Safety and Security in the Field Senior Mission Administration and Resource Training (SMART) Safety and Security in the Field

What is the UN definition of “security”? 2

Focus on substance, not on process. What does this mean? 3

Introduction Aims: To familiarize you with: 1. Risk Management – quick ABCs. 2. Substance : United Nations Security Management System. 3. Process : Security Risk Management Process. 4. Process: Programme Criticality. 4

Security Risk Management – quick ABCs Security Risk Management is the foundation for United Nations security management decision- making. 5

Threats – deliberate human causes of harm: Armed conflict; Terrorism; Concerns and Focus Threats – deliberate human causes of harm: Armed conflict; Terrorism; Crime; and Civil Unrest. Hazards – harmful natural or man-made accidental events. 6

Security Risk Management – the language Threat Likelihood Impact Risk Prevention Mitigation Hazard Vulnerability Residual Risk Deliberate cause of harm Potential for an event to harm Potential severity of the event Likelihood x Impact Reduces likelihood Reduces impact Non-deliberate cause of harm Weakness that can allow harm The risk remaining after implementation of approved measures Use hammer and plates and a knife - 7 7 7

Risk Matrix RISK MATRIX IMPACT L I K E H O D NEGLIGIBLE MINOR MODERATE SEVERE CRITICAL VERY LIKELY LOW MEDIUM HIGH VERY HIGH UNACCEPTABLE LIKELY MODERATELY UNLIKELY VERY

United Nations Security Management System Principles and Approach Goal Principles and Approach Accountabilities Applicability 9

Goal (Substance) The goal of the UN Security Management System is to enable the conduct of United Nations activities while ensuring the safety, security and well-being of personnel and the security of United Nations premises and assets. UNSMS Security Policy Manual, Chapter II, Framework of Accountability, paragraph 5 10

Principles To achieve this goal, all organizations will maintain a robust and cohesive security management system and adhere to three principles: Determination of acceptable risk; Provision of adequate and sustainable resources to manage the risk to personnel and their eligible dependents, premises and assets; and, Development and implementation of security policies and procedures. UNSMS Security Policy Manual, Chapter II, Framework of Accountability, paragraph 6. 11

An Evolving Security Environment – A Paradigm Shift Prior to 2013: Solid progress in achieving risk-acceptable operational environments. Since 2013: A new and evolving security threat environment. Today and Tomorrow: Adaptation and increased effectiveness in the delivery of safety and security services. 12

Evolution of the United Nations Security Management Approach 2009 When to Leave How to Stay Stay and Deliver UNSMS Security Policy Manual, Chapter II, Framework of Accountability, paragraph 3 updated with ‘stay and deliver’. UNDSS Strategic Review, 2015, paragraph 5.3

United Nations Security Management System Robust set of policies, procedures and standards Substance Process 14

Applicability All UN system staff members, including temporary staff, in posts subject to international or local recruitment; UN Volunteers; UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraph A. 1) a) (iii). 15

Applicability Individually deployed military and police personnel in DPKO, DPA and DFS-led missions including: UN police officers, military observers, military liaison officers, military advisors and staff officers; and Military members of national contingents or members of formed police units when not deployed with their contingent or unit. UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A, 1) a) and b). 16

Applicability Consultants, individual contractors and experts on mission when actually employed by an organization of the UN system; and Officials with a direct contractual agreement with a UN system organization. UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A. 1) a) (iv) – (v). 17

Applicability Eligible family members (as determined by the staff rules and regulations of the organizations comprising the UN system; Eligible family members (who are authorized to be at the duty station) of UNVs; UN fellows, either non-resident fellows studying in the country, or nationals who are on leave from the country of study; UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A. 1) b) (i) – (iii). 18

Applicability Personnel and their eligible family members of International Organizations that have signed a MOU with an organization of the UN system to cooperate on security matters. UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A. 1) b) (iv). 19

Applicability The SMS is not applicable to members of national contingents or members of formed police units when deployed with their contingent. 20 20 UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A, 1) a) (iii). 20

Applicability The SMS is not applicable to any spouses or other family members of military and police personnel. 21 21 UNSMS Security Policy Manual, Chapter III, Applicability of United Nations Security Management System, paragraphs A, 1) a) (iii). 21

Host Country Responsibility The primary responsibility for the security and protection of United Nations personnel and property rests with the Host Government. 22

Framework for Accountability SECRETARY- GENERAL UNDER- SECRETARY-GENERAL FOR SAFETY AND SECURITY EXECUTIVE GROUP ON SECURITY PRINCIPAL/ CHIEF SECURITY ADVISER SECURITY MANAGEMENT TEAM DESIGNATED OFFICIAL AREA SECURITY COORDINATORS WARDENS STAFF MEMBER UNSMS Security Policy Manual, Chapter II, Framework of Accountability. 23

Framework for Accountability SECURITY MANAGEMENT TEAM DESIGNATED OFFICIAL (CHAIR) HEADS OF UN ORGANIZATIONS AT THE DUTY STATION PRINCIPAL/CHIEF SECURITY ADVISER HEAD OF MILITARY COMPONENT (MANDATORY MEMBERSHIP) HEAD OF POLICE COMPONENT (MANDATORY MEMBERSHIP) (AS SPECIFIED BY THE DESIGNATED OFFICIAL) HEADS OF MISSION COMPONENTS, OFFICES, SECTIONS UNSMS Security Policy Manual, Chapter II, Framework of Accountability, paragraphs II B H 15-16. 24

Mandate and Security SECRETARY- GENERAL UNDER- SECRETARY-GENERAL FOR PEACEKEEPING UNDER- SECRETARY-GENERAL FOR SAFETY AND SECURITY HEADQUARTERS FIELD HEAD OF MISSION DESIGNATED OFFICIAL SECURITY MANAGEMENT MANDATE IMPLEMENTATION 25

Security Risk Management Process

Programme Criticality The programme criticality framework is a common United Nations system framework for decision-making that puts in place a systematic structured approach that uses programme criticality as a way to ensure that programme activities can be balanced against security risks. UNSMS Security Risk Management Manual, 11 December 2015, page 74.

Programme Criticality The concept of ‘criticality’ means the critical impact of an activity on the population, not necessarily on the organisation. UNSMS Security Risk Management Manual, 11 December 2015, page 74.

Programme Criticality Programme criticality assessment is mandatory in areas with residual risk levels of ‘high’ and ‘very high,’ as determined in the Security Risk Assessments (SRAs). Primary accountability for programme criticality is with United Nations senior management at the country level. UNSMS Security Risk Management Manual, 11 December 2015, page 74.

Risk Matrix RISK MATRIX IMPACT L I K E H O D NEGLIGIBLE MINOR MODERATE SEVERE CRITICAL VERY LIKELY LOW MEDIUM HIGH VERY HIGH UNACCEPTABLE LIKELY MODERATELY UNLIKELY VERY

Programme Criticality A programme criticality assessment has steps as follows: 1. Establish geographical scope and timeframe 2. List strategic results (SRs) 3. List UN activities/outputs (involving UN personnel) 4. Assess contribution to strategic results 5. Assess likelihood of implementation 6. Evaluate activities/outputs with PC1 criteria 7. View PC level results, form consensus within the UN system and approve final results 8. Agree on a process to address and manage the results of the PC assessment 9. Follow-up and review. UNSMS Security Risk Management Manual, 11 December 2015, page 77.

Programme Criticality Prog Crit Level PC 1 PC 2 PC 3 PC 4 Programme Criticality Framework UNSMS Security Risk Management Manual, 11 December 2015, page 82.

Programme Criticality There are two possible criteria for an activity to be considered a PC1 activity: Either the activity is assessed as lifesaving (humanitarian or non-humanitarian) at scale (defined as any activity to support processes or services, including needs assessments), that would have an immediate and significant impact on mortality; or The activity is a directed activity that receives the endorsement of the Office of the Secretary-General for this particular situation. UNSMS Security Risk Management Manual, 11 December 2015, pages 79-80.

Programme Criticality Risk level has no impact on programme criticality. There must be no consideration of risk level when determining PC. Programme criticality has no impact on risk level. There must be no consideration of PC when determining risk level.

Programme Criticality Maximum Acceptable Risk per Level of Programme Criticality Residual Risk Level Unacceptable Very High High Medium Low Prog Crit Level N/A PC 1 PC 2 PC 3 PC 4 Security Risk Assessment Programme Criticality Framework Balance Risk and Programme Criticality PC1 activities in High Risk Level must be certified by the Executive Head of the UN organization and approved by the USG DSS. UNSMS Security Risk Management Manual, 11 December 2015, page 82.

Other Processes with Security Implications Intelligence and Information Cycle. Strategic-level Integrated Mission Planning Process. Mission-level Integrated Planning, Coordination and implementation. Mission Component Planning and Implementation Processes. UN Budget Processes. Staff Selection and Managed Mobility System. Any other process that impacts the substance of UN security.

Thank you for the opportunity to discuss security in UN field operations with you. I wish you success in your current or future assignment in our field operations! 37

And now to the exercise in your Break Out areas. 38

Backup Slides

Step 1 Setting the geographical scope and timeframe Where will we be working and what is the timeframe for the analysis?

Step 2 Situational Analysis What is the overall security situation in that area?

Step 3 Programme Assessment What are the main programme goals and posture in that area?

Step 4 Threat Assessment (General & Specific) What are the obstacles to achieving goals?

Step 5 Security Risk Assessment How vulnerable is the Organization to these threats? How will they affect the Organization, and which threats require the most attention?

Risk Matrix RISK MATRIX IMPACT L I K E H O D NEGLIGIBLE MINOR MODERATE SEVERE CRITICAL VERY LIKELY LOW MEDIUM HIGH VERY HIGH UNACCEPTABLE LIKELY MODERATELY UNLIKELY VERY

Step 6 Security Risk Management Decisions What can actually be done about these risks?

Risk Matrix RISK MATRIX IMPACT L I K E H O D NEGLIGIBLE MINOR MODERATE SEVERE CRITICAL VERY LIKELY LOW MEDIUM HIGH VERY HIGH UNACCEPTABLE LIKELY MODERATELY UNLIKELY VERY

Step 7 Security Risk Management Implementation Procedural and budget aspects of implementing the agreed security risk management measures

Step 8 Acceptable Risk Is the risk acceptable in balance with the criticality of programme activities?

Step 9 Follow up and Review Are the measures working? Is the assessment of risk now similar to how it was projected?