Operating Concept for Integrated Response to Complex Emergencies

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Operating Concept for Integrated Response to
Complex Emergencies

• Office of the Assistant Secretary of Defense
• for Global Security Affairs

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Problem

• Ineffective management of aid and relief programs
  delay recovery, create instability, and undermine
  the legitimacy of the host nation government and
  donor nations.
• Assessments, resources, and response of
  Humanitarian Relief Organizations are rarely
  coordinated nor sequenced (no Unity of Effort)
• Activities of Non-Governmental Humanitarian
  Agencies (NGHAs) and Donor Nation pledges create
  expectations that are not met or are delayed
• Host Nation government at the local and national
  levels usually lack the capacity for effective
  program management or public administration
• NGOs frequently lack effective program management
  capabilities

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Broad Recognition of the Problem

• Statements by UN Envoys
• Red Cross Movement Code of Conduct for NGOs
• UN Cluster Approach
• National Defense Strategy
• Army Universal Task List
• Humanitarian Assistance Coordination Center
• Professional literature
• Nonetheless, the problem persists

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Department of Defense Interest

• International disasters and humanitarian crises
  create conditions that lead to international
  conflict
• US government sends military forces to respond to
  disasters and crises
• Effective and cooperative disaster management can
  reduce burden on US military forces
• Focus on serious, imminent, life saving measures
• Facilitates rapid exit of military forces after
  initial response

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No Military Solution

• Military response to disaster can create problems
• Military lacks situational awareness of NGO and
  other civilian activity
• Military capabilities displace civilian solutions
• Can undermine restoration of effective governance
• Creates dependencies that create gaps when
  military withdraws
• Only effective solution is a cooperative approach
• Whole of Government US and partner governments
• International and Inter-Governmental Agencies
• Non-Governmental Humanitarian Relief Agencies
• Host Nation Government

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Recommendation

• Functioning mechanism associated with each
  combatant command to coordinate and synchronize
  private sector and public sector disaster
  planning, response, recovery, and mitigation
• Information sharing enhances the quality of
  information and shared situational awareness
  Shared situational awareness enables
  collaboration, self-synchronization, security,
  and enhances sustainability and speed of
  implementation
• Program management to synchronize the delivery of
  aid, monitor aid distribution, and assess and
  report on the impact of disaster assistance
• Civil-Military Relations de-conflicts military
  and NGHA activity and enhances security for
  humanitarian relief
• The Team NGHAs IGOs US Military and
  interagency partners other donor, and supported
  government agencies private sector donors and
  commercial enterprises

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Intent

• Facilitates achieving requirements of Code of
  Conduct for Red Cross/Red Crescent Movement and
  NGOs in Disaster Relief
• Meets requirements of AUTL tasks 6.14.1 and
  6.14.7
• (Negotiation and Liaison between US Military,
  other governmental, local governmental, and
  non-governmental organizations.)
• Interoperable with UN Cluster Approach and SPHERE
  standards
• Framework for Action consistent with Millennium
  Development Program
• Builds on principles of the National Response
  Framework
• Supports, does not replicate, compete, or
  parallel other coordination efforts

element taken from or directly supports
RCM Code of Conduct
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Functions
Governments should seek to provide a coordinated
disaster information and planning service

• Situational Awareness
• Program Coordination
• Project Synchronization
• Project Monitoring
• Donor Accountability
• Resource Distribution Management
• Capacity Building

• Security Management
• Liaison
• Communications
• Public Outreach
• Beneficiary Accountability
• Donor Appeals

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Functional Analysis
This concept provides capabilities across the
following phases of Disaster Response and
Humanitarian Assistance
PREPARATION

• Preparation
• Response
• Recovery
• Mitigation

RESPONSE
MITIGATION
RECOVERY
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Incident Management System Model

• International Standard
• Common Terms and Procedures
• Civilian, rather than Military Organization
• Staffed by civilians
• USG
• HNG
• Contractors
• NGHA representatives
• Scalable, flexible, adaptable

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Necessary Capabilities
To be effective, coordination center must have
the following minimal capabilities

• Situational Awareness
• Capability to collect, analyze and disseminate
  information about regional and local political,
  military, social, and environmental issues
• Knowledge base about aid providers (public,
  private commercial, and humanitarian)
• Program management Expertise in complex project
  and integrated program management with special
  emphasis on disaster management
• Logistics Inherent capability for effective
  supply chain management
• Security
• Capability to analyze situations that impact the
  safety and integrity of aid personnel, equipment
  and projects.
• Ability to access security related information
  from multiple sources and share information with
  multiple sources
• Ability to access and contract with security
  resources to meet the needs of particular
  situations

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Capabilities (Continued)

• Civil-Military Relations. Ability to work with
  military planners and operators at all levels and
  the ability to act as credible liaison between
  military and NGHAs
• Independence
• Organization must appear as independent from
  military and government command structures
• Freedom to operate in accordance with the RCM
  Code of Conduct
• Donor access
• Inherent capabilities to reach out to donors
  throughout all phases
• Grant writing capability
• Communications
• Ability to generate reports
• Ability to engage the public through written,
  electronic, and personal contact

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Notional Organization
Unified Management
Director (JTF) USEMB USAID/OFDA UNHC/IGO HNG NGO
Lead
CMOC
Safety/ Security
Public Information
Liaison
Legal
Planning
Logistics
Admin/ Finance
Identify, Request, and Track Resources

• Accountability
• Reports
• Fund Raising

Situation Unit Sector Leads
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Challenges

• Acceptance
• Combatant Commanders
• Other USG Agencies
• NGHAs
• Participation
• Planning
• Exercises
• Response
• Funding
• A good idea is one with a fund site attached to
  it.

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Concept Coherence with Humanitarian Principles

• Humanity Concept should facilitate NGHA access
  to populations anywhere in affected region and
  not just in support of mandate
• Impartiality NGHA aid will be rendered without
  consideration of political, ethnic, or religious
  basis
• Independence Coordination does NOT direct the
  employment of NGHA resources or operations
• Information sharing and situational awareness
  will promote self-synchronization
• NGHA accountability is to beneficiaries and
  donors, not US or supported nation military
• Neutrality NGHA aid will not have the direct
  intent to further government policy or mandate
• NGHA information will not be used for operational
  military intelligence
• NGHA operations will not be used for government
  propaganda or publicity campaigns
• NGHA aid may work to achieve humanitarian ends
  that coincide with mandate requirements or policy

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Principles and Perceptions
Despite an operational concept that supports RCM
Humanitarian Principles, NGHA participation may
still appear to compromise NGHAs. To mitigate
this perception

• Planning center should be separate from JTF
  Civil-Military Operations Center (CMOC)
• Staff should not include military personnel
• Mix of USG civilians, contractors, and NGOs
• Possibility that Director nominated by an
  independent foundation and approved by Combatant
  Commander.
• Military personnel should not be used to guard
  MACS except in extremis

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Participating NGHA Responsibilities
To participate in this process, Non-Governmental
Humanitarian Assistance Agencies must

• Commit to the Red Cross movements Code of
  Conduct for NGOs in Disaster Relief
• Agree to include their individual projects,
  requirements, and needs assessments into an
  integrated Framework for Action
• Come to agreement among themselves regarding
  identified needs and requirements
• Within their capabilities and organizational
  mission, assume sponsorship for on-going or
  proposed projects to meet those needs
• Participate and cooperate in preparation and
  distribution of project accountability reports
• Cooperate with other participating NGHAs on
  projects
• Not encroach upon or undermine other
  participating NGHAs for framework projects or
  funding.

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Way Forward

• Authorization to Proceed
• Market Research
• Donor Demand for Accountability
• Commercial Sector Capability
• NGHA Acceptability
• Refine the Concept
• Market the Concept
• Combatant Commands
• NGHAs
• Inter-Governmental Organizations (e.g., UN, EU,
  OAS)
• Concept Execution

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Conclusion

• Work in Progress
• Invite and encourage participation by
• Military commands
• USG agencies
• Partner governments and Inter-Governmental
  Organizations
• Commercial Private Sector
• Non-Governmental Humanitarian Agencies
• Colonel Christopher Mayer, USA (OSD/GSA)
• Christopher.mayer_at_osd.mil
• Ms Teresa Gera (Global Reach)
• Teresa.gera_at_globalreachpartnership.org

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Back-Up Slides
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Terms

• Framework for Action A program management tool
  based on the UN Millennium Development Goals. The
  idea of a framework envisions all relief and
  development activities as interrelated. The
  framework places relief and recovery projects in
  the context of an objective end state and serves
  as a tool for rationalizing and logically
  sequencing humanitarian aid and economic
  development
• Complex Emergency a humanitarian crisis in a
  country, region or society where there is total
  or considerable breakdown of authority resulting
  from internal or external conflict and which
  requires an international response that goes
  beyond the mandate or capacity of any single
  agency and/ or the ongoing United Nations country
  program
• Multi-Agency Coordination System (MACS). MACS
  consists of a combination of elements personnel,
  procedures, protocols, business practices, and
  communications integrated into a common system.
  The primary function of MACS is to coordinate
  activities above the field level and to
  prioritize the incident demands for critical or
  competing resources, thereby assisting the
  coordination of the operations in the field. As
  this concepts develops, this term may be dropped
  for a more appropriate descriptor of this
  capability.

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Terms

• Non-Governmental Humanitarian Agencies (NGHAs)
  The components of the International Red Cross and
  Red Crescent Movement and Non-Governmental
  Organizations (NGOs) involved in disaster
  response.
• Private Sector Philanthropists, private
  foundations, corporate donors, for-profit
  emergency management and development
  corporations, and non-profit humanitarian
  assistance and civil-society organizations (NGOs)
• Public Sector Department of Defense/military
  commands, other US Government Agencies, supported
  government agencies, other donor or assisting
  governments, and intergovernmental organizations
  (e.g., UN, OAS, AU, EU, etc.)
• Supported government/nation State affected by
  disaster and the recipient of emergency aid from
  the United States and the international community

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Preparation

• Regional needs assessments
• USG, Supported Nation, NGHA and other sources
• Potential supported nation response framework
• Build on existing capacities
• Supported nation may needs assistance in
  developing response framework
• Identifying contingency end states, stakeholders,
  resources, and exit criteria
• Pre-identification of resource requirements,
  potential sources of support, deployment aid and
  redeployment
• Identification of USG assistance objectives that
  coincide with independent NGHA policy
• Shared situational awareness of interest areas
• Security considerations

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Response

• MACS deploys with or ahead of Humanitarian
  Assistance/Disaster Relief Task Force
• Dual based, with forward and support elements
• MACS forward element works in direct support of
  the supported government
• National Response Framework Tasks

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Response Activities

• Situational Awareness
• Identify relief and recovery activity
  requirements, focused on lifesaving activities,
  tracked against end-state objectives
• Monitor project initiation, status, completion
  and effectiveness
• Maintain and share information affecting the
  security of response agencies and activities
• Facilitate the Deployment of Resources and
  Capabilities
• Liaison with supported government, IGOs, and US
  military for access to population
• Outreach to donors to meet resource gaps
• Coordinates for delivery and deployment of
  humanitarian aid and recovery personnel and
  materiel
• Facilitate Response Actions
• Enables self-synchronization among NGHAs, IGOs,
  military and other government organizations
• Deconflicts humanitarian space from military
  operations
• Prepare and distribute reports and other
  information for general public, beneficiaries,
  and donors

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Recovery

• Once immediate lifesaving and containment
  activities are complete, focus shifts to meeting
  basic needs and restoring infrastructure
• Public health and safety, essential services,
  transportation, food and shelter for displaced
  persons.
• All activities begun in the Response phase
  continue
• Recovery Planning/Framework of Action identify
  and orient on an end state
• Standards based on objective criteria (e.g.,
  SPHERE)
• NGHAs, government agencies, and IGOs accept
  specific projects, tasks, activities and
  functions identified in the Framework
• Includes identification of criteria for MACS
  demobilization and transfer of functions to
  supported government or IGO
• Objectives of emergency military assistance are
  met and military forces begin preparation for
  termination of operations and redeployment
• Includes coordination to preclude critical
  resource gaps

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Mitigation Aid must strive to reduce future
vulnerabilities to disaster as well as meet basic
needs

• End-state is an environment in which the
  supported government can be self-sufficient in
  providing for the populations humanitarian
  needs, and no longer requires external assistance
• Relief must not create dependency
• Framework for action depicts a continuum of
  relief, recovery, and development
• Projects must include activity addressing
  economic and environmental precursors of disaster
• Host Nation participation will enable capacity
  building
• Capacity development for supported governments
  through observation of and participation in MACS
  program management
• Participation should include pre-disaster
  activity during preparation as well as active
  engagement in response