Office of the Assistant Secretary of Defense for

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Office of the Assistant Secretary of Defense for Global Security Affairs Operating Concept for

Office of the Assistant Secretary of Defense for Global Security Affairs Operating Concept for Integrated Response to Complex Emergencies

Problem ► Ineffective management of aid and relief programs delay recovery, create instability, and

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

Broad Recognition of the Problem Statements by UN Envoys ► Red Cross Movement Code

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

Department of Defense Interest ► International disasters and humanitarian crises create conditions that lead

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

No Military Solution ► Military response to disaster can create problems § Military lacks

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

Recommendation ► Functioning mechanism associated with each combatant command to coordinate and synchronize private

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

Intent ► Facilitates achieving requirements of Code of Conduct for Red Cross/Red Crescent Movement

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

Functions “Governments should seek to provide a coordinated disaster information and planning service” ►

Functions “Governments should seek to provide a coordinated disaster information and planning service” ► Situational Awareness ► Security Management ► Program Coordination ► Liaison ► Communications ► Public Outreach § Project Synchronization § Project Monitoring § Donor Accountability ► Resource Distribution Management ► Capacity Building § Beneficiary Accountability § Donor Appeals

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

Functional Analysis This concept provides capabilities across the following phases of Disaster Response and Humanitarian Assistance ► Preparation ► Response ► Recovery ► Mitigation

Incident Management System Model ► International Standard ► Common Terms and Procedures ► Civilian,

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

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

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

Capabilities (Continued) Civil-Military Relations. Ability to work with military planners and operators at all

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

Notional Organization CMOC Director (JTF) USEMB USAID/OFDA UNHC/IGO HNG NGO Lead Unified Management Public

Notional Organization CMOC Director (JTF) USEMB USAID/OFDA UNHC/IGO HNG NGO Lead Unified Management Public Information Safety/ Security Legal Liaison Planning Situation Unit Sector Leads Logistics Identify, Request, and Track Resources Admin/ Finance • Accountability • Reports • Fund Raising

Challenges ► Acceptance § Combatant Commanders § Other USG Agencies § NGHAs ► Participation

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. ”

Concept Coherence with Humanitarian Principles ► ► ► Humanity: Concept should facilitate NGHA access

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 selfsynchronization § 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 § §

Principles and Perceptions Despite an operational concept that supports RCM Humanitarian Principles, NGHA participation

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

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

Participating NGHA Responsibilities To participate in this process, Non-Governmental Humanitarian Assistance Agencies must: ► Commit to the Red Cross movement’s 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.

Way Forward ► Authorization to Proceed ► Market Research § Donor Demand for Accountability

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

Conclusion Work in Progress ► Invite and encourage participation by ► § § §

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. [email protected] mil ► Ms Teresa Gera (Global Reach) § Teresa. [email protected] org

Back-Up Slides

Back-Up Slides

Terms ► Framework for Action: A program management tool based on the UN Millennium

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.

Terms ► Non-Governmental Humanitarian Agencies (NGHAs) The components of the International Red Cross and

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, forprofit 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

Preparation ► Regional needs assessments § USG, Supported Nation, NGHA and other sources ►

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

Response ► MACS deploys with or ahead of Humanitarian Assistance/Disaster Relief Task Force §

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: ► Gain and Maintain Situational Awareness Activate and Deploy Resources and Capabilities Coordinate Response Actions

Response Activities ► Situational Awareness § Identify relief and recovery activity requirements, focused on

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

Recovery ► Once immediate lifesaving and containment activities are complete, focus shifts to meeting

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

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

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 population’s 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