Annexes to COM(2021)110 - EU’s humanitarian action: new challenges, same principles

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dossier COM(2021)110 - EU’s humanitarian action: new challenges, same principles.
document COM(2021)110 EN
date March 10, 2021
agreements with partner countries, where relevant.

·Consider including serious IHL violations as grounds for listing in EU sanctions regimes whenever appropriate while ensuring that any potential negative impact on humanitarian activities is avoided.

·Continue ensuring that IHL is fully reflected in EU sanctions policy including through the consistent inclusion of humanitarian exceptions in EU sanctions regimes. Work towards an effective framework for the use of such exceptions by humanitarian organisations receiving EU funding. Provide further practical support to humanitarian organisations with regard to their rights and responsibilities in the different EU sanctions regimes.

·Continue promoting dialogue between all parties involved in humanitarian assistance (donors, regulators, NGOs and banks) in order to facilitate the delivery of humanitarian assistance to all those in need.


4.2 Enhancing the EU’s engagement and leadership

Working as ‘Team Europe’

The EU’s humanitarian aid enjoys strong public support 63 as one of the most visible facets of the EU external action. Under the EU Treaties, both Member States and the EU have important and distinct roles to play in humanitarian aid. There is scope to leverage this collective impact by coordinating efforts and ensuring complementarity and by promoting a humanitarian-development-peace nexus approach.

Specifically, common EU messages on key humanitarian crises can sustain ‘humanitarian diplomacy’ initiatives at bilateral, regional and international level. Consolidated EU pledges (alongside national ones by Member States) can enhance the visibility of the EU’s commitment at international pledging events.

Member States and the Commission in a Team Europe approach can also benefit from even closer sharing and pooling of analysis in crisis situations. The Commission will thus continue to make the expertise of its humanitarian field network 64 , alongside that of the EU Delegations, available for the benefit of Member States. This will include offering more systematically the option of implementing part of their funding in specific crises through direct contribution to EU budget instruments as external assigned revenue.

Pooling of resources can also help maximise the impact of EU and Member States’ interventions, while offering Member States the possibility to extend the reach of their humanitarian assistance. Such efforts will of course be complementary to – and should not compete with – established pooled funding mechanisms.

At the operational level, the Commission will bring its own expertise and resources to the table, both in humanitarian assistance and in civil protection, including its network of humanitarian field experts and the Union Civil Protection Knowledge Network 65 . In parallel, the EU will continue to develop policies and guidelines in relevant areas of humanitarian aid, building on the impact its thematic policies have had in areas such as protection, gender, disability, food, nutrition, health – including mental health and psycho-social support – shelter, water, sanitation and hygiene, education in emergencies, environment and aid delivery methods (e.g. cash assistance).

While contributing actively to dialogue on humanitarian issues at the multilateral level, the Commission will organise in 2021 a European Humanitarian Forum to promote a more sustained discussion and dialogue, including on the humanitarian policy issues raised in this Communication in a Team Europe spirit. This will involve key stakeholders from Member States, the EU institutions including the European Parliament and operational humanitarian actors.

The Commission will moreover continue its efforts to promote the visibility of the EU’s humanitarian aid. The Commission will update the guidance and monitoring of visibility obligations, empowering its humanitarian partners to invest more in awareness raising with regard to the EU’s humanitarian aid. The Commission’s communication actions will support the overall principles of transparency, accountability and dialogue with the citizens.


Strengthening the EU’s humanitarian engagement at multilateral level

In a challenging geopolitical environment, the EU is committed to supporting the central coordinating role of the UN in the response to humanitarian crises and in establishing and upholding international normative and legal frameworks. To support the UN effectively, it is critical that the EU and its Member States strive systematically to consolidate positions in international and multilateral forums, including at the UN hubs in New York, Geneva and Rome. The EU will continue to play an active role in international dialogues on humanitarian issues, including in the UN General Assembly and the UN Economic and Social Council. The EU will further strengthen its engagement in the governing bodies of UN agencies, funds and programmes 66 .

Objective: Enhance the EU’s engagement and leadership on humanitarian aid to maximise its impact.


Key actions:

·Encourage common messages by the EU and its Member States on key humanitarian crises and encourage consolidated EU and Member States pledges at international humanitarian pledging events (alongside national ones) in a Team Europe approach. Strive to consolidate the EU and Member States’ positions in relevant international and multilateral forums.

·Develop the option of use of external assigned revenue for EU Member States to avail themselves of the EU’s humanitarian field presence and expertise.

·Organise a European Humanitarian Forum in 2021 to promote dialogue on humanitarian policy issues.

·Promote and engage in further dialogue with key stakeholders on taking forward the key proposed actions set out in this Communication. 


5.Conclusions

Humanitarian aid is a concrete expression of EU solidarity, a fundamental and much-needed value during these challenging times. Against the backdrop of growing humanitarian needs and limited resources and in line with its founding principles and values, the EU must continue leading by example in this area. The ambitious agenda set out in this Communication can only be achieved in close coordination with the EU Member States and the EU’s humanitarian partners. The Commission invites the European Parliament and the Council to join in supporting and taking forward the proposed actions in this Communication.


Appendix: overview of key actions

Key actions for the EU

Objective: Promote flexible and efficient humanitarian action and funding mechanisms.

·Extend multiannual and flexible funding arrangements with humanitarian partners – liaising with development instruments whenever a nexus approach can be foreseen – and simplify/harmonise reporting requirements in line with the Grand Bargain, while ensuring that needs assessments are coordinated between agencies and that the accountability, efficiency and visibility of EU support are strengthened.

·Increase EU support to local responders, including by expanded use of country-based pooled funds and other funding mechanisms that prioritise local actors.

·Develop guidance on the promotion of equal partnerships with local responders.

·Encourage further use of digital tools by humanitarian partners, including through joint work to build an enabling environment.

·Develop specific guidance on expanding the use of digital cash and ensure aid recipients’ access to digital solutions in the context of the revision of the EU’s thematic policy on cash transfers.

·Support, scale up and promote investments in proven, cost-effective, technology-based solutions for humanitarian aid, also building on the example of the 2020 European Innovation Council awards.


Objective: Ensure that EU humanitarian aid can be delivered swiftly and efficiently to those in need.

·Develop a European Humanitarian Response Capacity to fill in gaps, as necessary, enabling the EU Member States and humanitarian partners to rapidly deliver humanitarian assistance, in coordination and complementarity with the Union Civil Protection Mechanism.


Objective: Further mainstream climate change impacts and environmental factors into humanitarian aid policy and practice and strengthen coordination with development, security and climate/environment actors to build resilience of vulnerable communities.

·Prepare guidelines and training for the EU’s humanitarian partners on greening humanitarian aid, with a view to reducing the climate and environmental footprint of humanitarian aid.

·Track climate-related expenditure under the EU Humanitarian Aid Regulation


Objective: Ensure that humanitarian, development, peace and other policies all work together to better link urgent relief and longer-term solutions, aiming at reducing needs and tackling the root causes of conflicts and crises.


·Undertake systematic EU joint analyses of the risks, needs, vulnerabilities and structural drivers of crisis as well as, when appropriate, joined-up programming and planning of EU’s policies, in line with the humanitarian-development-peace nexus.

·Implement effective linkages between the different humanitarian, development and peace actions and use existing tools, such as policy dialogue, to strengthen national and local capacities – including the capacity of non-state authorities – to provide basic services and support resilience building.

·Expand support for cash-based, shock-responsive social safety nets.

·Promote effective humanitarian civil-military coordination in all relevant contexts, as a framework to protect the humanitarian space, avoid duplication, minimise inconsistencies and maximise potential synergies with security and defence actors.

·Build synergies with EU peace mediation and conflict prevention efforts, in full respect of humanitarian principles, with a view to increasing efforts to alleviate suffering.

·Integrate education into the priority areas for the humanitarian-development-peace nexus to help bridge the global gap on education, alongside sectors such as health, food security, disaster preparedness and climate resilience.


Objective: Significantly increase the resource base for humanitarian action.

·Launch a pilot blending initiative from the EU’s humanitarian budget to leverage additional funding from the private sector in a humanitarian context in 2021.


Objective: Put compliance with international humanitarian law (IHL) at the heart of EU external action to protect civilian populations, support principled humanitarian action and protect humanitarian and health care workers.


·Establish an EU-level coordination mechanism on IHL to ensure a better monitoring of IHL violations in the world, facilitate the coordination of relevant EU actors and support stronger EU humanitarian diplomacy.

·Further strengthen the IHL compliance framework including as part of the EU’s external instruments, inter alia through due diligence and through its political, security and human rights dialogues and trade agreements with partner countries, where relevant.

·Continue promoting dialogue between all parties involved in humanitarian assistance (donors, regulators, NGOs and banks) in order to facilitate the delivery of humanitarian assistance to all those in need.


Objective: Enhance the EU’s engagement and leadership on humanitarian aid to maximise its impact.


·Organise a European Humanitarian Forum in 2021 to promote dialogue on humanitarian policy issues.

·Promote and engage in further dialogue with key stakeholders on taking forward the key proposed actions set out in this Communication.


Key actions for the EU and Member States


Objective: Further mainstream climate change impacts and environmental factors into humanitarian aid policy and practice and strengthen coordination with development, security and climate/environment actors to build resilience of vulnerable communities.

·Significantly increase the share of climate funds dedicated to enhancing resilience and adaptation in the most disaster-prone countries and regions, in line with the new EU climate change adaptation strategy, and as part of the humanitarian-development-peace nexus approach.

·Bolster climate and environmental resilience of vulnerable populations, through the humanitarian-development-peace nexus approach and ensure dissemination and implementation of new guidance on disaster preparedness among the EU’s humanitarian partners, in close coordination with development and climate actors.

·Further develop and apply risk-informed approaches, including risk financing and scale up anticipatory action in different humanitarian contexts and regions.


Objective: Ensure that humanitarian, development, peacebuilding and other policies all work together to better link urgent relief and longer-term solutions, aiming at reducing needs and tackling the root causes of conflicts and crises.

·Strengthen coordination mechanisms at field level across the EU’s humanitarian, development and peacebuilding actions to ensure joined-up and coherent outcomes, with the support of EU Delegations and ECHO field offices. Work closely with the EU Member States in this framework in a Team Europe approach.

·Use the EU’s political and diplomatic engagement and all the instruments available to prevent crises, resolve conflicts and build peace, while stepping up advocacy in support of humanitarian operations so as to facilitate access and respect for humanitarian principles, protection of civilians and international humanitarian law.


Objective: Significantly increase the resource base for humanitarian action.

·Recalling the EU’s commitment to provide 0.7% of gross national income as official development assistance, work with Member States towards stepped-up humanitarian funding commitments commensurate with the steep increase in recent years in humanitarian needs and requirements.

·Step up EU engagement with traditional and emerging donor countries to recall the shared responsibility to support humanitarian response and integrate it more systematically into the EU’s political dialogue with relevant non-EU countries. Strengthen or forge alliances at the global level with like-minded countries to promote the global humanitarian agenda.


Objective: Put compliance with international humanitarian law (IHL) at the heart of EU external action to protect civilian populations, support principled humanitarian action and protect humanitarian and health care workers.


·Consider including serious IHL violations as grounds for listing in EU sanctions regimes whenever appropriate while ensuring that any potential negative impact on humanitarian activities is avoided.

·Continue ensuring that IHL is fully reflected in EU sanctions policy including through the consistent inclusion of humanitarian exceptions in EU sanctions regimes. Work towards an effective framework for the use of such exceptions by humanitarian organisations receiving EU funding. Provide further practical support to humanitarian organisations with regard to their rights and responsibilities in the different EU sanctions regimes.


Objective: Enhance the EU’s engagement and leadership on humanitarian aid to maximise its impact.


·Encourage common messages by the EU and its Member States on key humanitarian crises and encourage consolidated EU and Member States pledges at international humanitarian pledging events (alongside national ones) in a Team Europe approach. Strive to consolidate the EU and Member States’ positions in relevant international and multilateral forums.

·Develop the option of use of external assigned revenue for EU Member States to avail themselves of the EU’s humanitarian field presence and expertise.


(1)

 In 2020, the combined EU and Member States’ allocated funding amounted to EUR 7.577 billion ( https://fts.unocha.org/ )

(2)

Peace Research Institute Oslo, Conflict Trends: A Global Overview, 1946–2019.

(3)

World Bank, Global Economic Prospects, January 2021.

(4)

 UNHCR, Global Trends, Forced Displacement in 2019, https://www.unhcr.org/globaltrends2019

(5)

 Humanitarian crises marked by limited donor-response, overall funding shortages and a low-level of media attention.

(6)

Team Europe is composed of the EU, its Member States, their diplomatic network, finance institutions including national development banks and implementing agencies, as well as the European Investment Bank (EIB) and the European Bank for Reconstruction and Development (EBRD). More info: https://ec.europa.eu/international-partnerships/topics/eu-global-response-covid-19_en#header-2844

(7)

World Meteorological Organization, State of Climate Services 2020 Report.

(8)

International Federation of Red Cross and Red Crescent Societies, The Cost of Doing Nothing, September 2019.

(9)

United Nations, Global Humanitarian Overview 2021

(10)

UN OCHA, Financial Tracking Service, https://fts.unocha.org/

(11)

  https://fts.unocha.org/

(12)

Humanitarian Outcomes, Aid Workers Security Database, https://aidworkersecurity.org/incidents/report

(13)

  http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1431445468547&uri=CELEX:42008X0130(01) .

(14)

Council Regulation 1257/96 defines how the EU’s humanitarian assistance is delivered; it establishes that the EU’s humanitarian assistance should reach people affected by disaster or conflict, irrespective of their race, ethnic group, religion, sex, age, nationality or political affiliation and must not be guided by, or subject to, political considerations.

(15)

  https://www.ghdinitiative.org/ghd/gns/principles-good-practice-of-ghd/principles-good-practice-ghd.html

(16)

  https://data.consilium.europa.eu/doc/document/ST-5413-2018-INIT/en/pdf

(17)

 The European Consensus on Humanitarian Aid calls for the integration of environmental considerations in humanitarian aid sectoral policies and interventions.

(18)

  https://ec.europa.eu/international-partnerships/news/gender-action-plan-putting-women-and-girls-rights-heart-global-recovery-gender-equal-world_en

(19)

 The EU led the Call to Action ( https://www.calltoactiongbv.com/ ) from June 2017 to December 2018 and issued an operational guidance on the inclusion of people with disabilities in EU-funded humanitarian actions: https://ec.europa.eu/echo/sites/echo-site/files/2019-01_disability_inclusion_guidance_note.pdf

(20)

The EU has endorsed the ‘Commitments made by donors to tackle sexual exploitation and abuse and sexual harassment in the international aid sector’ and the 2019 ‘Development Assistance Committee Recommendation on Ending Sexual Exploitation, Abuse, and Harassment in Development Co-operation and Humanitarian Assistance’.

(21)

 ‘Equality for all and equality in all its senses’ is a key policy priority of the European Commission. To turn this objective into reality, since March 2020, the Commission has put forward a series of specific equality initiatives and strategies related notably to gender equality, disability, and the fight against different forms of discrimination. Those include notably the EU Gender Action Plan III in external relations; the EU Gender Equality Strategy 2020-2025; the EU Disability Rights Strategy; the EU LGBTIQ equality strategy 2020-2025; the EU anti-racism Action Plan 2020-2025; the EU Roma strategic framework for equality, inclusion and participation 2020-2030. ( https://ec.europa.eu/commission/commissioners/2019-2024/dalli/announcements/union-equality-first-year-actions-and-achievements_en ). See also EU action plan on human rights and democracy 2020-2024 ( https://ec.europa.eu/transparency/regdoc/rep/10101/2020/EN/JOIN-2020-5-F1-EN-ANNEX-1-PART-1.PDF )

(22)

United Nations, Global Humanitarian Overview 2021.

(23)

 See the UN Secretary-General’s policy brief ‘The impact of COVID-19 on women’: https://www.unwomen.org/en/digital-library/publications/2020/04/policy-brief-the-impact-of-covid-19-on-women ; See also the European Institute of Gender Equality’s website on the gendered impacts of COVID-19: https://eige.europa.eu/topics/health/covid-19-and-gender-equality

(24)

The Safe Schools Declaration (2015) is an inter-governmental initiative led by Norway and Argentina that seeks to strengthen the protection of education from attack and ensure the continuity of safe education during armed conflicts.

(25)

 Joint Communication on strengthening the EU’s contribution to rules-based multilateralism https://eeas.europa.eu/sites/default/files/en_strategy_on_strengthening_the_eus_contribution_to_rules-based_multilateralism.pdf


(26)

See High-Level Panel on Humanitarian Financing: Too important to fail - addressing the humanitarian financing gap, and https://agendaforhumanity.org/initiatives/3861

(27)

The others involve ACTED-FR, Save The Children-DK, Concern-IRL and International Rescue Committee-DE.

(28)

 For example, through the European Innovation Council prize for Affordable High-Tech for Humanitarian Aid that supported projects providing, among others, smart solutions to communities and refugees for affordable energy, health and medical care. In detail:  https://ec.europa.eu/research/eic/index.cfm?pg=prizes_aid

(29)

 Council Conclusions on cash transfers: http://data.consilium.europa.eu/doc/document/ST-10184-2015-INIT/en/pdf .

(30)

  https://ec.europa.eu/education/sites/default/files/document-library-docs/deap-communication-sept2020_en.pdf

(31)

  https://ec.europa.eu/echo/essn_en    

(32)

  https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32016R0679 .

(33)

  https://www.unocha.org/our-work/humanitarian-financing/country-based-pooled-funds-cbpf

(34)

  https://ec.europa.eu/research/eic/index.cfm?pg=prizes_aid

(35)

The humanitarian response was significantly affected by transport and supply chain disruptions, along with travel restrictions and lockdowns imposed across the world in the early stages of the COVID-19 pandemic.

(36)

  https://ec.europa.eu/echo/what/humanitarian-aid/humanitarian-air-bridge_en

(37)

  https://ec.europa.eu/echo/what/civil-protection/emergency-response-coordination-centre-ercc_en

(38)

  https://ec.europa.eu/info/sites/info/files/communication-united-front-beat-covid-19_en.pdf

(39)

  https://ec.europa.eu/info/sites/info/files/proposal-mandate-european-centre-disease-prevention-control_en.pdf

(40)

  https://europa.eu/youth/solidarity_en

(41)

In the first half of 2020, around 10 million people were displaced largely due to weather related hazards and disasters, mainly in South and South-east Asia and the Horn of Africa - World Meteorological Organization, 2020.

(42)

Council conclusions on Climate and Energy Diplomacy - https://www.consilium.europa.eu/media/48057/st05263-en21.pdf , Climate Change and Defence Roadmap - https://data.consilium.europa.eu/doc/document/ST-12741-2020-INIT/en/pdf  

(43)

Anticipatory action involves pre-planning early actions based on which funding can be disbursed quickly before a natural or human-induced disaster takes place or any other trigger for action is reached. It is also relevant for other types of anticipated emergencies, not only those linked to climate change.

(44)

  https://www.undrr.org/terminology/early-warning-system

(45)

Actions implemented by the International Federation of Red Cross and Red Crescent Societies, Bangladesh Red Crescent, World Food Programme.

(46)

None of the 20 countries most vulnerable to climate change and climate-related disasters featured among the top 20 per capita recipients of climate change adaptation funding, according to the IFRC World Disasters Report 2020.

(47)

For example, in the context of its cooperation with the World Meteorological Organization.

(48)

Part of the Commission’s climate-neutral commitments.

(49)

  https://ec.europa.eu/info/strategy/priorities-2019-2024/european-green-deal_en

(50)

 ‘Lives in Dignity’ https://ec.europa.eu/echo/files/policies/refugees-idp/Communication_Forced_Displacement_Development_2016.pdf

(51)

  https://www.unhcr.org/the-global-compact-on-refugees.html

(52)

  https://ec.europa.eu/info/sites/info/files/joint_communication_global_eu_covid-19_response_en.pdf

(53)

  https://reliefweb.int/report/world/high-level-panel-humanitarian-financing-report-secretary-general-too-important-fail

(54)

  https://fts.unocha.org/global-funding/overview/2020

(55)

  https://ec.europa.eu/international-partnerships/system/files/european-consensus-on-development-final-20170626_en.pdf

(56)

  https://ec.europa.eu/info/sites/info/files/joint-communication-eu-us-agenda_en.pdf

(57)

 For instance, in the context of its co-chairmanship of the Good Humanitarian Donorship initiative (2018-2021) or as a member of the Humanitarian and Resilience Investing Initiative https://www.weforum.org/projects/humanitarian-investing-initiative?emailType=Newsletter)

(58)

  https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=LEGISSUM:ah0004

(59)

 Commission Guidance Note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU restrictive measures:

https://ec.europa.eu/info/sites/info/files/business_economy_euro/banking_and_finance/documents/201116-humanitarian-aid-guidance-note_en.pdf

(60)

 For instance, the Communication “The European economic and financial system: fostering openness, strength and resilience” envisages a review of existing regimes to inter alia assess their impact on the provision of humanitarian aid   https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A52021DC0032&qid=1611728656387

(61)

Out of 42 EU sanctions regimes currently in force, 7 include humanitarian exceptions of some kind.

(62)

Launched by the French and German Foreign Ministers in New York on 26 September 2019. The EU endorsed it in December 2020. ( https://onu.delegfrance.org/Strengthening-respect-for-international-humanitarian-law )

(63)

According to December 2020 Eurobarometer insights, 91% of the interviewed EU citizens say it is important or very important that the EU funds humanitarian aid activities

https://ec.europa.eu/commfrontoffice/publicopinion/index.cfm/survey/getsurveydetail/instruments/special/surveyky/2265

(64)

 The Commission’s humanitarian field (ECHOField) network consists of 49 offices in 41 countries with around 450 experts providing technical assistance and monitoring of EU humanitarian aid.

(65)

  https://ec.europa.eu/echo/what/civil-protection/knowledge-network_en

(66)

Joint Communication on strengthening the EU’s contribution to rules-based multilateralism https://eeas.europa.eu/sites/default/files/en_strategy_on_strengthening_the_eus_contribution_to_rules-based_multilateralism.pdf