all concerned fora with a view to bridge this gap.

The Guidelines were adopted by the Management of SDC–HA on November 04, 2003 and by the SDC Board of Directors on February 27, 2004. At the same session of the SDC Board of Directors, the SDC 'Multilateral Humanitarian Aid Concept' was also adopted.

Toni Frisch Delegate for Humanitarian Aid and Head Swiss Humanitarian Aid Unit

It is our hope that the Guidelines will help to rise awareness about the growing gap between ethical behaviour and field reality, and that they will help to feed the required debate on this issue in all concerned fora with a view to bridge this gap.

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ADVOCACY GUIDELINES / Basis

ADVOCACY GUIDELINES

COMMENTS + EXPLANATIONS

Basis ¬

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The Geneva Conventions (I) for the Amelioration of the Condition of the Wounded and Sick in armed Forces in the Field, (II) for the Amelioration of the Condition of Wounded, Sick and Shipwrecked Members of Armed Forces at Sea, (III) relative to the Treatment of Prisoners of War, and (IV) relative to the Protection of Civilian Persons in Time of War, of 12th August 1949, and the Additional Protocols, of 8th June 1977, relating to the Protection of Victims of International Armed Conflicts (Protocol I) and relating to the Protection of Victims of Non-International Armed Conflicts (Protocol II) Convention Relating to the Status of Refugees (1951) and Protocol Relating to the Status of Refugees (1967) Swiss Federal law concerning International Development Cooperation and Humanitarian Aid of 19th March 1976 The Federal Constitution of the Swiss Confederation of 18th April 1999 Swiss Foreign Policy Report 2000, 15th November 2000 Bill to Parliament concerning the continued provision of International Humanitarian Aid of the Swiss Confederation of 14th November 2001 Swiss Agency for Development and Cooperation (SDC), Strategy 2010 Swiss Humanitarian Aid: Solidarity Alive. Humanitarian Aid Strategy 2005, (March 2001)

SDC–HA commitment for Advocacy activities as a governmental agency finds its basis: ¬ in the framework of the International Humanitarian law (IHL) and refugee law, namely the Geneva Conventions I to IV (ratified by Switzerland in 1950) and the Additional Protocols I and II (ratified by Switzerland in 1982): Switzerland is not only bound by this law but is also required to ensure respect for the humanitarian principles. The core issues of Human Rights are related to the IHL. They do not constitute a direct basis for SDC–HA activities, but constitute a framework of reference ¬ in the Federal Law of 1976 stating the overall goal of Swiss Humanitarian Aid: According to this Law, humanitarian aid should help to preserve the lives of human beings who are in danger and to alleviate suffering through preventive and emergency aid measures; such aid is intended for victims of natural disasters and armed conflict ¬ in the Swiss Constitution of 1999 which integrates the obligations imposed by IHL in the national context. This Constitution contains the principle of solidarity and promotes fundamental humanitarian values to a large extent ¬ in the Swiss Foreign Policy Report of 2000 emphasising that Switzerland as a High Contracting Party to the Conventions and as their depositary should undertake special efforts in the strengthening and promoting IHL ¬ in the Bill to Parliament of 2001 on International Humanitarian Aid which includes Advocacy as one out of four tasks ¬ in the Strategy 2010 where Advocacy is implied in the two tasks ' Help for self-help' and ' Solidarity' ¬ in the Strategy 2005, where Advocacy is one of four tasks of Swiss Humanitarian Aid. As regards content, the strategy refers to the respect of Humanitarian Principles, the collection and the dissemination of information, especially about victims of forgotten conflicts, and the strengthening of the coordination of humanitarian aid.

ADVOCACY GUIDELINES / Purpose and Definition

ADVOCACY GUIDELINES

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Purpose The Guidelines serve the following purposes: ¬ to give practical guidance to SDC–HA practitioners in the field ¬ to guide SDC–HA in the dialogue and inter-institutional coordination within SDC as well as with other Swiss Federal Offices and Directorates on specific issues ¬ to guide SDC–HA in the discussions in all concerned fora and to focus on specific issues ¬ to serve as document of reference when raising awareness of specific issues amongst the public.

ADVOCACY GUIDELINES

By issuing the Guidelines SDC–HA aims to: ¬ improve the quality of its activities in a central strategic task ¬ define its position on Advocacy matters ¬ promote respect for humanitarian principles including impartiality, non-conditionality, independence and neutrality in inter-institutional coordination with all relevant offices in the Swiss Federal Administration and international organisations ¬ focus its efforts on a limited number of thematic core issues in order to increase the efficiency and effectiveness of its Advocacy activities ¬ provide a solid basis for and guidance on the dissemination of information on these and related issues to the public ¬ make all involved actors aware of the fact that Advocacy means working in complicated processes with high risks, frequent setbacks, and with constant difficulties to get realistic expectations and avoid disappointments.

COMMENTS + EXPLANATIONS

Definition Advocacy is one of four strategic tasks of SDC–HA and figures as a transversal aspect in the three others which are: Prevention & Preparedness, Emergency Relief and Reconstruction.

Advocacy refers in a broad sense to efforts to promote, in the domain of humanitarian aid, respect for humanitarian principles and law with a view to influencing the relevant political authorities, whether recognised governments, insurgent groups or other non-state actors.

The Advocacy definition has a: ¬ broad scope: Every SDC–HA activity may serve as lever for Advocacy purposes ¬ specific use: As a governmental agency, SDC–HA does not use the term Advocacy for all its activities. It is used in the specific case when in humanitarian action, IHL or Humanitarian Principles are neglected.

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ADVOCACY GUIDELINES / Objectives

ADVOCACY GUIDELINES

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Objectives Overall Goal: The first aim of Swiss Humanitarian Aid is to 'save lives and to alleviate suffering' among the population affected by the consequences of a natural or man-made emergency. The second aim is to facilitate reintegration of displaced populations and ex-combatants, to rehabilitate structures and services, and to support the reinforcement of sustainable development. The third aim is to reinforce the local resilience and preventive mechanisms together with the population concerned in order to be prepared for the eventuality of further crisis. This includes the transfer of knowledge and the reinforcement of local and regional capacities as well as response mechanisms.

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The mandate of the Humanitarian Aid is defined in Article 7 of the Swiss Federal Law concerning International Development Cooperation and Humanitarian Aid of 19th March 1976: Article 7 The aim of humanitarian aid is to help preserve the lives of human beings who are in danger and to alleviate suffering through preventive and emergency aid measures; such aid is intended for victims of natural disasters and armed conflict.

ADVOCACY GUIDELINES / Objectives

ADVOCACY GUIDELINES

The objectives of SDC–HA Advocacy activities are: ¬ to give voice to victims ¬ to provide passive protection to vulnerable groups through presence in the field ¬ to promote the application of International Humanitarian Law and the related Human Rights ¬ to inform the relevant instances, in relation with humanitarian aid, of cases of non-respect or violation of International Humanitarian Law ¬ to promote the necessary interest to address humanitarian crises in an adequate and timely manner.

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The traditional view on people as purely victims in need of assistance is giving way to an approach seeing them as holders of rights that must be respected. Activities in this context may consist of confidential reporting to the HQ on violations, leading eventually to dissemination and/or the recall of international conventions and the monitoring of the rights of certain groups. Determined as such, the target group includes not only states' citizens, but also internally displaced persons (IDPs), refugees, landless people after natural or technological catastrophes, children abused as warriors, etc.

Advocacy as passive protection in humanitarian aid is either preventive or reactive. In its preventive role it aims to prevent the violations of the law. In its reactive role, it aims to ensure that respect for the rights of the affected population is restored where it is lacking.

Swiss Humanitarian Aid is neutral, impartial, unconditional and nonrefundable. In conflict situations, these principles do not imply the adoption of a passive attitude, but on the contrary, require activities to ensure respect for International Humanitarian Law on all sides. This ensuring of respect is done in close cooperation with the Directorate of International Law (DIL) and the Political Division (PD IV), both at the Swiss Ministry of Foreign Affairs.

Instances are actors with a political or moral authority for the case in question, e.g. Governments, International Organisations (IOs), informal leaders, religious leaders or the media. The nature and number of the concerned authorities has to be defined in the given context (see Indicators and Criteria: Audience, page 9).

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

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Operational Framework Scope of Application ¬

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SDC–HA is committed to raise awareness among staff members about the Advocacy aspects of its activities. This is ensured through regular information and staff training.

All SDC–HA staff members have to know and to follow the Advocacy Guidelines.

Humanitarian actions of local or international Non-Governmental Organisations (NGOs) with an Advocacy approach which are cofinanced by SDC–HA have to abide by the present Advocacy Guidelines. In case the NGO is bound to its own specific Advocacy guidelines, these have to stand in accordance with the SDC–HA Advocacy Guidelines.

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Advocacy requires accurate information about scope and nature of the humanitarian aid context, the actors involved and their specific interests, along with the implications and possible consequences of the planned action. To minimize possible risks, SDC–HA employs informed and trained staff for activities, projects or programmes with an Advocacy approach.

The Guidelines apply to all levels of programming SDC–HA actions (strategy level, concept level, programme level, and project level). The Guidelines exclude self-declared Advocacy activities by field staff without a prior decision by the responsible Cooperation Office* or the desk in charge of the programme in question. In relevant internal documents, Advocacy activities have to be clearly stated and explicitly described as such (e.g. Country Programme*, Annual Programme*, Credit Proposal*).

The Guidelines serve as a decision-making instrument for the evaluation and approval of a project proposal submitted by local and international NGOs.

* see page 17, Notes and Definitions

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

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SDC–HA staff members seconded to international agencies have to follow the guidelines of the contracted agency.

While working with other partners in the field, the SDC–HA officer in charge has to make sure that the rules and regulations of the other units involved are not in contradiction with the Advocacy Guidelines.

Inconsistencies have to be avoided to maintain coherence.

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The application of the Guidelines is subject to a regular monitoring and controlling by SDC–HA. As a result of this controlling, SDC–HA informs the other Departments within SDC, the Federal Offices concerned within the Swiss Federal Government, and NGOs actively and regularly about its activities in Advocacy. For this purpose, SDC–HA uses existing communication platforms.

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Seconded staff members are fully accountable to the contracted agency.

Coordination mechanisms with other Federal Offices should take place in existing structures (e.g. ' Comité de Pilotage ' SDC–PD IV*) and not in specifically created new ones.

Coordination mechanisms within SDC have to be installed at the level of the Departments on the basis of the relevant steering documents: ¬ SDC–HA with SDC-Multilateral Department: clarification of SDC positions in International or Multilateral Organisations on the basis of the Institutional strategy papers stipulated in the SDC Multilateral Strategy; ¬ SDC–HA with Thematic and Technical Resources Department: clarification of the interface in the departmental strategy papers about rights-based approach, peace promotion and rehabilitation.

Inconsistencies in cooperation with other SDC Departments and other Federal Offices occur mainly in issues referring to humanitarian principles (e.g. conditionality vs. non-conditionality, neutrality vs. solidarity, empowerment vs. advocacy, humanitarian aid is not negotiable). If so, the Management has to decide how the inconsistencies are to be sorted out.

With regard to the implications of eventual contradictions, interinstitutional activities including Advocacy aspects, require coordination between the units involved in a coordination-by-command structure (all parties delegate the responsibility for operational decisions to one partner). Coordination by consensus (partners discuss case by case) or by default (analogue structures and objectives) are not sufficient. * see page 17, Notes and Definitions

Advocacy activities correspond to the list of Indicators and Criteria on page 9

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

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Concept SDC–HA focuses its Advocacy activities on the following areas of activities: ¬ Advocacy aimed at raising awareness ¬ Advocacy aimed at improving humanitarian actions ¬ Advocacy for the respect of humanitarian principles ¬ Advocacy on thematic issues ¬ Advocacy on Public International Law related to Humanitarian Aid action

SDC–HA focuses its Advocacy activities on a few issues of priority concern defined by the Management of SDC–HA.

Examples from former SDC–HA Advocacy activities are: ¬ support for the production of the motion picture 'La voix aux victimes de la crise dans la région des Grands Lacs'; an awareness campaign on the subject of trafficking in human beings; and Advocacy in favour of respect for the dignity of refugees ¬ the holding of discussions on accountability, including controlling; participation in the launch of the UN Consolidated Appeal (2003) ¬ The 2003 Humanitarian Meeting on Iraq, held in Geneva; and the setting up of an 'Advisory Group on Humanitarian Assistance and Emergency Response' ¬ Advocacy in favour of the impartiality and the non-conditionality of humanitarian assistance vis-à-vis Swiss Federal Offices (HA in Serbia 1992, HA in Eritrea 2000) ¬ Advocacy against sexual abuses in West Africa, and on the subject of trafficking in human beings and forgotten conflicts ¬ Advocacy in favour of ensuring respect for international conventions, e.g. Tampere Convention; and on ensuring humanitarian access.

An issue-oriented approach offers the advantage of being focused and avoiding too many ad-hoc or individual actions. Continuous work on an issue increases the efficiency and effectiveness of Advocacy activities.

The decision for an Advocacy approach in Humanitarian Aid implies a far deeper ethical and moral involvement for alleviating human suffering than does a classic project approach. To identify and address groups of victims constitutes an intervention in destructive conflicts, and could lead to dangerous outcomes. Therefore, this requires sticking to explicit values and attitudes in the exposure of inequities and power differences. And the approach has consequences for long-term cooperation in the post-conflict situation. In this sense an Advocacy approach is a preparation of an empowerment in development cooperation.

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

COMMENTS + EXPLANATIONS

Indicators and Criteria Decisions on whether Advocacy activities are to be taken up are made upon the following Indicators.

1. Mandate: A clear mandate has been worked out.

2. Audience: The Advocacy activities are targeted towards a defined audience.

3. Purpose: The proposed activities have a clear humanitarian purpose.

4. Outcome: A discernable humanitarian outcome is expected.

5. Resources: A commitment of programmatic resources for the achievement of the stated objectives (e.g. sector allocations, interagency dialogue, public information) has been secured.

6. Accountability: The accountability of the agency and of individual staff can be guaranteed.

Criteria which state and measure whether the indicator has been fulfilled are: 1.1 The Project/Programme Agreement explicitly includes an Advocacy mandate.

1.2 Terms of Reference define the responsibilities of the SDC–HA staff members in carrying out Advocacy activities.

1.3 The task description includes a detailed and specific project proposal stating the scope and nature of the Advocacy task.

2.1 The targeted audience for the information on respect or non-respect of IHL has been clearly defined (e.g. host political authorities, International Organisations, or other donor governments).

2.2 The targeted audience is a relevant instance in the area.

2.3 The targeted instance consents to the carrying out of the Advocacy activities.

3.1 The purpose can be attained through the conduct of humanitarian activities (e.g. improved access of refugees to shelter, the application of the 'Guiding Principles on Internal Displacement', the protection of basic rights of an ethnic minority).

3.2 Direct or indirect long-term effects produced by the Advocacy activities can be evaluated once the outcome has been realised.

4.1 The targeted population has measurable gains in the quality of life (referring to international standards e.g. on nutrition, water cleanliness, etc.).

4.2 The political authorities concerned (legitimate or de facto concerned) take the appropriate measures to ensure effective respect for humanitarian principles.

4.3 External observers from the humanitarian agency agree with the definition of the outcome.

5.1 Sufficient and secured resources are indicated in the project proposal or programme description.

6.1 The responsibility for the humanitarian outcome is defined in the Credit Proposal* or Programme description.

6.2 The lead of the Advocacy activities is defined with one person in the unit responsible.

Activities are regularly monitored and controlled on the basis of the Indicators and Criteria.

*see page 17, Notes and Definitions

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ADVOCACY GUIDELINES / Operational Framework

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Tasks and Responsibilities Headquarters ¬ The Management of SDC promotes Advocacy issues within the Swiss Ministry of Foreign Affairs and other Federal Offices, seeks for further support on the specific issues or to influence a debate about an issue, and acts in view of guaranteeing coherence of Advocacy activities with other aspects of Swiss foreign policy. ¬ In the inter-institutional cooperation with DIL, PD IV, the State Secretariat for Economic Affairs (seco), etc., the Head of SDC–HA takes decisions (as far as implementation in Humanitarian Aid is concerned) on critical coordination issues which might hamper the smooth running of the operations, such as IHL (and Human Rights matters related to humanitarian aid when relevant), humanitarian principles and other aspects of interest to the SDC–HA. ¬ The Head of SDC–HA takes decisions on areas of action, monitoring and controlling, as well as on instruments for context analysis; activity implementation on multilateral/international Platform of donors; and information to relevant Cooperation Offices*. ¬ The SDC–HA Multilateral Division promotes Advocacy issues within International Organisations with a view to gaining support for its position or concluding partnerships on specific issues. ¬ The Security Focal Point at Headquarters has to be consulted on SDC–HA projects in which a specific Advocacy mandate has been formulated.

Cooperation Offices ¬ The Country Director* and his/her team are responsible for the implementation of Advocacy activities and/or the setting up of an international coordination platform in the host country. He/she maintains the SDC–HA presence on the ground. He/she observes the developments on an on-going basis and regularly reports back to Headquarters. ¬ The staff of the Cooperation Offices* act according to the Code of Conduct (see page13 ). ¬ Field staff carrying out SDC–HA direct actions are required to act according to the Code of Conduct.

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Swiss Ministry of Foreign Affairs ¬ Within the Swiss Ministry of Foreign Affairs, the Political Division IV (PD IV) is responsible for peace promotion measures and interventions for the protection of Human Rights and Democracy. ¬ The Directorate for International Law (DIL) is responsible for the correct interpretation and application of all rules and regulations of public international law and their implementation by Swiss authorities. ¬ Further clarification of the respective, potentially overlapping mandates of SDC–HA, DIL and PD IV has to be worked out in a process among the Federal Offices concerned. For this purpose, existing communication platforms as ' Comité de Pilotage' * ' SDC–PD IV ' * or 'H–IKEZ'* should be used.

SDC Headquarters ¬ Advocacy in Humanitarian Aid should not enter into conflict with other instruments of Swiss foreign policy. Since Swiss international relations cover many diverse fields and interests, a pro-active attitude is required on this level: Advocacy for Advocacy. ¬ The core processes related to SDC–HA Advocacy activities fall under the responsibility of the Management at Headquarters and the Cooperation Office. ¬ Networking and knowledge sharing within relevant International Organisations and like-minded donors is necessary. ¬ The 'courant normal' is as described in the outline of the programme.

In emergency cases, action is taken in close collaboration with the Swiss Embassy and SDC Headquarters. Field staff follows the instruction of the Country Director. No initiative is taken without prior consultation. In sensitive issues, a briefing note is elaborated by the Country Director.

*see page 17, Notes and Definitions

ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

Headquarters and Cooperation Offices Headquarters and Cooperation Offices* have to reach a consensus on the following topics: level of intervention, resource allocation, risk analysis, feasibility assessments and staff recruitment. In case of continued disagreement, the Headquarters takes the final decision.

Controlling Regular monitoring and controlling of the Advocacy projects and programmes is carried out by the operational divisions of SDC–HA with the support of the HA Evaluation & Controlling unit.

SDC–HA Training Division SDC–HA staff members involved in Advocacy activities have to attend internal or external training sessions to strengthen their skills in the following areas: ¬ management capacities ¬ technical expertise ¬ contextual knowledge ¬ do-no-harm approach ¬ inter-personal skills.

COMMENTS + EXPLANATIONS

Taking into account all relevant factors and the points of view of the Headquarters and the field staff facilitates arriving at a good final decision.

Controlling enables the Management of SDC–HA to take appropriate decisions that are coherent with Swiss foreign policy and the policy of other Swiss Federal Offices and Directorates and ensure that Cooperation Offices* and field staff abide by the Advocacy Code of Conduct. ¬

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The skills mentioned constitute the 'core competencies of competent humanitarianism' (Minear 2002). Staff-training should cover core knowledge on humanitarian law and principles at practitioners' level.

A pocket manual for quick reference includes an overview of International Humanitarian Law, International Human Rights Law, regional Human Rights instruments, International Refugee Law, the 'Guiding Principles on Internal Displacement', Humanitarian Principles, and a quick guide on 'who is who' in specialised agencies/organisations.

(Available in autumn 2004 at the SDC–HA Training Division)

* see page 17, Notes and Definitions

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

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Instruments SDC Multilateral Humanitarian Aid Concept Adopted on February 27, 2004, the concept sets out the priorities of the SDC for Advocacy matters relating to the multilateral humanitarian domain.

The concept aims to achieve a high level of consistency and coherence with the 'Advocacy Guidelines'.

Credit Proposals Credit Proposals describe the content of Advocacy activities or Advocacy components within a project or programme. Financial contributions for organisations mandated with Advocacy contain information on the abovementioned indicators (see Indicators and Criteria on page 9).

Checklist for operational decisions related to Advocacy On the basis of lessons learnt in former or present SDC Advocacy projects, programmes, or activities, SDC–HA issues a checklist for SDC staff helping them to structure the operational decisions on, whether, how, when and what kind of Advocacy activities have to be undertaken.

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Checklist for operational decisions related to Advocacy The checklist is at present under elaboration. By this instrument SDC–HA aims to orient SDC–HA staff towards sensitive aspects of Advocacy and concrete fields of activities.

(Available in autumn 2004 at the SDC–HA Training Division)

ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

COMMENTS + EXPLANATIONS

SDC–HA Code of Conduct for Advocacy activities The Code of Conduct is a guide to the implementation of Advocacy activities. It lays down standards of behaviour for SDC–HA staff activities. The Code of Conduct reads as follows: 1. Make sure that you have a clear mandate for your Advocacy activities.

2. Risks might occur while engaging in Advocacy activities. Make sure that you reduce potential risks to yourself, your collaborators, and the population concerned to a minimum.

3. For your own security, follow the internal SDC Instruction 16 on Security.

4. Make sure that you are prepared to inform all actors about the mandate, scope and nature of your Advocacy task as soon as it is required by the situation. Do not use denunciation as an Advocacy method, but rather advocate in favour of the victims through the use of persuasion (see Monitoring and Controlling on page15).

5. Do not act alone. Keep others informed. Create a network that includes national actors and like-minded donors. Share your concern with SDC HQ and make sure that all the people concerned at the different levels are involved and the necessary decisions taken.

6. Choose your operational approach based on your analysis of risks and dangers (one or a combination of the following): ¬ Open or behind-the-scenes approach. ¬ Collaboration approach with other organisations of civil society, IOs, NGOs in cases where this is compatible with your approach and mandate. ¬ Public communication approach aimed at decision-makers and society in general. ¬ Organising approach: strengthening civil society groups, constituencies and coalitions so that excluded populations can have a voice in decision-making. ¬ Empowering approach: Strengthening the attitudes and capacities of individuals and groups in self-awareness, confidence and leadership. ¬ Persuasion approach: use information and analysis to press for policy change and adoption of alternatives by lobbying, coalition building, or negotiation.

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The SDC–HA Advocacy Code of Conduct is an internal instrument under the responsibility of SDC as a governmental agency. It is designed to be complementary to the 1994 'Code of Conduct for the International Red Cross and Red Crescent Movement and NGOs in Disaster Relief '.

The objective of the Code of Conduct is to increase efficiency, to maximise output and to minimise the risks run by the victims and SDC–HA staff involved in Advocacy activities.

Start with your own rapid risk assessment, based on the 3 Cs: calculated courage, creativity, common sense. Employ sophisticated risk assessment techniques in case of doubts. Repeat this risk assessment regularly.

Inform both friendly and non-friendly actors of your activities and mandate. Make clear that you are providing victims with basic services according to humanitarian principles. Explain, if necessary, the difference between humanitarian aid and human rights organisations.

Collaboration approaches are used when relatively high levels of compatibility and agreement exist on a public policy or programme between IOs, NGOs, grassroots groups, other donor agencies and the state. In such situations, civil society groups may actually collaborate with government officials on working to pass legislation or in improving state services.

Public Communication approaches aimed at decision makers and society in general use the media and public fora to communicate and gain support for ideas. Such communication provides data and background materials on both policy issues and proposals for action. To do this, civil society organisations conduct research, monitor legislation, and provide information, analysis, and policy alternatives.

Organising approaches are aimed at strengthening civil society groups, constituencies, and coalitions, so that excluded populations such as the poor, women, and indigenous groups can have a voice and place in decision-making. These approaches sometimes include developing vehicles for the marginalized to access and use the existing systems, such as legal service programmes.

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ADVOCACY GUIDELINES / Operational Framework

ADVOCACY GUIDELINES

COMMENTS + EXPLANATIONS

(continued: SDC–HA Code of Conduct for Advocacy activities:)

Be aware that the contestation and litigation approaches are beyond the competence of the SDC–HA and would involve the SDC senior management: ¬ Contestation approach: protest and confrontation in order to draw attention to abusive practices and to bring pressure for change. ¬ Litigation approach using the court system to uphold existing legislation or to challenge questionable policies, practices and laws.

7. Create the audience for your Advocacy activities and tailor the specific core messages to the different groups of involved actors: the victims themselves, their families and relatives, volunteers, humanitarian actors and organisations, local authorities (legitimate and/or de facto), the international community and the media. (SDC–HA staff follow the ' SDC Dealing with the Media: a Handbook ' when communicating with the media.)

8. In case you cannot act: Think about which of your network partners is best suited to carry out the planned Advocacy task in the interest of the beneficiaries.

9. Make sure that the situation is continuously and systematically monitored in order to gain a better understanding of it.

10. Work to improve internal management and external coordination to minimise the potential for manipulation.

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Empowering approaches (sometimes called awareness-building) are focused on individuals or groups to strengthen their attitudes and capacities , self-awareness, confidence, leadership and understanding, and exercise of power. They help people appreciate how mechanisms of power can enhance their political participation, and yet also act to exclude them from decision-making. Such strategies are furthermore aimed at increasing their sense of self-esteem and citizenship – their awareness of themselves as active protagonists in society with rights and responsibilities to participate and transform power relations.

If you are convinced that a persuasion approach is best suited to the situation, prepare information about possible tactics such as lobbying, clout and negotiation. Lobbying refers to direct attempts to convince decision-makers that usually include face-to-face meetings or discussions. Clout tactics mobilize popular support and demonstrate strength through such vehicles as coalition-building, accountability sessions with elected officials, the use of opinion leaders and prominent citizens for lobbying, or get-out-the-vote efforts during campaigns. Negotiation tactics usually build on a group's ability to demonstrate clout and involve discussion and compromise with policy players in such areas as policy development, drafting legislation or regulations, and reaching agreements affecting processes or outcomes.

ADVOCACY GUIDELINES / Resources / Monitoring and Controlling

ADVOCACY GUIDELINES

COMMENTS + EXPLANATIONS

Resources SDC–HA determines the level of funding committed to Advocacy activities.

ADVOCACY GUIDELINES

The commitment figures as a percentage of the overall budget of the operational Divisions. The financial monitoring and controlling informs about financial allocations for Advocacy activities.

COMMENTS + EXPLANATIONS

Monitoring and Controlling SDC–HA Advocacy activities are regularly monitored and controlled by the SDC–HA Operational and Multilateral Affairs Divisions on the basis of the above-mentioned Indicators and Criteria (see page 13).

The SDC–HA Operational and Multilateral Affairs Divisions, in collaboration with the Evaluation & Controlling unit, build up a common monitoring and controlling process.

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ADVOCACY GUIDELINES / Annexes

List of SDC–HA priority issues in Advocacy The list is a result of the consultation between SDC–HA field and Headquarters staff in May 2003.

This annex will be periodically updated. Before redefining the priority issues, Field and HQ staff will be consulted. ¬ Trafficking in Human Beings (Information, Prevention, Re-integration) ¬ Violence against Women and Children ¬ Sexual abuse of Women ¬ Advocacy for forgotten Populations in War or post War Situations ¬ Protection of most vulnerable Groups

Literature 16

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(alphabetic order)

Außenpolitischer Bericht (2000): Präsenz und Kooperation: Interessenswahrung in einer zusammenwachsenden Welt. (http://www.dfae.admin.ch/eda/f/home/recent/rep/forpol.html) Botschaft über die Weiterführung der internationalen humanitären Hilfe der Eidgenossenschaft, 14. November 2001 (http://www.admin.ch/ch/f/ff/2002/2087.pdf) ou (http://www.deza.ch/index.php?navID=294&userhash=2987467&l=f) Bundesgesetz über die internationale Entwicklungszusammenarbeit und humanitäre Hilfe (1976) (http://www.admin.ch/ch/f/rs/974_0/index.html) ou (http://www.deza.ch/index.php?navID=294&userhash=2987467&l=f) Bundesverfassung der Schweizerischen Eidgenossenschaft, 18. April 1999 (http://www.admin.ch/ch/f/rs/c101.html) Code de conduite pour le Mouvement international de la Croix Rouge et pour les Organisations non gouvernementales (ONG) lors des opérations de secours en cas de catastrophe, 1996 (http://www.ifrc.org/publicat/conduct) Direktion für Entwicklung und Zusammenarbeit (1999): Leitbild der DEZA (http://www.deza.ch/ressources/deza_product_e_27.PDF) Direktion für Entwicklung und Zusammenarbeit (2001): Solidarität leben. Humanitäre Hilfe Strategie 2005, (Intraweb DEZA) Direktion für Entwicklung und Zusammenarbeit (2000): Strategie der DEZA 2010 (http://www.deza.ch/ressources/deza_product_e_1.pdf) Eidgenössisches Departement für Äussere Angelegenheiten (2003): ABC des humanitären Völkerrechts (http://www.dfae.admin.ch/eda/f/home/publi/intlaw.html) Leader, Nicholas (2000): The Politics of Principles: The Principles of Humanitarian Action in Practice, Study 2 HPG Report. (http://www.odi.org.uk/hpg/papers/hpgreport2.pdf) Mackintosh, Kate (2000): The Principles of Humanitarian Action in International Humanitarian Law, Study 4 HPG Report. (http://www.odi.org.uk/hpg/papers/hpgreport5.pdf) Minear, Larry (2002): The Humanitarian Enterprise, ISBN 1-56549-149-1 (pbk) ou 1-56549-150-5 Rhinow, René (2000): Die Bundesverfassung 2000, Eine Einführung, Basel SPLM/United/OLS Agreement on Ground Rules, Appendix 2 in: Bradbury, Leader, Mackintosh (2000): The 'Agreement on ground Rules' in South Sudan, Study 3 HPG report. (http://www.odi.org.uk/hpg/papers/hpgreport4.pdf) The International Humanitarian Aid of the Swiss Confederation (including Swiss Disaster Relief) Bill to Parliament, 1996/97

ADVOCACY GUIDELINES / Annexes

Notes and Definitions Country Programme A country programme is a mid-term (4-6 years in duration) document on joint SDC and seco activities planned in a given country, (as well as activities carried out by other offices of Swiss Confederation), presenting and explaining the strategy adopted, the principles involved, the partners selected (with role and responsibility), budgeting, monitoring and controlling.

Annual Programme Is a breakdown of the Country Programme, detailing all elements of the Programme on a yearly basis.

Credit Proposal The Credit Proposal is the instrument allowing SDC to take on individual commitments against the framework credit by allocating financial resources to programme and project. The framework credits periodically approved by Parliament enable SDC to enter into long-term commitments with partners and organisations.

Comitﾃｩ de Pilotage Working Group Cooperation Office SDC office (sometimes joint office with seco) in a specific country responsible to implement the Annual Programme.

Country Director Head of a Swiss Cooperation Office

Evaluation The assessment, as systematic and objective as possible, of an ongoing or completed project, programme, or policy, its design, implementation and results. The aim is to determine the relevance and fulfillment of development objectives, efficiency, effectiveness, impact and sustainability.

Controlling Key function within an organisation consisting in selecting relevant data with respect to steering and reflecting its own performance, then analysing, interpreting those data, with the aim to provide a robust basis for management decisions.

Abbreviations H 窶的KEZ Interdepartementales Komitee fﾃｼr Entwicklung und Zusammenarbeit (Untergruppe der multilateralen humanitﾃ､ren Zusammenarbeit) Inter-Departmental Working Group on Development and Cooperation (subgroup on multilateral humanitarian activities) IHL International Humanitarian Law IDP Internally Displaced Person IO International Organisation NGO Non-Governmental Organisation PD IV Political Division IV, Human Security (Peace, Human Rights Policy, Humanitarian Policy, Swiss Expert Pool) SDC Swiss Agency for Development and Cooperation seco State Secretariat for Economic Affairs (Swiss Ministry of Economic Affairs)

Photos: title: KEYSTONE/Patrick Hertzog & IFRC/Miroslav Petrovic; page1: CICR/Boris Heger; page 2: SDC/Samer Mohdad; page 3: Christa Jeker; page 4: IFRC/Patrick Fuller; page 5: HRW/Joanne Mariner; page 6: Stephan Barraud; page 7: SDC/Toni Linder; page 8: UNICEF/Shehzad Noorani; page 9: KEYSTONE/Richard Vogel; page11: CICR/Charles J. Page; page 12: CICR/Boris Heger & IFRC/Thorkell Thorkelsson; page13: SDC/Thomas Kern; page 14: SDC/Thomas Kern; page 15: CICR/Fred Clarke; page 17: IFRC/Christopher Black

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Swiss Agency for Development and Cooperation ( SDC ) Department of Humanitarian Aid and Swiss Humanitarian Aid Unit Sägestrasse 77, KÜniz 3003 Berne Phone +41 31 322 34 75 Fax +41 31 324 13 48 www.sdc.admin.ch