Humanitarian operations in the DPRK: an analysis of organisational attributes that humanitarian organisations should posses to stimulate operational effectiveness

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Humanitarian operations in the DPRK: an analysis of organisational

attributes that humanitarian organisations should posses to stimulate

operational effectiveness

Master Thesis Double Degree in International Humanitarian Action and International Relations (NOHA)

M.M.A. Sablerolle, S2012030

University of Groningen, The Netherlands Uppsala University, Sweden

Supervisor: Prof. D. Shim, University of Groningen 24000 words required (10% deviation at maximum)

Word count: 25586 (excluding bibliography, annexes and transcripts)

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Abstract

The scale and protracted nature of the humanitarian situation in the Democratic People’s Republic of Korea is both underestimated and under-researched. It has more or less vanished from the global political agenda. Humanitarian relief efforts are limited, but remain crucial to the well being of several million Koreans. This thesis has aimed to regenerate some interest in both the humanitarian situation as well as current humanitarian operations being carried out. The main aim has been to provide humanitarian organisations working in the DPRK with a set of recommendations on how to improve their operational effectiveness through the implementation of several organisational attributes that are needed to operate successfully. This was achieved by conducting a literature review where different theories on the operational effectiveness of humanitarian organisations have been analysed, resulting in a list of nine organisational attributes that are, in theory, the key ingredients to ensuring operational effectiveness. These elements include: good communication, excellent leadership, dedicated staff, a clear, goal-oriented mandate, cultural awareness, a grassroots approach, campaigning abilities, accountability to donors and collaboration with other organisations. These attributes were discussed in a primary data collection with six respondents working for humanitarian organisations in the DPRK, and have resulted in the conclusion that not all of these theoretical elements are applicable to encouraging operational effectiveness in the DPRK, but that additional attributes are also required, namely: patience, flexibility, well-planned, realistic programmes and a long-term presence. The final recommendations include for current humanitarian operations to remain in the DPRK and scale up their programmes, continue negotiations with the government for improved access to beneficiaries and advocate for an increase in monitoring and evaluation activities.

Key search terms: operational effectiveness, DPRK, humanitarian relief efforts North Korea, organisational attributes of humanitarian organisations

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Preface

I would like to dedicate this thesis to five incredible people who have guided me through the DPRK: Ms So, Mr Yu, Ms Han, Ms Park and Mr Che. Although they will probably never read this, and probably not agree with some of the things I’ve written about their country, they mean a lot to me. They have humanised North Korea for me, they have made me realise that North Koreans are an extremely resilient, tough and innovative bunch of people. Although many people will unfortunately and unjustly see them as ‘victims’ of the regime, my guides taught me that North Koreans are just like ‘us’: falling in love, getting married, having children, hanging out with friends and family. Not by factually stating this, but by exchanging stories and anecdotes with me about their own lives. They have shown me the country in a different light, opened my mind and taught me things I would have never been able to learn form a book. I am truly thankful to them for that.

This thesis marks the end of a dynamic phase in my life: slowly, I grew away from my student life in Groningen and Uppsala, and moved towards the doorstep of my professional career. Many people have helped me to get through this transition, and some of them I would like to thank in particular.

Firstly, special thanks must go to David Shim, my supervisor who has enthusiastically guided me through the process of writing this thesis. Always quick to reply and ever optimistic, I am grateful for all your help and feedback. Secondly, thank you so much to my amazing parents: they have always believed in me, and this infinite confidence in my abilities has inspired me to keep going, improve myself, and always do my best. Their love for travelling and working internationally was what encouraged me to visit the DPRK in the first place. A big thank you must go to Robert Grund, who with his many connections in Pyongyang put in a lot of effort to help me find respondents for my interviews. Thank you also to Piotr Dzierżanowski, who, aside from proving to be an excellent travel buddy in North Korea, has provided me with constructive feedback whenever I was feeling doubtful. Thanks for your pep talks! Lastly, I am eternally grateful to all the wonderful people working in Pyongyang who participated in an interview with me: their help has made doing this research worthwhile, and their passion for helping the DPRK and its people has much inspired me. Kamsa-hamnida!

I hope this research has contributed something to the limited academic literature available on this unique country. The humanitarian situation in North Korea deserves much more attention from the world, and I encourage people to stop seeing it as a ‘failed state’. For now, I wish for a better future for its inhabitants.

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List of Abbreviations

AREP: Agricultural Recovery and Environmental Protection

DEVCO: Directorate-General for International Cooperation and Development DPRK: Democratic People’s Republic of Korea (North Korea)

ECHO: European Commission’s Humanitarian Aid Office EUPS: European Union Support Units

FALU: Food Aid Liaison Unit

FAO: Food and Agricultural Organisation FDRC: Flood Damage Rehabilitation Committee FIDA: Finnish Development Cooperation Organisation HCT: Humanitarian Country Team

ICRC: International Committee of the Red Cross

IFRC: International Federation of Red Cross and Crescent Societies KECCA: Korean European Union Coordination and Cooperation Authority MDM: Médicins Du Monde

MSF: Médicins Sans Frontières

NCC: National Coordination Committee NGO: Non-Governmental Organisation PDS: Public Distribution System PRC: People’s Republic of China ROK: Republic of Korea (South Korea)

SDC: Swiss Agency for Development and Cooperation UNDP: United Nations Development Programme

UNFPA: United Nations Family Planning Association UNICEF: United Nations Children’s Emergency Fund WASH: Water, Sanitation and Hygiene

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List of Figures

Number Page

1. Overview of organisational attributes classified in two sections of importance 35

2. Qualitative research cycle 37

3. Overview of current humanitarian projects in the DPRK 51 4. Overview of necessary theoretical organisational attributes in the DPRK 56

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1. Introduction

The humanitarian landscape is changing: crises are becoming more complex in nature, safety of aid personnel is increasingly difficult to guarantee and humanitarian organisations are finding themselves pushed to extreme limits to reduce human suffering whilst still being able to operate effectively (Collinson & Erhawady, 2012). Operating in high-risk area’s can put pressure on humanitarian organisations; their humanitarian space is being constrained, attacks on aid workers are increasingly common and aid may not reach those suffering due to poor or damaged infrastructure (Collinson & Erhawady, 2012). No two conflicts or disasters are the same in nature, which makes providing an effective response to these crises difficult (Stoddard, Harmer & Haver, 2006).

1.1 Research problem

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A list of characteristics come to mind immediately; trust between the government and the organisation, good partnerships with other organisations, clear and frequent communication, clarity of vision and mandate, transparency in operations, sustainability, cultural awareness and sensitivity, diversity in terms of staff, a good internal governance mechanism, and good accountability to stakeholders (Mitchell, 2015; Edwards, 1999). A study conducted by Lister (2000) conveyed that good collaboration and partnerships with other humanitarian organisations is a key element to ensure operational effectiveness. Slim (2002) on the other hand, draws heavily on the importance of good accountability and transparency towards all stakeholders. According to Hailey & James (2004), it is the necessity of excellent leadership that makes humanitarian organisations operate successfully. On the other hand, research done by Fowler (2006) conveys that the quality and depth of relationship of an organisation to the local government of the country they are working in is of great significance for operational effectiveness.

It can thus be observed that there are two categories of elements that relate to organisational effectiveness: those external to the humanitarian organisations, such as trust, good collaboration with other organisations (Lister, 2000; Fowler, 2006; Edwards, 1999) and those of internal importance to the NGO, such as good leadership, a clear mandate, accountability and transparency (Hailey & James, 2004; Slim, 2002; Edwards, 1999). After having reviewed several articles on the topic, two things became apparent: the research conducted on this specific topic is both relatively old and relatively divided.

1.2 Research objectives and research question

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‘What organisational attributes are necessary to ensure operational effectiveness of

humanitarian organisations?’

However, the topic discussed above is very broad and as is stated by Stoddard, Harmer & Haver (2006), no two conflicts are the same. Humanitarian organisations are continuously facing different crises and are expected to operate in different, high-risk areas (Stoddard, Harmer & Haver, 2006). It is therefore interesting to apply this theoretical aspect of ‘what makes a good humanitarian organisation’ to a specific case or country, making this research more focussed and concrete. The decision on what humanitarian situation to choose as a case study for this thesis has been influenced by not only a strong personal interest, but also increasing proof that the humanitarian situation in this country is structurally not improving as well as unique in nature (Everard, 2012 and Jang, 2014). North Korea is one of the only countries in the world where a humanitarian situation has arisen as a result of structural political and economic mismanagement, rather than a conflict, war or natural disaster tormenting the country (Martin, 2006). A personal visit to the country this April has driven and inspired me to do more research on the humanitarian situation, which is very obviously there in the form of extreme poverty and visibly malnourished people, but doesn’t seem to be receiving much Western media attention. Concessional politics, talks about nuclear weapons and a recently held party congress occupy news headlines, but statistics on malnourished people are lacking.

North Korea is an interesting case to apply to the theoretical framework of this thesis, as much research has been conducted on how humanitarian organisations respond to conflict situations, or natural disasters, but not much on how to respond to crises insinuated by political and economic mismanagement (Martin, 2006). Academic research on both the humanitarian situation as well as the humanitarian organisations operating in North Korea is limited (Smith, 2005 and Everard, 2012) making this thesis a necessary piece of research within academic literature.

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experience in working for humanitarian organisations in the DPRK, conveys that both the DPRK government and humanitarian organisations are unsure how to behave towards one another due to complete lack of experience. During the 1990’s famine, the DPRK issued an official statement appealing for humanitarian aid to deal with the crisis (Smith, 2002; Flake & Snyder, 2003). Humanitarian organisations flooded in, but had very limited knowledge of the politics, economy, society or culture of the DPRK (Smith, 2002; Flake & Snyder, 2003). Humanitarian organisations experienced common struggles in the constraints placed by the government on monitoring, assessment and evaluation, and found it difficult to decide on what terms to continue their operations (Smith, 2002 and Smith, 2005). In parallel however, the DPRK government also experienced a lack of understanding of the conventional requirements for international aid assistance (Smith, 2002). Operating in the DPRK as a humanitarian organisation can be very different to operating in African or South East Asian countries (Flake & Snyder, 2003) and a lot of aid personnel, even though arriving in the country with good intentions, did not come prepared for the cultural, political and linguistic barriers that exist in North Korea (Flake & Snyder, 2003). Based on this lack of research, lack of knowledge and understanding between stakeholders and the increasing humanitarian needs, the DPRK seems fit to analyse as a case study for this thesis. More on the DPRK as a case study for this thesis shall be explained in chapter 4.

The preliminary research question that was developed:

‘What organisational attributes are necessary to ensure operational effectiveness of

humanitarian organisations?’

Can be therefore be adapted to include the DPRK case study:

‘What organisational attributes are necessary to ensure operational effectiveness of humanitarian organisations and to what extent are these applicable to organisations operating in the DPRK?’

In order to answer the main research question in a structured, manageable way, several sub-questions have been developed. After each question it has been indicated which chapter will cover which question:

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- What elements are needed to make humanitarian organisations effective? (Ch. 2)

- What methods can be used to acquire data on effectiveness of humanitarian operations in the DPRK? (Ch. 3)

- What is the current humanitarian situation in the DPRK? (Ch. 4)

- Which humanitarian organisations are currently operating in the DPRK? (Ch. 4) - How are humanitarian organisations operating there? (Ch. 4)

- To what extent are organisational attributes found in different theories applicable to organisations operating in the DPRK? (Ch. 5)

- If they are not applicable, which elements are necessary to make humanitarian organisations operate effectively in the DPRK, and why? (Ch. 5.)

- What recommendations can be given to organisations looking to operate in the DPRK? (Ch. 6)

1.3 Research structure

In order to answer the proposed research question and sub-questions, this thesis should be structured in a specific manner. The first chapter following this introduction is the theoretical framework, which will be a literature review to define the major concepts in this thesis, such as what are humanitarian organisations, what exactly is operational effectiveness, and how does one measure this. This chapter will give an overview of the research that has so far been done regarding the operational effectiveness of humanitarian organisations. The theoretical framework also discusses and analyses theories that have so far been proposed by scholars that have researched organisational attributes that they believe are necessary for an organisation to operate effectively. The theories discussed here will later be applied to the case of humanitarian organisations operating in the DPRK. In the methodology chapter, an overview is given of the research design and the methods and instruments that were used to obtain necessary primary and secondary data for this thesis. It also describes how the collected data was analysed and evaluated, as well as covering ethical aspects of conducting research.

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operations in the country were structured and executed in the past in order to see how they can be improved today. The collected data is used to structure the fifth chapter, the results. Here, collected data is analysed and linked to the discussed theories in the theoretical framework to find out if there is a difference in necessary characteristics for organisations to operate effectively in the DPRK compared to what is proposed in the theories. The discussion chapter ties everything together, evaluating the thesis and provides an answer to the research question. In conclusion, a set of recommendations is provided, based on the theories as well as collected data, for humanitarian organisations that are currently operating in the DPRK, or organisations that wish to operate there in the future.

1.4 Research limitations

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2. Theoretical Framework

Different scholars have different ideas, opinions and theories as to what makes up a good humanitarian organisation, and which elements are required to make it operationally successful. This framework aims to discuss and analyse several of these proposed theories in the form of a literature review. Before this can be done however, it is firstly necessary to define key terms and concepts that will be used throughout this thesis.

2.1 Defining humanitarian aid and identifying its key players

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Plans’ concocted at the top, are not at all connected to reality at the bottom (Easterly, 2006). This paragraph describes the many different interpretations and views attached to the concept ‘humanitarian aid’. It is such a broadly interpreted concept that it is difficult to assign a single definition. For this thesis though, a concrete definition of ‘humanitarian aid’ is necessary for practical purposes. Therefore, it shall be defined as: ‘the action designed to save lives, alleviate human suffering and maintain and protect human dignity during and in the aftermath of man-made crises and natural disasters, as well as to prevent and strengthen preparedness for the occurrence of such situations’ (Global Humanitarian Assistance, 2016).

Humanitarian assistance is coordinated, implemented and executed mostly through humanitarian organisations. Country governments can also be involved with providing humanitarian aid, but more commonly take on the role of donor to humanitarian organisations (Beamon & Balcik, 2008). The objective of humanitarian organisations is to provide humanitarian aid mostly in the form of food, medicine, shelter and other supplies to areas affected by natural disasters or conflict while adhering to the humanitarian principles and the organisations’ mandate (Beamon & Balcik, 2008). There are three main categories of humanitarian organisations: the United Nations (UN), such as the World Food Programme (WPF) or the UN Development Programme (UNDP) (Collinson & Erhawady, 2012). Second, there are international organisations such as the International Federation of Red Cross and Crescent Societies (IFRC), operating as a federation with country offices that are tied to country governments (Martens, 2002). Lastly, there are Non-Governmental Organisations (NGOs), such as Oxfam Novib, Cordaid and World Vision. NGOs also maintain country offices, but unlike international organisations such as IFRC, they do not maintain ties with country governments. Mostly, NGOs are non-profit organisations (Martens, 2002). NGOs can be defined as ‘voluntary associations independent of government control that seek to provide humanitarian assistance according to need’ (Byman et al, 2000). They usually engage in two types of activities:

1. Relief activities: short-term activities focussing on providing initial relief for victims of disasters or conflict. Goal is to reduce human suffering and minimize immediate risks to human health and dignity (Byman et al, 2000).

2. Development activities: long-term activities promoting community self-sufficiency by implementing projects focussing on health, transport, infrastructure and services. Locals are usually involved in these activities (Byman et al, 2000).

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differ to each other content-wise, they are inextricably bound together, and the gap between relief and development activities is becoming increasingly smaller (Martens, 2002). Another reason for choosing to include both types of activities is because the number of humanitarian organisations in the DPRK is limited (Taylor & Manyin, 2011) and to broaden the chance of obtaining reliable data, as many organisations as possible will need to be analysed. In the DPRK, humanitarian organisations that are present include six UN resident agencies: WFP, UNDP, UNICEF, the World Health Organisation (WHO), Food and Agricultural Organisation (FAO) and United Nations Population Fund (UNFPA) (Flake & Snyder, 2003). On top of this, several NGOs are currently active, providing both relief and development aid. According to the UN policy document ‘DPRK: needs and priorities of 2015’, there are six resident international NGOs: Première Urgence from Aide Médicale Internationale, Save the Children International, Concern Worldwide, Deutsche Welthungerhilfe, Triangle Génération Humanitaire and Handicap International. There are also non-resident international NGOs (many of Christian origin) operating in the DPRK, such as World Vision, Mercy Corps and Chosun Exchange (UN policy document ‘DPRK: needs and priorities of 2015). For this thesis, the term ‘humanitarian organisation’ will encompass all three types of organisations as explained above. The case study chapter will further cover and analyse the current operations of humanitarian organisations in the DPRK.

2.2 What is operational effectiveness and how can it be measured?

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operational effectiveness within the humanitarian field would therefore be ‘ the ability to fully achieve the goals and outcomes set by the humanitarian organisation’ (Beamon & Balcik, 2008). This definition is basic, yet suitable to adhere to for this thesis. Mitchell (2015) states that operational and organisational effectiveness has multiple definitions as well as multiple dimensions, based on the different, subjective views of various stakeholders. It can therefore be concluded that operational effectiveness is a social construction that is made meaningful through inter-subjective perspectives (Mitchell, 2015), and it thus differs per organisation what effectiveness actually means.

As mentioned previously, performance indicators can measure whether organisational goals and outcomes have been achieved. Several sets of performance indicators for humanitarian organisations have been developed, such as Buckmaster’s (1999) performance measurement framework, or Sawhill & Williamson’s (2001) measurement framework specifically for non-profit organisations. A main example though are the ‘Sphere standards’, which are a set of indicators that are used globally by different humanitarian organisations to measure how effective their aid has been (Sphere Handbook, 2015). For example, one Sphere standard is that 20 litres of water per person per day has to be available in a refugee camp setting. (Spheer Handbook, 2015). Therefore, it could be concluded that an organisation will be operating effectively if 20 litres of water per person per day can be distributed. Unfortunately, it is a little more complex than this. The Sphere standards have received criticism for being too broad; every crisis is different, thus every humanitarian operation, and organisation, is different. It is therefore impossible to provide global performance indicators that can be applied to all humanitarian organisations (Van der Laan et al. 2015). This is an example of how performance indicators are used to measure the quality of aid given. According to Van der Laan et al. (2015) much research has been done on this, but little is known about performance indicators of humanitarian organisations themselves. This is surprising, as performance measurement is crucial to ensure performance improvement (Van der Laan et al., 2015).

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analyse operational effectiveness of humanitarian organisations, because not much research has been done on this, and it will be interesting to apply these findings to humanitarian organisations operating in the DPRK. Therefore, for this research, the basic definition of operational effectiveness, given by Beamon & Barcik (2008) will be used as a starting point: ‘operational effectiveness is the ability to fully achieve the goals and outcomes set by the humanitarian organisation’. Usually, a set of performance indicators are used to measure the goals and outcomes set by organisations in order to decide whether they have been achieved or not. This thesis does not analyse specific humanitarian organisations, and it is therefore difficult to develop a performance measurement index to measure effectiveness just for this thesis.

There are several organisational attributes that a humanitarian organisation should have in order be a good organisation and operate effectively (Mitchell, 2015). As was mentioned in paragraph 1.2, it can include elements such as trust, good collaboration with other organisations (Lister, 2000; Fowler, 2000) as well as good leadership, a clear mandate and transparency to donors (Hailey & James, 2004). The following paragraphs of this theoretical framework will include an analysis of what scholars argue to be the most important characteristics to have to be a good humanitarian organisation and operate effectively. In chapter five, the discussed elements will be applied to the DPRK case study and compared with the data collection: what elements are of importance for humanitarian organisations in North Korea, and does this overlap with those argued by scholars?

2.3 The ultimate humanitarian organisation: what ingredients are needed to operate effectively?

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lost without. These characteristics may seem obvious, yet Fowler’s (2006) research on humanitarian operational effectiveness states that organisations often misinterpret, or underestimate the importance of ensuring they possess, understand and implement these basic attributes. Therefore, it is of great relevance to dedicate time to analyse which organisational attributes are necessary for humanitarian organisations to operate effectively. As was stated in section 1.1 of this thesis, two aspects are apparent in previous research done on this topic: it is both relatively old as well as relatively divided, again underlining the importance and necessity of this research.

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1. Sound principles and solid strategy 15. Similarity

2. Grassroots approach 16. Managerial abilities 3. Large organisational size and resources 17. Diversity of strategies 4. Singleness of focus 18. Efficiency

5. Campaigning abilities 19. Organisational oldness

6. Funding and fundraising abilities 20. Organisational newness/smallness

7. Global scope 21. Nimble

8. Quality people 22. Technology

9. Professional 23. Flux

10. Strategic and good communication 24. Political astuteness

11. Impact 25. Innovations

12. Leadership 26. Connections

13. Expertise 27. Dedication

14. Organisational structure 28. Visibility and recognition

29. Collaboration with other actors (communities, governments, other organisations)

Note that the above listed organisational attributes are the result of a study conducted by Mitchell (2015) but that there are other organisational attributes that are deemed of great significance by other scholars, such as accountability and transparency towards donors (Slim, 2002) and cultural awareness and sensitivity (Lister, 2000) but are not found in the above list. Nonetheless, they are still of importance and have thus been included in this theoretical framework. Emphasis must be placed though, that only the most important attributes have been selected to analyse further in this framework.

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of the case study in chapter 5; do humanitarian organisations operating in North Korea need the same important organisational characteristics to operate successfully as those that have arisen from the theory?

2.4 Internal attributes and influences

Internal characteristics and influences are the elements that a humanitarian organisation is able to control themselves. It includes all aspects of the organisation that are not influenced by the external environment or other actors (Edwards, 1999). A large body of literature has been reviewed, and the internal characteristics that scholars have pinpointed as being significant for a humanitarian organisation to have will be further discussed and analysed below.

2.4.1 The importance of a clear, goal-oriented mandate and a solid strategy to achieve this

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Even though it seems like an obvious organisational attribute to have, many organisations often forget this as time goes by, or develop too many goals and outcomes (Edwards, 1999). The key to organisational effectiveness, according to Edwards (1999) is ‘clarity in long-term direction, and a determination not to be distracted along the way’.

2.4.2 Campaigning abilities and visibility

A second important organisational attribute to have, according to Mitchell (2015) is the ability to campaign well for raising visibility and awareness as well as to increase funding opportunities and attract new donors. The results of his research on necessary organisational attributes point out that good campaigning skills are related to operating more effectively, as organisations are able to ‘do outstanding research and have good connections on the ground in terms of the issues that they work on’ (Mitchell, 2015). Campaigning leads to improved visibility, an improved and increasingly advanced network, increased media coverage as well as more donor attention (Mitchell, 2015). This in turn leads to more funding, and effective humanitarian organisations, according to the results of Mitchell’s (2015) study, have the ‘capacity to earn and raise a lot of money’ as they have more donors.

2.4.3 Accountability and transparency towards donors

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their projects are achieving the targeted outcomes and where they are lacking or underperforming (Van der Laan et al. 2015; Liket & Maas, 2015). But measuring an organisation’s performance is not only necessary to convey to donors that all is going well (or not), but it also beneficial to the organisation itself: where can one improve? Which aspects are doing well, and which could be improved upon? Van der Laan et al. (2015) and Slim (2002) are of the opinion that accountability and transparency are important attributes for a humanitarian organisation to possess. Without these elements, an organisation would not be able to function effectively.

2.4.4. Leadership: do trees die from the top?

Another seemingly obvious, yet easily underestimated, organisational attribute to achieve operational effectiveness is having excellent leadership (Hailey & James, 2004). Humanitarian organisations are often regarded as ‘intermediary organisations’, forming a bridge between beneficiaries and donors. Leadership of such organisations are continuously faced with having to respond to multiple constituencies and clients, which can be extraordinarily challenging considering the lack of resources available to work with, volatile and often dangerous working environments and unstable political and economic situations (Hailey & James, 2004). On top of this, the increasing significance of humanitarian organisations in the international arena means that leadership of these organisations are confronted with an increasingly difficult task to manage and guide their organisations to success (Fowler, 2006; Hailey & James, 2004; Edwards, 1999). Research conducted by Hailey & James (2004) has found that failure of leadership, or even poor leadership, can cause programmatic dysfunctionality, or at worst, organisational collapse.

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The key characteristics of being a good leader to a humanitarian organisation discussed above are not static; they continually change, and also very much depend on the situation where one is operating in (Haslam, 2001). It is important to remember that leadership is very much a social identity, a social construction: as was stated before, it is not a ‘one-man show’, but a relationship, a dynamic process and mutual influence between leaders and followers (Haslam, 2001). As stated at the beginning of this section, excellent leadership is one of the most important organisational attributes that a humanitarian organisation should have. If leadership is failing to function properly, or if a leader does not possess some of the above listed personality traits, it could mean project failure, being pulled apart by all the competing forces and volatile environment that organisations face on a daily basis, and eventually, organisational collapse (Hailey & James, 2004; Fowler, 2006; Edwards, 1999). It sounds apocryphal, but the warning ‘trees die from the top’ could very much ring true when not enough attention is paid to selecting the right leadership.

2.4.5 Qualified, dedicated staff

A humanitarian organisation is nothing without it’s dedicated staff members. Similarly to having an excellent leader, the staff working for a humanitarian organisation should also be of high quality, with specific favourable personality traits (Edwards, 1999; Mitchell, 2015). An organisation is only as good as it’s staff: this rings true for both humanitarian organisations as well as commercial, private sector organisations (Hailey & James, 2004). As was the case with the leadership attribute, much research has already been done on what kinds of personality traits are favourable in humanitarian aid staff. The work of two main scholars was analysed for this section of the thesis: Edwards published his work in 1999, and Mitchell in 2015. Interestingly, this large age gap has not impacted which personality traits are most favourable for humanitarian staff to have: aid workers nowadays need the same traits as their counterparts did seventeen years ago. Naturally, more research needs to be done to confirm this, but for this thesis it shall be accepted.

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this does more damage than good, as specific knowledge is needed on how to operate a humanitarian organisation in dangerous, volatile environments (Collinson & Erhawady, 2012). Staff need to have relevant diplomas as well as field experience in order to function well in a humanitarian context (Mitchell, 2015). Aside from their qualifications, humanitarian organisations could best hire staff with a strong set of personal values, extreme passion to improve the lives of others, able to make quick, difficult decisions, be flexible, hardworking and possess a strong sense of selflessness (Mitchell, 2015; Edwards, 1999). An interesting observation made by Edwards (1999) is that humanitarian organisations which are structured in a hierarchical, traditional manner, meaning leadership at the top, and then staff ranked according to their positions, are less effective than organisations which have a very fluid, flexible structure. All staff members are equal, and the reasoning behind this effectiveness is thought to lie with the fact that all staff members feel necessary, useful and heard (Edwards, 1999). This ties into Mitchell’s (2015) observations: organisations operate well if staff feel equally valued and appreciated.

The quality and dedication of staff is an extremely significant organisational attribute that is necessary to achieve organisational effectiveness (Mitchell, 2015). Without a motivated, hardworking team, an organisation becomes slow and static; especially in rapidly changing, unpredictable environments, it is crucial that staff are flexible and quick decision makers (Collinson & Erhawady, 2012; Mitchell, 2015). This section has made it quite apparent that organisational effectiveness, let alone survival, depends not only on good leadership, a clear mandate, accountability and transparency, but also very much on the skills, motivation and passion of staff members.

2.5 External attributes and influences

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significant ones have been selected, based on how necessary scholars deemed the specific attribute to be, to further analyse in the section below.

2.5.1 Good communication with local governments and communities

As a humanitarian organisation, it is to be expected that one has to collaborate and communicate with local governments and communities of the area one is operating in (Mitchell, 2015). In the most basic sense, permission has to be given from governments to allow an organisation to operate in their country, but complexity increases when this government wants to influence the way projects are implemented and executed and how the organisation should be run in their country (Collinson & Erhawady, 2012). The government of the DPRK is an excellent example of this, imposing strict rules and regulations for humanitarian operations, and monitoring their every move (Flake & Snyder, 2003; Everard, 2012; Martin, 2006). It is therefore of outmost importance to able to communicate well with other actors and stakeholders (McManus & Tennyson, 2008). Most importantly, good communication will avoid tension or conflicts, but is also necessary to maintain stable, trustworthy relationships with one another (Mc Manus & Tennyson, 2008; Andriof et al. 2003). Having said this, it is easily understandable that good communication is a crucial organisational attribute to have for a humanitarian organisation. But what exactly is ‘good communication’, and how does it diverge with regards to different actors? Before the necessity of having strong, trustworthy relationships between humanitarian organisations, governments and local communities are discussed, the term ‘good communication’ will be elucidated upon.

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(Cleary et al. 2008). Naturally, there are barriers that hinder the process of good communication (Agarwal, 2010); these barriers are all too common in humanitarian contexts, and humanitarian organisations are often struggling to overcome these barriers (Collinson & Erhawady, 2012). The first barrier is language: not being able to understand each other because of speaking a different language is most common, but even if people do speak the same language, certain words or phrases can be interpreted differently by different people (Agarwal, 2010). Secondly, psycho-social barriers exist. Prejudice or stereotyping against the sender/receiver could prove to be a barrier. Lastly, and often occurring in humanitarian contexts, there are physical and mechanical barriers. This can include a problem with the medium of communication, such as messages not getting through due to lack of electricity, or internet (Agarwal, 2010).

As was mentioned at the beginning of this paragraph, good communication between humanitarian organisations and local governments is crucial to ensure effective operation (Mitchell, 2015). This is because communication develops relationships between actors, builds trust and allows bottlenecks and differences to be expressed (McManus & Tennyson, 2008). Good, clear communication is a core element to achieving successful partnerships with other actors, as well as crucial to achieve cross-sector collaboration: it enhances trust, builds relationships and improves understanding of one another’s scope of work (Andriof et al. 2003; Kaptein & van Tulder, 2003). Through good communication, the needs and requirements of other actors will be expressed, whilst resolving differences and bottlenecks at the same time (Googins & Rochlin, 2000). A solid relationship with, and trust from local governments could mean improved operational freedom, improved access to areas in need and improved mobility (Collinson & Erhawady, 2012; Mitchell, 2015). In turn, improved access, freedom and mobility means more chances to reach those in need, distribute aid effectively, achieve programme goals and outcomes more easily and therefore, operating more effectively (Collinson & Erhawady, 2012, Mitchell, 2015). In a humanitarian context, access and operational freedom is crucial in achieving ones goals and outcomes.

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makes distribution of aid, as well as implementations of projects more speedy (Mitchell, 2015; Collinson & Erhawady, 2012). In turn, this results in achieving ones goals and outcomes and thus operating effectively. This section on good communication as an essential organisational attribute ties in with the next section: collaboration with other actors. Similarly to good communication, it is a necessary element to operate effectively as a humanitarian organisation (Mitchell, 2015).

2.5.2 Collaboration with other organisations: necessary for survival

According to Lister (2000), it is of great significance for humanitarian organisations operating in volatile, capricious environments to partner and collaborate with other humanitarian organisations in the same situation. Collaboration is another organisational attribute that has been pointed out by Mitchell (2015) as well as Edwards (1999) that is crucial to achieving operational effectiveness. There are many reasons for this, as highlighted below.

Humanitarian organisations can exchange knowledge and resources with one another when collaborating (Lister, 2000). This will broaden the scope and scale of their programmes, increase operational capacity, form bonds of trust between the organisations, enhance feelings of solidarity, achieve better outcomes and results and therefore operate more effectively (Mitchell, 2015; Edwards, 1999; Lister, 2000). There are ample amounts of literature available on what makes a good partnership, as it is a very contemporary topic of interest for many scholars. However, research has been done on this by Postma (1994) more than ten years ago, and many elements overlap with what researchers are finding nowadays, such as in Mitchell’s (2015) study. Main characteristics for ‘successful’ collaboration between humanitarian organisations, according to Postma (1994) and Lister (2000) include:

- Mutual trust, a joint decision-making process, shared accountability; a complementarity to each other’s strengths and exchange of information in a two-way process (Postma, 1994).

- Equal distribution of costs, clearly structured goals, clearly articulated performance measurement indicators and a clear division and delineation of responsibilities (Lister, 2000).

- Shared values and principles in what goals want to be achieved (Lister, 2000)

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Mitchell (2015) emphasizes that organisations with similar values, principles and programs collaborate better with one another than organisations that do completely different things. However, as with the attribute communication, certain struggles exist when forming a partnership, as highlighted by Lister (2000). The most common ones include disagreeing on goals and mission of the partnership, too many players all fighting for their own interests, competitiveness between strong personalities, suspicion of hidden agenda’s, low levels of commitment and responsibility, failing to complete tasks, existence of prejudice about the others’ priority in the partnership and difficulty breaking away from existing hierarchies within organisations (Lister, 2000). Nonetheless, it can be argued that the positives outweigh the negatives to start collaborating; Mitchell (2015) believes partnerships between humanitarian organisations are crucial to ensure ones own survival: without resource, knowledge and skills exchange, the organisation is left to figure things out alone. This is unimaginable when operating in highly volatile, dangerous environments (Mitchell, 2015). The fruits of collaboration can be picked when organisations achieve their outcomes and goals quicker, make more of an impact and therefore, operate more effectively as a humanitarian organisation (Mitchell, 2015; Edwards, 1999; Lister, 2000).

2.5.3 Cultural awareness and sensitivity

Interestingly, cultural awareness is an element that is not mentioned as one of Mitchell’s (2015) 29 important organisational attributes, but is mentioned by Edwards (1999) as an important characteristic to ensure operational effectiveness. The significance of being culturally sensitive, flexible and open-minded is emphasized and re-iterated by Rubinstein (2007), who found that actors involved in humanitarian and peace-keeping missions were often completely unaware of cultural customs and traditions of the country they were operating in, making it immensely challenging to establish and legitimise the peace-keeping operation. This overlaps with a humanitarian context: often many actors are involved, have direct contact with local communities, yet have limited, or no knowledge of the country they are operating in (Edwards, 1999; Rubinstein, 2007).

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account local preferences and staples, meaning that local communities are unwilling to consume this unknown foodstuff. In the DPRK for example, rice and corn is a staple in people’s diet, not bread and pulses (Demick, 2010; Martin, 2006). Humanitarian organisations should therefore consider this when handing out food packages. Being culturally aware leads to both the government as well as local communities trusting you, leading to more operational freedom, improved accessibility and mobility. In turn, outcomes and goals are achieved quicker, or with better results, thus making the organisation more effective (Edwards, 1999; Rubinstein, 2007). A concrete example of creating trust by being culturally sensitive is joining in the rituals and ceremonies inherent to the specific culture of the country one is operating in (Rubinstein, 2007). This conveys that research has been done on the host-culture. There is a willingness to accept and respect the host-culture, indicating to local governments and communities that the organisation has the best interests of the country at heart (Rubinstein, 2007). It can therefore be said that operational effectiveness could be improved if staff of humanitarian organisations familiarise themselves with the culture and customs of the place they are working in (Rubinstein, 2007). Culture is learned by practice, by ‘doing’, and according to Edwards (1999) is one of the most important, and very much underestimated, organisational attributes that can contribute to operational effectiveness.

2.5.4 Necessity of a grassroots approach

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The second reason why partnering with grassroots organisations and institutions is important relates, once again, to the element of trust. International humanitarian organisations are often restricted to operating in government-approved areas, and have to follow regulations imposed on them by local governments and institutions (Collinson & Erhawady, 2012). By partnering with local grassroots organisations, mutual understanding increases, the relationship between these actors improves and a bond of trust can be developed. Increased trust can lead to more and better access to areas in need, more operational freedom, less restrictions and improved mobility (Collinson & Erhawady, 2012; Mitchell, 2015). As a result, humanitarian organisations can make a better impact, achieve programme outcomes and goals and operate more effectively in general. Similarly to the organisational attribute ‘cultural awareness and sensitivity’, the importance of establishing bonds with grassroots organisations is often underestimated, and overlooked as an organisational attribute contributing to operational effectiveness (Mitchell, 2015). However, both Mitchell (2015) and Edwards (1999) claim that it is a key ingredient for establishing a successful, effective humanitarian organisation.

2.6 Attributes identified: the ingredients to organisational effectiveness in theory

This next paragraph aims to analyse and conclude the findings of the theoretical framework. A literature review was conducted to find out which organisational attributes a humanitarian organisation should, in theory, posses in order to operate effectively. It proved to be extremely difficult to find a definition for the term ‘operational effectiveness’, as it is a social construct, meaning something different to each humanitarian organisation or players involved (Mitchell, 2015). Its subjectivity makes it a vague concept, but eventually the definition given by Beamon & Barcik (2008) was settled upon: ‘operational effectiveness is the ability to fully achieve the goals and outcomes set by the humanitarian organisation’. According to Mitchell (2015) there are up to 29 important attributes a humanitarian organisation should have in order to operate effectively. However, having analysed many other studies, the most important ones were selected to form the theoretical basis of this thesis. These attributes include:

- A clear, goal-oriented mandate and solid strategy - Campaigning abilities and visibility

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- Qualified, dedicated staff

- Good communication with governments + communities - Collaboration with other organisations

- Cultural awareness and sensitivity - Grassroots approach

(Mitchell, 2015; Edwards, 1999; Fowler, 2006; Lister, 2000; Rubinstein, 2007; Hailey & James, 2004; Van der Laan et al. 2015; Liket & Maas, 2015).

The necessity of some of the above-listed organisational attributes seems rather obvious, but as was noticed during this literature review, many humanitarian organisations tend to underestimate, or overlook the importance of some of these elements (Mitchell, 2015). Interestingly though, research on this topic has not yet found why seemingly obvious organisational attributes are not being implemented or paid attention to. Figure 1 below aims to give an overview of the elements which are considered to be of importance to organisational effectiveness and which elements are being overlooked even though they are of the same level of significance.

Intriguingly, there is no specific pattern to be found in whether attributes are internal or external in nature compared to their recognised importance to operational effectiveness. Another main

Attributes of importance, recognised by most humanitarian actors

Attributes of importance, but structurally underestimated or

overlooked.

• Clear, goal-oriented mandate and solid strategy

• Good communication with local governments and communities

• Collaboration with other humanitarian organisations

• Campaigning abilities and visibility

• Grassroots approach

• Cultural awareness and sensitivity

• Excellent leadership

• Qualified and dedicated staff • Accountability and transparency

towards donors.

External attributes

Figure 1- Overview of organisational attributes classified in two sections of importance. Blue marks

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observation that can be concluded from the literature review is the fact that building strong relationships and bonds of trust are of outmost importance to operating successfully. Several organisational attributes, such as good communication, collaboration, grassroots approach and cultural awareness are necessary to form relationships and build trust with local governments, institutions, communities and local humanitarian organisations. Solid relationships and bonds of trust are essential in gaining access, operational freedom and mobility (Collinson & Erhawady, 2012; Mitchell, 2015). This means programmes can be implemented smoothly and speedy, and aid reaches those most in need in a more efficient manner (Collinson & Erhawady, 2012). In turn, this leads to humanitarian organisations achieving their goals faster, and thus operating effectively.

The attributes that have been discussed in this theoretical framework will be used to find out whether humanitarian organisations operating in the DPRK are in need of the same organisational attributes to operate effectively. The data collection that will be carried out aims to find out whether these theoretical organisational attributes to operational effectiveness are the same in the context of humanitarian organisations operating in the DPRK. This will be elaborated upon in chapter 5. It will be interesting to see from the data collection if humanitarian organisations in the DPRK need the same organisational attributes as discussed in this theoretical framework or whether it is different elements that make operations in the DPRK successful. Should this last option be the case, it will be analysed why different organisational attributes are needed compared to the theory.

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3. Methodology

Before moving on to the DPRK case study chapter, it is important to reflect upon the organisation and data collection of this research. A clear methodology is critical to any research, as it states what motivations the researcher had, how these have been realised and why it was done in which ways (Hennink et al. 2011).

3.1 Qualitative Research Design

This thesis aims to gain an in-depth understanding of which organisational attributes are necessary for humanitarian organisations to operate effectively, and then to apply these theoretical elements to organisations operating in the DPRK. It is necessary in this case to go beyond the theoretical debate and conduct a data collection, as hardly any literature is available on humanitarian organisations in the DPRK let alone organisational attributes. On top of this, measuring effectiveness is a challenge, but can be done both quantitatively and qualitatively (Taylor & Trujillo, 2001). Therefore, the main research question will be answered by using a qualitative approach. The benefit of a qualitative approach is that it allows for a detailed analysis of data, much more so than with quantitative methods (Hennink et al. 2011). Respondents are able to dynamically answer questions and discuss their opinion. The structure of this research is based on Figure 2 below, which comprises of three interlinked cycles and maps out the process of designing the research, collecting and analysing data. Aside from this, a personal and practical reason for choosing the qualitative approach is related to previous experience in making interview guides, conducting interviews, analysing data using Atlas.ti etc. is more familiar and thus more practical to use again.

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‘Design Cycle’, during which the researcher establishes the groundwork: a research question is formulated, secondary data is analysed to integrate existing theory, and a method for suitable primary data collection is chosen (Hennink et al. 2011). The design phase for this thesis took place from March-May 2016, during which the author read and analysed existing literature in the form of academic books, articles and journals to get accustomed to the specific field of study. This secondary data collection forms the basis of the literature review in chapter 2, and this process of this data collection will be elaborated upon in section 3.2.

The second component in the cycle is known as the ‘Ethnographic Cycle’, during which the instruments and methods for primary data collection are designed, participants for interviews are recruited and the actual data collection takes place (Hennink et al. 2011). This took place in May and June 2016. The details of this primary data collection will be further explained in section 3.3. The third phase in the cycle is called the ‘Analytical Cycle’, which is where all the preparatory work ties together: the data is analysed, mostly through coding, description and comparison techniques, and eventually the analysis can be compared and related back to theories discussed in the literature review. This will be done in chapter 5 of this thesis.

3.2 Secondary data collection: literature review and theoretical framework

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books and (news) articles: the author has an extensive personal library on the history, politics and humanitarian situation in the DPRK.

3.3 Primary data collection: e-mail and Skype interviews

After the theoretical framework was established, a list of 8 questions (Appendix 2) was created based on the elements discussed in this literature review. This list of questions was structured rather than the popular method of semi-structured, as the questions were being sent out by e-mail. The main challenge with conducting a primary data collection in the DPRK is the fact that no interviews can be done face to face. Although the author visited the DPRK as a tourist this April, it was impossible to contact humanitarian organisations while there and arrange interviews. This is due to several reasons, but the main one is related to the sensitive nature of the research topic. Organisations could face restrictions or even expulsion if they criticise the government, leadership or Party. However, this problem was already identified within the proposal of this thesis, and was solved by the supervisor and author deciding upon conducting interviews through e-mails. Skype was initially not considered as an option, due to poor internet connection as well as limited access to the internet for foreigners. Interestingly however, all requests for interviews were sent by e-mail, yet two respondents replied by stating they would be available on Skype: apparently UN staff and diplomats have constant online access nowadays, and the connection was perfect during both interviews. Given the sensitive nature of operating in the DPRK, the supervisor for this thesis predicted that a limited number of respondents would be available for an interview. Therefore, it was decided to make this research valid and ‘reliable’ if the number of 5 respondents was reached. This has been achieved through sending multiple emails, attaching an interview invite with a biography of the author and some background information to personalise the request (Appendix 1), using personal connections and being very (politely) persistent.

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Grund, a German national whose organisation was fundraised for by the author of this thesis, gave this list of contact details to me. He set up initial connections, which proved to be tremendously useful. The respondents however, were quite clear in wishing to remain anonymous, as sensitive information was discussed: more on this in section 3.5.

3.4 Data analysis of primary data collection

Usually, when interviews are conducted, they are transcribed in order to analyse the data effectively. However, in the case of this thesis, three respondents replied by e-mail and the two on Skype specifically requested not to be recorded. They both stated that they were participating in this interview on a personal level, and were not speaking on behalf of their organisation. Normally, a request for interviews would have to be applied for at the organisations’ communication department, but both Skype respondents decided to participate with my interview out of personal interest, but therefore in an informal manner. Naturally, certain proof is required to prove that the interview actually happened, and that the author did not just make something up herself. Usually this proof comes in the form of transcripts, but because nothing was allowed to be recorded, no transcripts could be made. Therefore, e-mail correspondence as well as screenshots of the Skype conversations was added in Annex 4. Furthermore, the author took extensive notes during the conversation, which were later summarised in the context of the eight questions and found under Annex 3.

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3.5 Ethical considerations

Conducting qualitative research comes with its ethical challenges. The main ethical aspect to consider is the fact that the very nature of qualitative research implies getting to know personal beliefs, opinions and feelings of respondents. The research is about wanting to learn more from them and their experiences, but it is important to keep in mind that this could have negative consequences for the respondents. Especially when conducting sensitive research such as this one, respondents need to feel comfortable and reassured that their opinions will only be used for academic purposes. Respondents for this research were reassured that the data collection is confidential and that their names and organisations could remain anonymous if they wished. Much thought was given to writing the interview questions: they were carefully structured, needed to be open, neutral and not steering. No mention of the regime, poor human rights record, and suggestions about poor leadership, the nuclear programme etc. was made. It is of outmost importance to remember that these organisations could face serious consequences or trouble for answering my questions ‘negatively’, such as operational restrictions, extra surveillance or even expulsion from the country

3.6 Limitations, challenges and obstructions

Any research faces limitations, including this one. Four main bottlenecks have been identified which are explained below:

1. Subjectivity: Every respondent has their own subjective views on which organisational attributes are necessary for effective operation. Usually, it depends on the specific working context of the respondent which views one considers to be of most importance. Although this could influence the reliability of the data, subjectivity is hard to eliminate when collecting qualitative data (Hennink et al. 2011). Not only respondents have subjective views; the author does too. We all have our own frames of references that could influence the way data is collected and analysed. The researcher has aimed to avoid bias in the role as interviewer by being aware of these dynamics, but subjectivity is an unavoidable influence on the research process.

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makes it questionable as to how reliable my results will be. Also, as was stated before, no

face-to-face interviews could be carried out due to the inability to schedule interviews while in Pyongyang as a tourist. One restriction that organisations face is freedom in talking to researchers or journalists. Interview requests would have to be officially approved by directors of organisations, which is time consuming as well as not likely to succeed. This left Skype and e-mail interviews as the main data collection option, which is much less personal and less dynamic.

3. Lack of knowledge/experience: The author has only once before conducted interviews as a means of primary data collection, for her Bachelor thesis, which was of a very different, less sensitive topic. Therefore, lack of experience proved to be an obstruction, especially when having to write very neutral questions to avoid doing any kind of harm to respondents. When conducting the first Skype interview, some of the questions seemed very naïve in nature. This is due to the fact that the author has no professional experience in the field of humanitarian action in the DPRK.

4. Quantity of participants: Due to the sensitive nature of the research topic, time constraints as

well as the general lack of international staff working for humanitarian organisations in the DPRK, a very limited number of respondents have been interviewed. This means that less data was compared and only a limited conclusion was made; the research is less reliable than when more respondents would have been found.

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4. Case Study: Democratic People’s Republic of Korea

In order to give this thesis a more in-depth angle, including a case study is of necessity. In chapter 1, it was mentioned that the case study for this thesis is the DPRK. This country has been chosen for several reasons, the main one including the fact that almost no research has been done about the operational effectiveness of humanitarian organisations in this place. It is a unique humanitarian situation, possibly the only one in the world that has been created due to the political and economic system currently in place (Everard, 2012). Academically, the use of case studies has been endorsed by Eisenhardt (1989). He states that it is a useful tool to explore themes and topics that have not been intensively research previously. It allows for a detailed, more specific focus on the topic to take place. Naturally, having only a single case study can have its limitations (Eisenhardt, 1989). The findings that this research presents may not necessarily be applicable to humanitarian organisations operating in other countries. The section below will provide a brief insight into this little studied, little visited country, as well as analysing the current humanitarian situation and humanitarian operations taking place now.

4.1 Nothing in this world to envy: life in the DPRK post-1945

Humanitarian operations in the DPRK: an analysis of organisational attributes that humanitarian organisations should posses to stimulate operational effectiveness