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

2. What is the UN definition of “security”?2

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

4. 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

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

6. 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

7. 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

8. 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

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

10. 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

11. 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

12. 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

13. 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

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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

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

23. 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

24. 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 24

25. 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

26. Security Risk Management Process

27. 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.

28. 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.

29. 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.

30. 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

31. 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.

32. 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.

33. 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

34. 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.

35. 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.

36. 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.

37. 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

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

39. Backup Slides

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

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

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

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

44. 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?

45. 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

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

47. 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

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

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

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