Caroline Clarinval worked for the International Committee of the Red Cross (ICRC) where she managed large-scale relief operations in contexts affected by conflict and natural disasters for a decade. She has a background in Communications and holds a Masters degree in Public Health from the University of Liverpool UK. At present, she works at the Federal Office of Public Health in Switzerland. Since 2011 she is enrolled as a PhD candidate at the Institute of Biomedical Ethics at the University of Zurich in Switzerland and focuses on elaborating an ethical framework to assist humanitarian aid workers in their decision-making process. As such, she aims at building on her 10 years field experience and her interest in ethical theories aiming at developing tools that assist humanitarian aid workers in their difficult task to allocate limited resources.
In the field of humanitarian action, making ethically justified decisions is challenging. In disaster affected contexts the needs faced by populations oftentimes outweigh personal and material resources
In many cases, these values cannot simply be implemented, but need to be specified and possibly weighed against each other. For example, in contexts where a value such as saving lives conflicts with personal security, aid workers may choose to refrain from engaging in assisting distressed populations due to the lack of security on the ground
Dilemmas arise frequently (but not exclusively) in the context of resource allocation, particularly since humanitarian aid is a limited resource, with programmatic decisions being based on unmet needs
In usual practice, the humanitarian discourse neither disentangles conflicting values nor identifies and clearly names ethical issues. Rather, ethical problems tend to be reduced to matters of geopolitics or management. For example, assisting populations in contexts with limited access must consider the critical trade-off between the principles of beneficence and justice. Due to the lack of security on the ground, agencies are unable to confirm whether all of the goods reach the population successfully. As long as this process of ethical decision-making is neglected, operational decisions might be made in a discriminatory way, potentially skewing assessments and affecting programmatic outcomes.
One reason for this situation may be that managers in charge of humanitarian operations are unlikely to be trained in ethics. Hence, ethical issues remain unidentified and therefore unaddressed. Fink and Redaelli
Overall, the resource allocation processes seem to lack structure and transparency, hindering a comprehensive evaluation of the impact of aid. Therefore, decision-making processes of aid agencies are stifled and run the risk of adding further damage to their beneficiaries.
This paper aims to meet this challenge which hinders the effectiveness of humanitarian efforts. First, we use three cases situated at macro-, meso- and micro-levels to illustrate different ethical conflicts that may arise in the context of humanitarian aid. Second, we propose a novel ethical framework suggesting a set of normative values that might be considered by humanitarian aid workers during their decision-making process. This set of values draws parallels to certain public health ethics frameworks, since humanitarian aid workers often focus on assisting large populations. Third, to address those processes, we propose a ten-step approach that is based on clinical ethics models. As such, tools that have already proven useful for addressing dilemmas in the clinical setting are applied to a humanitarian aid context for the first time. Finally, we propose certain organizational measures that aim to support humanitarian aid organizations in their effort of implementing the framework and securing well-argued and fair decision-making in their daily work.
The following cases[1] have been chosen to illustrate the ethical dimension of many decisions in humanitarian aid. They reflect instances that have occurred in practice, and are likely to describe situations that are familiar in some form or other by those active in the field.
For most humanitarian organizations, the management of operational budgets rely on suggested interventions from the field and the amount of financial resources sourced by fundraisers. Humanitarian aid has restricted capacities, which usually leads to a prioritization of populations in acute crisis. In these situations, emergency appeals can be launched to raise additional funds. However, the allocation of aid to more chronic contexts in the state of deterioration, stabilization, or imminent recovery also needs scrutiny, because the respective populations might be over- or underserved. The budget of these more long-term operations is usually annually reviewed and adjusted.
As illustrated in this case, repeated budget cuts in practice are likely to be carried out at central headquarter level. If decisions are made in a top-down fashion behind closed doors, the expert staff in the concerned countries are unlikely to participate in the decision-making process, leading to a lack of transparency and accountability. Populations affected by disasters are subjected to arbitrary budget allocations and may or may not benefit from external aid, depending on who voices their concerns most effectively. Framing budget allocation issues is a matter of justice rather than merely a technical matter of finance. It also allows the use of criteria for fair process, such as transparency, moral relevance of the arguments justifying the decision, and allowing the the decision to be revised in light of new information
Humanitarian resources are allocated on the basis of both political grounds and need
A justification for this intervention could have been that in the context of armed conflict, involving all parties in the conflict is acknowledged as paramount to promoting acceptability of the humanitarian organization and its staff, which will in turn contribute to their safety and security. Since this was not communicated from the outset, the staff on the ground rightly felt that they had been used for a purpose that they were not informed about and had not consented to. As a result, they lost trust in their organization and the self-serving agenda which would merely enhance the organization's reputation or ensure that the area was not left to competitors. Aid workers must be in a position to make an informed personal decision whether the goals of the mission justifies the risks involved. Omitting this step disrespects the autonomy of individuals who are exposed to potential harm.
Humanitarian organizations are regularly involved in the capacity-building programs of local health care providers. In such programs, expatriate physicians or other healthcare professionals train and build the capacity of local providers, which requires meeting a certain set of preconditions. For instance, the roles and responsibilities of the expatriate in charge and the local physicians need to be clarified at the outset
For the organization, the emphasis was on ensuring a continued presence in the country, accepting a certain degree of harm. However, it cannot simply be assumed that high-risk actions potentially resulting in significant harm to patients are justified for the sake of remaining present in certain contexts, at least if this means pursuing a political rather than a purely humanitarian goal. Programs that deploy highly qualified staff such as surgeons and have the goal of implementing projects bearing high risks to the affected population need to be thoroughly evaluated in regard to potential harms and benefits, as well as their distribution. At present, the decision-making structures do not explicitly insist on carrying out an in-depth review of the benefits or risks that certain operations have on the beneficiaries. Ethical aspects should be identified before deploying teams or at least as dilemmas arise. Programs should also be regularly monitored and evaluated in order to avoid causing unnecessary and unjustified harm.
These three cases illustrate that humanitarian contexts are riddled with ethical issues on every level and they vary in complexity. Providing a simple, straightforward answer to these issues is difficult and often impossible. First, there appears to be a gap in the literature regarding the identification of possible ethical issues and their distinction from geopolitical or strategic questions. Second, there may be genuine conflicts of principles or values that cannot be solved by decreeing a single “solution” but need to be resolved by identifying and critically examining arguments in light of input from various perspectives and the relevant empirical data available. For instance, deciding who should receive limited relief goods requires weighing ethical principles such as beneficence and non-maleficence, or equality and needs. This process would benefit from an ethical framework and standardized steps tailored to the humanitarian context that are currently unavailable. In absence of set criteria on how to weigh the principles, we suggest pointing towards Beauchamp and Childresses’
Generally, the decision-making processes involved in allocating and delivering limited humanitarian resources strive to improve people’s well-being. However, decision-making processes and the degree to which ethical issues are identified and addressed differ across organizations. No structured reference framework currently exists that can assist aid workers in identifying potential ethical issues and support them in their decision-making process.
In this section, we propose such a framework, drawing on resources that have been developed in the fields of public health and clinical ethics. In public health ethics, the focus is on eventual dilemmas arising between individual rights and community benefit
Distilling relevant experiences and insights from both public health ethics and clinical ethics and adjusting them to the context of humanitarian aid may allow the young field of ethics of humanitarian action to advance in an efficient way, while benefitting from achievements in neighboring fields.
In public health, a number of ethical frameworks have been proposed
A challenge in addressing ethical issues in public health is that much policy-making remains in silos, which hinders the joint effort at forming cross-sectoral public policy
In referring to clinical ethics frameworks in the context of humanitarian action, we acknowledge that humanitarian action evolves in a complex environment involving multiple relationships. Some of these are hierarchical, and some are fraught with cross-cultural issues. Deciding the correct course of action can be a formidable challenge under such circumstances. Yet, decisions must be made in clinical settings according to professional norms
In the context of clinical settings, complex decisions, including the allocation of limited resources, have to be made frequently. Clinical ethicists have developed various tools that assist decision-makers in this difficult task. Key features of some of these tools[3] are:
Situation analysis involving all concerned actors Description of the key values at stake and their potential conflict Critical examination of the arguments at stake Description of options and their potential and forecasted consequences on each actor Weighing of options Agreeing on the way forward
In a suitably adapted form, similarly structured multi-step approaches might also support the decision-making processes in humanitarian programs. In addition, clinical ethics has developed models for fostering expertise in clinical institutions without moral responsibility being delegated to an “ethics expert” (see “Institutional requirements” below).
Our suggested ethical framework is an attempt to engage the humanitarian community in the discourse of identifying ethical issues in the context of humanitarian action and to provide tools to strengthen the decision-making process of humanitarian aid workers. The framework draws from previously developed concepts that have proven useful in public health and clinical ethics. This framework has three main aims.
First, it intends to emphazise that humanitarian action is based on
Second, a
The values listed in Table 1 have been drawn from an empirical study by one of the authors that analyzed the value statements of 46 international organizations active in the humanitarian context
Specific values
Cross-cutting values
Substantive
Procedural
Substantive
Procedural
Macro and meso level
Poverty reduction
Inclusiveness
Duty to provide care
Transparency
Micro level
Focus on the worst off
Responsiveness
These values[4] represent only a selection that can serve as a starting point for individual organizations developing their own value matrix. These organizations will find that some values are specific to levels relevant to their decision-making structure, while others cut across different issues. For instance, aid workers at the micro-level might not be expected to worry about the sustainability of organizations, which may be of more concern to headquarters. However, the aid workers might be expected to deliver aid in a non-discriminatory way. Some of the values in an organization’s value matrix will be more substantive, while others are more procedural. Although the classification of some values can be contested, the point is to revisit two central questions organizations should ask themselves: a) What are the moral values we try to realize with our work, and b) How do we want to obtain these goals?
Based on the assumption that decision-makers are aware of the need to a) identify ethical issues in the humanitarian context as such, and that b) the organization embraces values, norms, or principles that can serve to justify a response, we suggest a ten-step approach that supports aid workers at macro-, meso- and micro-levels alike in their difficult task of making ethically sound decisions. This approach is based on tools that are well-established and effective in clinical settings.
However, before initiating the first step, the following preconditions should be met. First, a platform to discuss needs should be made available where opinions can be shared openly. This might entail a round-table discussion similar to ethical consultations in a clinical setting. These discussions would ideally evolve into regular meetings of an established group of ethics committees. Second, all participants acknowledge that various interests may affect the decision-making process, such as those of organizations themselves, the donor community, local or regional governments, and others. It is, however, paramount that the interests of the beneficiary are at the center of the debate during the discussion. Finally, an ethicist should oversee the discussion, ensuring that all participants have equal opportunity to express their viewpoints. Based on the success of this approach for dealing with ethical dilemmas in clinical settings, we believe that a formally trained ethicist would be a valuable asset to humanitarian organizations. Ethicists have a unique ability to identify critical ethical issues and act as an intermediary between multiple parties in order to resolve them fairly. Hiring such a professional would not require significant financial investment from an organization and might also provide aid workers, managers, or physicians with some degree of formal ethics training.
Activity
Description of the activity
1
Gathering evidence
Situation analysis involving all concerned actors
2
Specifying values, norms
Description of the key values at stake
3
Critical examination of arguments
Critical examination of the legal, factual and ethical issues
4
Defining options
Describe options and their potential and forecasted
5
Weighing
Weighing of options in the light of the identified arguments
6
Elaborating decisions
Deciding on the most appropriate option
7
Providing justification
Justifying the choice of the option
8
Implementation
Define measures to improve successful implementation
9
Monitoring and
Monitoring of indicators assessing the decision's impact
10
Recommendations
Recommendations for future actions
This proposed approach embodies the core of the ethical framework by providing a structure to the decision-making process by humanitarian actors. It improves its transparency, which is paramount to promoting justice. This ten-step approach is applicable at a macro-, meso- and micro-level.
To test whether the
A well-documented and transparent decision-making process is essential to permitting review and questioning whether or not the decision was appropriate. As such, organizations can monitor and evaluate the operational implementation of the program and retrospectively assess the portrayed options and whether another decision would have been a better one. These factors thereby contribute to the continuous improvement of decision-making processes within the organization.
Guiding humanitarian aid workers in their difficult task to make decisions and allocate resources
In clinical ethics, the hub and spokes model
As with clinical practice, humanitarian contexts are often highly challenging and ideally require a fully trained ethicist to assist and act as a mediator who guides the decision-making process. The experienced ethicists train all ethics resource leaders to ensure that skilled humanitarian aid workers are available and able to act as ethicists at all levels. Depending on the level at which ethical consultation is needed, either the experienced ethicists or the ethics resource leader constitute a committee including key stakeholders as participants. Subsequently, the committee either decides to proceed according to the principles stated in the ethical framework proposed here or agrees to a set of core principles for future reference and to shape the decision-making process.
Looking across humanitarian organizations show that a wide range of values continues to prevail, and reaching a consensus on a set of core values or principles is a challenging task. Yet, humanitarian action is embedded in substantive and procedural values of ethical relevance. At present, however, identifying conflicting values is not part of many organizations’ decision-making culture, which is predominantly marked by a geopolitical discourse. Therefore, a platform is required to allow for such debates.
Beginning with the framework described in this paper, each organization must elaborate their own approach to ethical decision-making, attuned to their value set and the ethics resources available at their institution. Importantly, regardless of the detail in the structures and processes, they must be conceived as a learning system that begins imperfectly but aims at continuous improvement. In addition to tailoring the overall approach to the specific needs and features of individual humanitarian aid organizations, a further challenge will be creating opportunities for exchange between organizations. It will be important for organizations to benefit mutually from experiences and explore potential for common standards that might emerge.
Another anticipated obstacle involves the issue of resources required for establishing or upscaling an ethics structure in humanitarian aid organizations. With regard to this concern, it is important to consider that to pursue a greater goal, material and human resources are at risk of being misused or instrumentalized. The aim of the ethical framework is to raise such concerns and demand specific justifications in such cases. Solid, ethical decision-making processes can help save resources by adding a level of scrutiny that may help avoid bad or wasteful choices. The meso-level case described above provides a useful example in which this approach would have been beneficial. The organization's primary goal in distributing food aid was not to improve the local population’s nutritional status, but, instead it was to increase access to local leaders. Therefore, ethicists play an important role in guiding organizations through the decision-making process. It is left up to each organization to find the mechanism that best suits their decision-making process. Applying the hub and spokes model does not require extensive additional human resources, but will require staff with a specific profile who already have the necessary competencies.
In this paper, we emphasize that ethical issues are inherent in humanitarian action. We highlight sp,e possible ethical dilemmas and decisions faced by humanitarian workers and show that their participation in the decision-making process was often lacking. The proposed ethical framework strives to a) stress certain values that guide humanitarian action, b) recommend a ten-step approach that strengthens humanitarian aid workers’ capacity to identify and address ethical issues when making decisions, and c) suggest a model (“hub and spokes”) that helps define the organizational resources needed to implement the framework.
The ethical framework aims to support humanitarian aid workers and other stakeholders in their decision-making process, which will ultimately improve the processes of project cycle management. This is especially relevant because humanitarian action remains a challenging field involving multiple actors that adhere to different sets of principles in often highly complex and volatile environments. The proposed tools also foster exchange through mediated discussions involving all stakeholders, which in turn promotes coherence in decisions and outcomes.
If humanitarian organizations had adopted such an approach in the sample cases presented in this paper, the outcome would have been significantly different. For example, repeated budget allocations would not occur without involving the program managers in the field, who are directly concerned with such decisions. Material resources would not be used to meet covert goals and staff members would be educated so that they can provide informed consent prior to their deployment. Moreover, measures would be taken to mitigate the harm of any operational program on the beneficiaries.
Because humanitarian action frequently evolves in highly volatile contexts, promoting ethical considerations within and across actors and organizations is essential to avoid exacerbating the challenges faced by victims of disasters.
[1] The macro-, meso- and micro-levels chosen in this context represent the three main levels of decision-making within a humanitarian organization, partially excluding a social ecological
[2] Beauchamp and Childress (2009: 23) propose six conditions that ‘must be met to justify infringing one prima facie norm to adhere to another. According to the authors 1) good reasons can be offered to act on the overriding norm rather than on the infringed norm. 2) The moral objective justifying the infringement has a realistic prospect of achievement. 3) No morally preferable alternative actions are available. 4) The lowest level of infringement, commensurate with achieving the primary goal of the action, has been selected. 5) Any negative effects of the infringement have been minimized. 6) All affected parties have been treated impartially.
[3]These tools are described in Fletcher’s Introduction to Clinical Ethics
[4] For the purposes of this paper, we do not distinguish between values, norms and principles. The values in the table could also be phrased as principles or norms.
We wish to thank Paul Bouvier, Philippe Calain, Martin Herrmann, Shazia Islamshah and Raissa Magnin for their insightful and valuable comments.