ii - European External Action Service · D Civilian Component Concept of operations 3D-1 to 3D-5 ... validate the African Union processes for the employment of the African Standby

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Table of Content

Serial Annex App Content Page Colour (a) (b) (d) (e)

Cover Page i Table of Content ii

1 General Instructions 1-0 to 1-5 A Exercise Timelines 1A-1

2 Introductory Narrative 2-1 to 2-10 A PSC/PR/Comm (CXXV) of 20 Oct 2010 2A-1 to 2A-5 B PSC/PR/Comm (DCXLVI) of 01 May 2011 2B-1 to 2B-4 C PSC/PR/Comm (DCCXIV) of 12 Mar 2012 2C-1 to 2C-4 D PSC/PR/Comm (DCCXL) of 13 Oct 2012 2D-1 to 2D-4

3 AMICA Mission Implementation Plan 3-1 to 3-12 A AMICA Organizational Chart 3A-1 to 3A-8 B SRCC Vision 3B-1 to 3B-4 C Directives to SRCC 3C-1 to 3C-13 D Civilian Component Concept of operations 3D-1 to 3D-5 E Military Concept of Operations 3E-1 to 3E-5 F Directives to Force Commander 3F-1 to 3F-12 I Guidance to Commanders of AU Military Ops 3FI-1 3FI-2 G Police Concept Operations 3G-1 to 3G-7 H Directives to Police Commissioner 3H-1 to 3H-15

4 Status of Mission Agreement 4-1 to 4-17 5 Directive on Use of Force 5-1 to 5-10 6 Rules of Engagement for the Military Comp 6-1 to 6-6 A Authorized Numbered ROE for AMICA 6A-1 to 6A-5 B Definitions and Amplifications 6B-1 to 6B-5 C Supporting Directions and Procedures 6C-1 to 6C-4 D Weapons States 6D-1 to 6D-2

7 AMICA Mission HQ Job Descriptions 7-1 to 7-27 A Exercise Manning List 7A-1 to 7A-11

8 Exercise Plan 8-1 to 8-7 A EXCON Structure 8A-1 B EXCON Manning List 8B-1 to 8B-7 C Exercise Location Plan 8C-1 to 8C-2 D MAPEX Timeline 8D-1 E EXCON Training Instructions 8E-1 to 8E-2 F EXCON Working Schedule 8F-1 G EXCON Meeting Schedule 8G-1

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AFRICAN UNION

UNION AFRICAINE

UNIÃO AFRICANA

Boîte Postale: 3243, Addis Abéba, ETHIOPIE Tél.: (251-1) 513 822 Fax: (251-1) 519 321 Email: [email protected]

EXRECISE NJIWA

AU Police and Civilian Focused Exercise (POLCIVEX)

Addis Ababa, Ethiopia 9 October – 9 November, 2012

--------------------------

GENERAL INSTRUCTIONS

SERIAL I TO EXERCISE NJIWA MANUAL

mailto:[email protected]

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INTRODUCTION

1. The AMANI AFRICA Command Post Exercise (CPX) conducted in October 2010 to

validate the African Union processes for the employment of the African Standby Force

(ASF) identified some lessons for considerations. The AMANI AFRICA CPX Evaluation

Report amongst others identified lessons covering exercise planning and conduct;

capacity building and training; advocacy and sensitization; and multi-dimensionality.

2. In particular, Police capacities and contribution during the CPX was found to require

further development from exercise planning and execution points of view amongst others.

Similarly, it was found that the Civilian Component development was lacking and needed

to be addressed as a matter of urgency. Undoubtedly, it emerged that there was a

disparity in component level strength, capacities and development within the ASF.

Consequently, if the multidimensional requirements of ASF are to be achieved, the gap in

Police and Civilian development and capacities must be urgently addressed. More so,

there is the need for the lessons identified during the AMANI AFRICA CPX to be corrected

before the conduct of the next integrated continental exercise.

3. In the light of the above a request was made to Government of Canada to support

the ASF in funding a Police and Civilian Specific Exercise. To this end, the Pearson

Peacekeeping Centre (PPC) of Canada was identified as a partner in supporting the AU in

achieving the objective of the conduct of the Exercise. In addition, the Centre of

Excellence for Stability Police Units (CoESPU) of the Italian Carabinieri General

Headquarters was also identified as having enormous experience in Exercises having

facilitated a great number of European CPX. CoESPU has also agreed to support the AU

in the planning and conduct of the Exercise.

4. The Peace Support Operations Division (PSOD) therefore intends to plan and

conduct a ‘Police and Civilian Focused Exercise (AU POLCIVEX)” aimed at building

Police and Civilian capacities for the ASF in the planning and execution of AU Peace

Support Operations (PSO). The Exercise would be planned within the framework of the

PSOD’s functions in the planning and conduct of AU mandated PSOs.

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5. OVERALL EXERCISE OBJECTIVE

The overall objective of the exercise is to enhance the Police and Civilian capacities of the

African Standby Force (ASF) in planning and conducting peace support operations

mandated by the African Union.

EXERCISE GENERAL INFORMATION

6. The following are the details of the Exercise:

a. Exercise Name: NJIWA

b. EXERCISE Type: Map Exercise (MAPEX)

c. Exercise Location: AUC HQs in Addis Ababa, Ethiopia.

TRAINING OBJECTIVES

7. The training objectives of the Exercise are as follows:

Strategic Level Objectives

• Integrated Mission Planning Process(IMPP)

• AU Decision Making Process for PSO

• Component Planning; o Police Specific Planning

o Civilian Specific Planning

• Strategic Level Management of the Mission o Act as HICON for a Mission HQ

Operational Level Objectives

• Practice Mission Coordination Mechanisms(MOC, MAC,MLOC)

• Mandate Execution (MIP)

• Execution of mission key tasks o Police Specific Tasks o Civilian Specific Task

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IMPORTANT DATES, KEY CEREMONIES AND EVENTS

8. The following events and dates are critical to the Exercise:

• Arrival and In processing – 29/30 October 2012

• Official Opening - Wednesday 31 October 2012 at AU Commission New

Conference Hall

• Exercise Induction – Wednesday 31 October to Thursday 1 November, 2012

at the AU Commission Old Conference Hall

• Warm Up – 2 November, 2012 at Ex Location, EASF Bde HQ, Addis Ababa,

Ethiopia

• VIP/Observers Day – Wednesday 7 November 2012 at Ex location, EASF

Bde HQ, Addis Ababa

• Closing Ceremony at Ex Location, EASF Bde HQ, Addis Ababa on 8

November 2012

• Hot Wash Up at Ex Location, EASF Bde HQ, Addis Ababa on 8 November

2012.

• After Action Review (AAR) at Ex Location on 9 November, 2012.

EXERCISE SCENARIO

9. The Exercise Scenario would be based on ASF Scenario 5. Carana Base Scenario

would be used and adapted to Police and Civilian Exercise dynamics as a capacity

building programme for planning and deployment of AU Peace Support Operations. The

Narrative (Scenario) is annexed to the General Instruction. The complete CARANA Base

Scenario will be provided separately during the Exercise as reference material.

PARTICIPATION

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10. A total of about one hundred and ten (110) attendees will be involved in Exercise

NJIWA. Participants will be drawn from the AU Commission, RECs/RMs, AU Member

States, Strategic Partner Organizations and other stakeholders. The specific detail is

outlined separately in the Exercise NJWA Manning Lists.

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OBSERVER/VIP DAY

11. About twenty (20) personnel will participate in the Exercise as Observers. A number of

Very Important Persons (VIPs) will also participate. The VIP and Observers day will be on

Wednesday 7 November, 2012.

EVALUATION

12. Exercise NJIWA is an evaluated Exercise. The methodology of the Evaluation will be

based on ASF Evaluation Concept and Criteria. The details of the Evaluation are provided

separately in Exercise NJIWA Evaluation Manual.

EXERCISE CYCLE

13. Pre Exercise activities were conducted over the period of 2011 to 2012 which

culminated into a continental NJIWA Mapping Exercise. The details are listed below.

SERIAL

# EVENT TIME FRAME

1. Exercise Specification Conference May 2011 2. Initial Planning Conference 14 – 16 September

2011 3. Scenario Working Group Conference 28 November – 2

December 2011 4. Main Planning Conference 27 – 29 February

2012 5. Pre Exercise Training – Mission Planning

Session 19-30 March 2012

6. Evaluation Training/Seminar 19 – 22 June 2012 7. Final Planning/Technical Coordinating

Conference 30 July - 1 August 2012

8. Conduct of Exercise 9 October – 9 November 2012

9. Lessons Learned Conference Feb/March 2013 TBC

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EXERCISE LANGUAGE

14. The Exercise Language will be Language. The Exercise will therefore be

conducted in English Language.

DRESS

15. Dress for the Exercise will be working dress/field uniform for service personnel

(police and military) and smart casual for civilians.

ADMINISTRATION AND LOGISTICS

16. Administration and Logistic will be handled by the Real Life Support Team,

under the leadership of CSP Zainab Pembi. The Administrative Instructions for the

Exercise will be issued separately.

PUBLIC INFORMATION

17. The Exercise Media and Public Information Includes the development of

animated pictures of AMANI AFRICA I and Exercise Cycle Events for advocacy,

press release, press conferences and briefing including the production and

distribution of promotion materials. All issues related to the media and public

information will be coordinated by Exercise Press Information Officer.

MEDICAL COVER

18. Medical cover will be provided for the Exercise.

SECURITY PLAN

19. Security will be provided at the Exercise Location and the hotel

accommodation.

Annexes A. Exercise Timeline

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R E A L - W O R L D - P E A C E

Exercise Timeline

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ANNEX A TO SERIAL I TO EX NJIWA MANUAL

Opening Ceremony

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INTRODUCTORY NARRATIVE

EXERCISE NJIWA

AFRICAN UNION POLICE AND CIVILIAN-FOCUSED EXERCISE

(POLCIVEX)

SERIAL 2 TO EXERCISE NJIWA MANUAL

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TABLE OF CONTENTS

TABLE OF CONTENT………………………………………………………………………….II ABBREVIATIONS…….………………………………….………………..……………....…….III

SCENARIO PERSONALITIES…………………...……….………………………..…..….…..III

INTRODUCTORY NARRATIVE………..…………………..……………………………….2-1

Background to the African Union Mission in Carana…………………………..2-1

The Combattants indépendants du sud Carana………………………………..2-2

Violence in Leppko Province……………………………………………………..2-3

Baka II Comprehensive Agreement and Restoration of Peace….…………..2-3

Mandate Adjustment………………………………………….………..…………2-5

Rimosan Rebels in Western Leppko Province…….…….……..……………..2-5

Public Order and Rule of Law………………………………………...…………2-5

Judiciary & Corrections………………………………………………...…………2-8

Protection of Civilians and Other Considerations……………………………..2-8

Conclusion……………………………………………..……………………….. 2-10

II

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ABBREVIATIONS

AAADH - Association des avocats pour l’avancement des droits humains AMICA - African Union Mission in Carana AU - African Union BCA - Baka Comprehensive Agreement CISC - Combattants indépendants du sud Carana (Tatsi rebel group) DDR - Disarmament, Demobilisation and Reintegration ECOK - Economic Community Organisation of Kisiwa IDP - Internally Displaced Person PCC - Parti de la convention caranaise (Kori-based party, popular with the Kori population throughout the country, but without much support in Mahbek Province) PDC - Parti démocratique de Carana (Falin-based party that currently forms the Government of Carana) PSC - African Union Peace and Security Council VMPC - Vrai mouvement patriotique de Carana

SCENARIO PERSONALITIES

Agrassa Nonani - Deputy Commissioner of Police, Caranese National Police Force Azumu Zombatabani - Warlord of recalcitrant CISC Balagra Tambezi - Provincial Commissioner of Police, Leppko Province Cheick Ogavo - President of Carana Hypolite Ampoula - Commissioner of Police, Caranese National Police Force Zumbaga Kpakpari - CISC leader

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INTRODUCTORY NARRATIVE1:

SCENARIO FOR AFRICAN UNION POLICE AND CIVILIAN-FOCUSED EXERCISE

Provincial Map of Carana

Background to the African Union Mission in Carana (AMICA) 1. The African Union Mission in Carana (AMICA) originally intervened in the country in

November 2010 under ASF Scenario 6 to halt the genocide that was rapidly

spreading across Mahbek Province. This genocide was being perpetuated by a rebel

group known as the Vrai movement patriotique de Carana (VMPC). AMICA’s

presence and work in Carana eventually returned the province to stability.

1 All information on Carana’s geography, history, society, religion, governance, law, economics and security and geo-political background is contained in the Carana Base Scenario Package.

Carana

Rimosa

Sumora

Katasi

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The Combattants indépendants du sud Carana 2. As the Mission had focused its attention on the VMPC in Mahbek Province, a new

crisis began fomenting in nearby Leppko Province, with a rapid degeneration of the

situation during the first few months of 2011. There, the tide begun to turn for a group

known as the Combattants indépendants du sud Carana (CISC). At the start of the

Mission in Mahbek Province, the CISC had been a disorganised and largely criminal

organisation in Leppko Province. However, as the attention of the Government of

Carana and indeed AMICA focused on the VMPC, the CISC, made up largely of

discontented Tatsi youth, steadily grew in strength. The catalyst for the widespread

support of the CISC among the Tatsi was the exclusion of the Tatsi from the Baka

Comprehensive Agreement (BCA) that was eventually signed between the VMPC

rebels and government. The Tatsi exclusion from Baka sowed seeds of bitterness

that would later erupt into intense violence.

3. The animosity between the Tatsi and other ethnic groups in Carana dates back

centuries. At the time of the crisis in Carana, this animosity had shown no sign of

abating. The leaders of the CISC roused the Tatsi by citing their exclusion from the

BCA as glaring evidence of their marginalisation. To this, the parties to the

Agreement unanimously responded that the exclusion of the Tatsi was not an act of

discrimination. Rather, it was one of pragmatism, given that the Tatsi were not

involved in the conflicts that necessitated the BCA. The Tatsi countered that while

they may not have been a party to the conflict that broke out in Mahbek Province,

their exclusion from the BCA reinforced their status as outcasts within Caranese

society; it excluded them from benefits such as those the Kori received under the

economic development component of the Agreement.

4. Following the signing of the Agreement, mass Tatsi protests had been organised by

the Tatsi political leadership, but these were brutally stamped out by the government.

A number of Tatsi demonstrators were killed by the Caranese Police and many more

were injured. The ruthlessness and resulting fatalities further fueled the anger of the

Tatsi and served as a rallying call for the CISC. It also led to mass demonstrations in

Leppko Province that degenerated into riots that left scores dead and many injured.

The limited capacity of the police was evident as they failed to stem the tide of

violence.

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Violence in Leppko Province 5. Further strengthening the CISC was the assistance received from the Elassoni Tatsi

from Rimosa2. In northern Rimosa, the Elassoni Tatsi and Pleioni were engaged in a

war that had forced Elassoni Tatsi rebels into southern Carana (primarily Leppko

Province). There, they received assistance from the CISC. Once violence erupted

between the CISC and Caranese authorities in Leppko Province, the Rimosan rebels

lent their support to the CISC, fighting alongside their fellow Tatsi. In exchange for

their assistance, the Elassoni rebels were permitted by the CISC to mine informal

diamond fields that the latter illegally controlled in Leppko Province. Allied, the two

groups wreaked havoc in Leppko Province, fighting authorities, attacking government

facilities, offices and officials, as well as other ethnicities, but primarily Falin living in

Leppko Province. In a particularly vicious attack on a Falin settlement in Kika, about

80 women and children were hacked to death by CISC rebels. By the time the fight

between the military and rebel group ceased, approximately 450 lives had been lost

and about 1000 injuries had been reported.

6. It was not until AMICA substantially increased its military capacity within Leppko

Province in May 2011 that the violence in Leppko was eventually brought under

control. Ultimately though, it was action taken on the diplomatic front that offered the

promise of lasting peace.

Baka II Comprehensive Agreement and Restoration of Peace 7. As the violence in Leppko had worsened, the African Union, as well as Carana’s

neighbours on the Island of Kisiwa, began applying pressure on the Government of

Carana as well as on the CISC to seek a swift solution to the unfolding crisis. This

crisis was not only costing lives and destroying people’s livelihoods, but was also

seen as a huge embarrassment to the Mission. The majority of the Tatsi supported

the CISC, not because they believed in the rebel group’s values or in the violence it

was perpetuating, but rather because it believed that it was the only way to get the

attention of the Government and indeed the rest of Carana; many Tatsi in Leppko

were caught up in the violence, with many civilian lives lost. The African Union

argued that a second agreement acknowledging the Tatsi, and which worked to

2 Rimosa is Carana’s neighbour to the south-east.

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include the CISC into Carana’s political process would go a long way towards halting

violence in Leppko Province and ensuring lasting peace.

8. For a while, the Government of Carana refused to extend a place to the CISC around

a negotiating table. However, as the violence in Leppko escalated and international

pressure mounted, President Cheick Ogavo had no choice but to accede to the

signing of a new agreement. Once Ogavo relented, an invitation was sent out to

Zumbaga Kpakpari, the CISC leader. Initially skeptical, Kpakpari rebuffed the offer.

However, promises of major gains for the Tatsi under the new agreement buoyed the

hopes of many Tatsi who then urged the CISC to accept. Still Kpakpari refused, and

was heavily criticised by some Tatsi politicians as interested only in power and not

the broader good of the Tatsi. Such accusations did not propel Kpakpari to change

his stance; it was only when he was assured an active political role at the national

level that he ultimately relented, and agreed to negotiate.

9. On 1 June 2011, negotiations championed by AMICA’s political office commenced

between the original signatories to the Baka Agreement on one hand, namely the

Government of Carana, the Kori-based Parti de la convention caranaise (PCC) and

the Vrai Mouvement patriotique de Carana (VMPC), and the CISC on the other hand.

Following lengthy posturing by Kpakpari, the Baka II Comprehensive Agreement was

ultimately signed on 15 June 2011. In exchange for political recognition, and

substantive financial support to Leppko Province, the CISC agreed to a ceasefire and

to disarm. The disarmament process will be implemented by a Disarmament

Demobilisation and Reintegration (DDR) Commission under a yet to be determined

framework. Kpakpari is also alleged to have requested immunity from prosecution.

10. Citing gross human rights violations by Kpakpari and his rebels, a legal advocacy

group, Association des avocats pour l’avancement des droits humains (AAADH), is

voicing concerns about granting immunity to Kpakpari. It has indicated that any such

act would be a grave miscarriage of justice. AAADH is asking for Kpakpari and his

deputies to be brought to trial.

11. In spite of the promise of cessation of violence, some elements of the CISC refused

to abide by the terms of the Baka II Agreement. Pockets of resistance emerged over

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the month following the signing of Baka II. Nonetheless, for the subsequent few

months, comparative calm reigned in Leppko Province.

Mandate Adjustment

12. In this atmosphere, AMICA sought and obtained a new mandate through the African

Union’s Peace and Security Council (PSC) on 30 August 2011.

13. Now operating under Scenario 5, there has been a transfer of primary responsibility

from the military to the police and civilian components of AMICA.

Rimosan Rebels in Western Leppko Province

14. The Leppko authorities and Caranese Army have failed to provide adequate security

in Western Leppko Province. Rimosan rebels supporting the rogue CISC rebels have

been fomenting trouble in this area, and the group is expected to continue to pose a

threat as these rebels recognize that their lucrative illegal activities cannot continue in

a stable and secure environment. While the matter has been referred to the

Economic Community Organization of Kisiwa (ECOK)3, it is assessed that AMICA’s

military support will be required to tackle the problem there.

Public Order and the Rule of Law

15. The problems in Leppko Province largely continue to be related to the restoration of

public order and the rule of law. The rogue CISC members, in addition to fomenting

disturbances related to dissatisfaction with the Baka II Agreement, have also also

been able to establish and expand a considerable criminal empire. The situation has

been exacerbated by the lack of a credible police presence in Leppko Province.

Recently, some CISC members have been engaged in high profile armed robberies

(including of a bank), carjacks and hijacks along the Eres/Corma highway and on the

main supply route into Mahbek Province. Criminal activities have also been targeted

at AMICA facilities.

3 ECOK is the regional body to which the countries on the Island of Kisiwa, including Carana, belong to.

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16. The recalcitrant CISC members have further engaged in the smuggling of diamonds

and the trafficking of women and children across the border with Rimosa. The police

in Leppko have failed to effectively halt these crimes. The Caranese Border Police

are responsible for enforcing customs and immigration laws along the Caranese land

frontier and at points of entry into, and exit from, Carana. The failure in adequately

controlling Carana’s borders is in large part due to an excessively porous border

which has proved beyond the capacity of the Caranese Border Police to successfully

monitor it.

17. Furthermore, Azumu Zombatabani, the warlord inciting these criminal elements, has

eluded arrest. To make matters worse, the police have made little headway in

investigating human rights violations allegedly committed by the CISC during the

hostilities.

18. The Caranese Police Force appears to require assistance in other areas beyond

dealing with the illicit activities of the rebels. Crime is high and many young men have

joined criminal gangs which fight for control of territory. Gang-related violence has

reached shocking levels in the major cities. Criminal activities such as burglaries and

other theft among the general populace have increased sharply. Incidents of

kidnapping are on the rise. In recent months, two international staff members of a

transnational diamond producing consortium based in Leppko have been kidnapped

by a group of irate unemployed young men. The group is threatening to behead the

workers if their ransom demand is not heeded. The general public in Leppko

Province is increasingly ill at ease as a result of the escalating criminality.

19. As well, the manner in which the Caranese Police in Leppko Province attempted to

quell violence that erupted during a demonstration by Tatsi mine workers has

highlighted the limitations of the police force. On 30 June 2011 hundreds of workers

from the Ensuta Diamond Fields in Eres had gathered to protest poor working

conditions within the mines. What had started out as a peaceful demonstration soon

turned into a free for all brawl. It is alleged that the clash began when a number of

protestors traded insults with a group of Falin men upset that the protests were

blocking entrance to their businesses. Soon the men were under attack, and mass

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fighting broke out. Some took advantage of the chaos to loot businesses in the

district, breaking down doors, shattering windows and making away with

merchandise. Police on scene to patrol the demonstration clashed with the crowd,

brutally beating up many of the miners, and in turn getting pelted with rocks.

Eventually, they fired live rounds of ammunition into the crowd killing 12 people

(include one 11 year old girl bystander), and injuring 75. A number of the injuries

resulted from the stampede that arose as people rushed to disperse at the sound of

gun shots. The indiscriminate shootings by police served to further enrage the Tatsi

against a Police Force that it had always deemed highly corrupt and ineffectual.

20. The sentiments of the Tatsi against the Police are not unfounded. Prior to the

violence unleashed by the CISC in Leppko Province, the Police in Leppko Province,

and indeed in most of Carana, were seen as ineffective. Following the conflict, the

institution is barely functioning. Corruption is rife within the Force, compounded by

poor salaries and delayed payments. Many individuals arrested find their way back

onto the streets the moment they are able to pay off officers. In recent months,

evidence of organised criminal activities, especially drug and human trafficking

involving collusion or active participation by police officers have come to light.

Equipment in use is poor, limited and outdated. As well, the police suffer a critical

shortage of qualified personnel and training, and ultimately their presence in Carana

is very low. Training offered by the Police Academy in the capital Galasi as well as

the Non-Commissioned Officer Police School in Corma, Leppko Province, have failed

to adequately prepare police in Carana. The Gendarmerie does not fare any better.

21. The higher echelons of the police force consist mostly of Falin, who are accused by

other ethnic groups as serving mainly to protect the interest of their group. The

Commissioner of Police, Hypolite Ampoula is a Falin, with his deputy, Agrassa Nonani, being a Kori. While relations between the two are strained, the Tatsi are

quick to point out that at least both the Falin and Kori are represented within the

leadership of the Carana National Police Force to the exclusion of the Tatsi. Despite

Leppko Province being a primarily Tatsi area, the Provincial Commissioner of Police,

Balagra Tambezi, is a Falin. This arrangement proved problematic particularly at the

height of the conflict in Leppko Province when police attempted to suppress the

CISC. There was considerable tension between Tambezi and some of his

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subordinates as the latter felt that orders to tackle the Tatsi were often excessively

brutal and ethnically motivated. Furthermore, within the Police Force, some Tatsi

refused to take orders and deflected to the CISC camp.

Judiciary & Corrections

22. The Criminal Justice System is highly politicized. It also lacks institutional capacity

and resources. Salaries of judicial staff are often unpaid for months, leading to

absenteeism and corruption. Legislation remains outdated and often discriminatory

against women and other vulnerable groups. There is no functioning juvenile justice

system, and no public defence counsel service. To make matters worse, many

detainees are left to languish in jail without due process.

23. The Corrections System further lacks the capacity to adequately address its

challenges. Within Carana, there are eight prisons housing 9,500 prisoners; these

facilities were originally built to house 3500 prisoners. The state of the Provincial

Prison in Leppko Province, similar to the rest of Carana, is appalling. There are

insufficient prison wardens to tackle the overcrowded prisons, and in recent times,

jailbreaks have been on the rise. Wardens are poorly trained, and abuse of power,

including the use of torture, is rife.

Protection of Civilians and Other Considerations 24. Following the return to peace fostered by AMICA’s presence in Mahbek Province, the

lives of most Caranese returned to a semblance of normalcy. Livelihoods that had

been disrupted during the crises were restored. The economy began to recover, with

the economic development plan aimed at benefiting deprived Kori areas shifting into

gear, albeit with some difficulties. Additionally, the majority of internally displaced

persons returned to their communities in Mahbek Province, however, the outbreak of

violence in Leppko Province perpetuated by the CISC rebels, led to the displacement

of individuals in Leppko. These were forced to flee into two IDP camps; one at Folsa,

the other at Focal. It is estimated that approximately 200,000 people been displaced

internally or as refugees as a result of the conflicts in Mahbek and Leppko Provinces.

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25. Recalcitrant ex-members of the CISC (a breakaway group known as

Révolutionnaires du sud carana) are said to be operating out of the two IDP camps,

raining terror on the Falin inhabitants. The Caranese Police have been unable to

effectively evict the rebels from the camps, and the few that have been arrested have

been released with no charges pressed.

26. Currently, a planned construction of a school within the Folsa IDP camp by

Educators International, an international NGO working in developing countries, has

caused a ruckus. The host community is furious that Falin IDPs are being treated to

education, while Tatsi children are being neglected. Other opponents have argued

that the construction of the school, in addition to the provision of facilities such as tap

water and electricity to the camp, is nurturing a sense of permanency of the camp,

rather than a temporary stopgap measure. The host community has been vocal

about its concern that with these provisions, IDPs are unlikely to relocate and be

reintegrated into their former communities when the time comes to return. These

sentiments have fueled minor skirmishes between the Falin IDPs and Tatsi residents

in Folsa. Of greater concern has been the sporadic armed attacks carried out against

the IDPs by the rebels. The government has not successfully protected these IDPs,

particularly women, children, elderly and other vulnerable populations living in the

camps.

27. During the conflict, the CISC used child soldiers to fight. Many were Pleioni boys

abducted from their villages in Rimosa, and smuggled across the border to fight in

Leppko Province. Under the influence of drugs, almost all had been forced to shoot

and kill and commit other atrocities. Girls were also kidnapped and forced to serve

as porters, cooks and bush wives to the rebels; to a lesser extent, some girls were

employed as combatants.

28. At the height of the violence, many human rights atrocities were committed, including

the rampant brutal raping of women and girls, and in some instances, boys. While the

number of rape victims is estimated to be in the thousands, exact figures are not

available as the vast majority of cases go unreported. Some of these women (mostly

Falin) were not only raped, but severely mutilated. Currently, health facilities and

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psycho-social support and rehabilitation are needed to deal with the outcomes of

sexual and gender-based violence (SGBV).

Conclusion

29. The political imperative which has driven the peace process and resulted in the Baka

II Comprehensive Agreement is now being supported with resources in order to

orchestrate peace and stabilise Carana, assist affected populations and usher

Carana into a period of full recovery. It is expected that AMICA, now operating under

ASF Scenario 5, will work to effectively underpin the ongoing political process, which

is paramount.

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PEACE AND SECURITY COUNCIL 625th Meeting 20 OCTOBER 2010 ADDIS ABABA, ETHIOPIA

PSC/PR/Comm (CXXV)

COMMUNIQUÉ

ANNEX A TO SERIAL 2 TO EXERCISE NJIWA MANUAL

PSC/PR/Comm (CXXV)

2A-2

COMMUNIQUE OF THE 625TH MEETING

OF THE PEACE AND SECURITY COUNCIL

The Peace and Security Council of the African Union (AU), at its 625th meeting held, on 20 October 2010, adopted the following decision on the situation in Carana: Council: 1. Takes note of the report of the Chairperson on the Situation in Carana [PSC/PR/10(2010)];

2. Expresses its utmost concerns at the dire consequences of the ongoing genocide in Carana’s Mahbek Province and of the effect of prolonged conflict on the civilian population throughout Carana, in particular the increase in the number of internally displaced persons in Leppko Province;

3. Stresses the urgent need for substantial humanitarian assistance to the population of Carana;

4. Commends the efforts of, and reiterates its full support for, the Government of Carana, the Economic Community Organisation of Kisiwa (ECOK), the United Nations Secretary-General, and the leaders of the region to promote peace and stability in Carana;

5. Deplores all violations of human rights, particularly against the civilian population, and urges the Government of Carana to take all necessary measures to put an end to impunity and to ensure that the continued promotion and protection of human rights;

6. Emphasises the need for all parties to safeguard the welfare and security of humanitarian workers in accordance with applicable rules and principles of international law;

7. Is mindful of the need for accountability for violations of international humanitarian law and urges the Government of Carana to ensure that the protection of human rights and the establishment of a state based on the rule of law and of an independent judiciary are among its highest priorities;

AU UNCLASSIFIED Exercise Njiwa

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8. Stresses the urgent need to agree terms for a Comprehensive Peace Agreement and that responsibility for restoring peace in Carana rests with the parties who should act immediately to ensure an end to the violence in Mahbek Province;

9. Reaffirms the need to recognize the human rights commitments of the people of Mahbek province in the terms of a Comprehensive Peace Agreement;

10. Notes that lasting stability in Carana will depend on peace in the sub-region, and emphasises the importance of cooperation among the countries of the sub-region to this end, as well as the need for coordination of efforts of the International Community’s efforts to contribute to the consolidation of peace and security in the sub-region;

11. Determines that the situation in Carana continues to constitute a threat to international peace and security in the region, to stability in Kisawa, and to sustainable peace in Carana;

12. Decides to establish the African Mission in Carana (AMICA), in Mahbek Province, for a period of 6 months and further decides that AMICA will consist of up to 1,015 military personnel and up to 15 civilian police officers and small civilian component; in this respect, AMICA, which shall be adequately equipped to project the appropriate posture, shall undertake the following tasks:

o to deploy within 14 days to prevent further genocide in Carana’s

Mahbek:

o without prejudice to the responsibilities of the relevant authorities, to

protect civilians in Carana under imminent threat of physical violence,

o to monitor the human rights situation, to contribute towards

international efforts to protect and promote human rights in Carana, with particular attention to vulnerable groups including internally displaced persons, women and children, as well as provide human rights technical assistance as needed in close cooperation with United Nations agencies, related organizations, government organizations and non-governmental organizations;

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o to support the Government in ensuring that there is no impunity for those involved in atrocities and abuses of human rights,

o to support the Government with the return to rule of law

o to facilitate the provision of humanitarian assistance by helping to

establish the necessary security conditions;

o to establish and maintain continuous liaison with the field headquarters

of all parties in conflict;

o to facilitate the negotiation between the Parties for a Comprehensive

Peace Agreement

o on signing of a Comprehensive Peace Agreement to support the

Government in its implementation,

13. Demands that the parties cease hostilities and violent acts throughout Carana and agree to negotiate a Comprehensive Peace Agreement;

14. Calls upon all parties to co-operate fully in the deployment and operations of AMICA, including through ensuring the safety, security, and freedom of movement of African Union personnel, together with associated personnel, throughout Carana;

15. Encourages AMICA, within its capabilities and areas of deployment, to support the voluntary return of internally displaced persons. AMICA is urged to coordinate and consult with local authorities and humanitarian agencies in pursuit of this endeavour;

16. Requests the Government to conclude a status-of-mission agreement with the Chairperson within 30 days of adoption of this communiqué;

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17. Calls upon all parties to ensure, in accordance with relevant provisions of international law, the full, safe and unhindered access of relief personnel to all those in need and delivery of humanitarian assistance, in particular to internally displaced persons and refugees;

18. Demands that all parties cease all human rights violations and atrocities against the Caranian population, and stresses the need to bring to justice those responsible;

19. Reaffirms the importance of a gender perspective in peacekeeping operations and post-conflict peace-building and recalls the need to address violence against women and girls as a tool of warfare, and encourages AMICA as well as the Caranian parties to actively address these issues;

20. Reiterates its demand that all Countries in the region cease military support for armed groups in neighbouring countries, take action to prevent armed individuals and groups from using their territory to prepare and commit attacks on neighbouring countries and refrain from any actions that might contribute to further destabilisation of the situation in the region, and declares its readiness to consider, if necessary, ways of promoting compliance with this demand;

21. Calls on the international community to consider how it might help future economic development in Carana aimed at achieving long-term stability in Carana and improving the welfare of its people;

22. Requests Member States that are in a position to do so to provide financial and logistical support to enable AMICA to effectively discharge its mandate. Further expresses its gratitude to all AU Partners for their past support and appeals to them to engage all potential contributors within the international community to provide necessary additional support to ensure a sustainable long term effort;

23. Requests the Commissioner for Peace and Security to provide regular updates, including a formal report every 90 days to the Peace and Security Council on the progress in the implementation of AMICA’s mandate and the situation of the negotiation to a Peace Agreement between the parties;

24. Decides to remain actively seized of the matter.

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PEACE AND SECURITY COUNCIL 646th Meeting 01 MAY 2011 ADDIS ABABA, ETHIOPIA

PSC/PR/Comm (DCXLVI)

COMMUNIQUÉ

ANNEX B TO SERIAL 2 TO EXERCISE NJIWA MANUAL

2B-2

COMMUNIQUÉ OF THE 646TH MEETING


The Peace and Security Council of the African Union (AU), at its 646th meeting

held, on 01 May 2011, adopted the following decision on the situation in Carana: Council: 1. Takes note of the report of the Chairperson on the Situation in Carana [PSC/PR/03(2011)];

2. Expresses its utmost concerns at the dire consequences of the ongoing civilian unrest and criminal activities in Leppko Province and of the effect of prolonged conflict on the civilian population throughout Carana, in particular the upsurge of the number of internally displaced persons in Leppko Province;

3. Stresses the urgent need for substantial humanitarian assistance to the population of the IDP camps in Leppko and surrounding areas;

4. Deplores all violations of human rights committed by the group Combattants indépendants du sud Carana (CISC) against the Kori and Falin living in Leppko and urges the Government of Carana to take all necessary measures to put an end to impunity and to ensure the continued promotion and protection of human rights;

5. Emphasises the need for all parties to safeguard the welfare and security of humanitarian workers in accordance with applicable rules and principles of international law;

6. Is mindful of the need for accountability for violations of international humanitarian law and urges the Government of Carana to ensure that the protection of human rights and the establishment of a state based on the rule of law and of an independent judiciary are among its highest priorities;

7. Stresses the urgent need to agree terms for a Comprehensive Peace Agreement and that responsibility for restoring peace in Carana rests with the parties who should act immediately to ensure an end to the violence in Leppko

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Province;

8. Notes that lasting stability in Carana will depend on peace in the sub-region, and emphasises the importance of cooperation among the countries of the sub-region to this end, as well as the need for coordination of the International Community’s efforts to contribute to the consolidation of peace and security in the sub-region;

9. Determines that the situation in Carana continues to constitute a threat to international peace and security, to stability in t h e Kisiwa region, and to sustainable peace in Carana;

10. Welcomes the Report of the Chairperson on the Situation in Carana [PSC/PR/03(2011)] on AMICA and supports his recommendations as follows:

a. the extension of AMICA’s area of responsibility to Leppko Province to

restore law and order and facilitate the negotiation of a Peace Agreement;

b. the establishment by AMICA, as stipulated in the Baka Comprehensive

Agreement, of a Joint Commission for the Peace Agreement (JCPA) and Joint Liaison Teams (JLTs) that will monitor the Peace Agreement in Mahbek Province;

c. the support provided by AMICA to the Government of Carana in the

establishment of an Independent Human Rights Commission in Mahbek Province and a National Commission to oversee disarmament of former combatants and restructuration of the Caranese Security Forces in Mahbek;

11. Request the Commission to develop a Strategic Concept for future operations in Carana jointly with the TCCs and other regional countries and the United Nations. In this regard, Council, calls for the conduct of a Technical Assessment Mission(TAM) in Carana and discussion to be undertaken with the Caranese Government to assess the required support from AMICA for the restoration of law and order in Carana;

12. Requests the Commission to submit recommendations to enhance the

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mandate of AMICA and to authorize its strengthening to a level and size that are appropriate for the consolidation of peace and security in Carana and to adopt a resolution that enforces measures to control access to Carana and address illegal drugs, diamonds and human trafficking issues;

13. Requests the Commissioner for Peace and Security to provide regular updates, including a formal report every 90 days to the Peace and Security Council on the progress in the implementation of AMICA’s mandate and the situation of the negotiation of a Peace Agreement between the parties;


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PEACE AND SECURITY COUNCIL 714th Meeting 12 MARCH 2012 ADDIS ABABA, ETHIOPIA

PSC/PR/Comm (DCCXIV)

COMMUNIQUÉ

ANNEX C TO SERIAL 2 TO EXERCISE NJIWA MANUAL

2C-2



The Peace and Security Council of the African Union (AU), at its 714th

meeting held, on 12 March 2012, adopted the following decision on the situation in Carana: Council: 1. Recalls its earlier communiqués on the situation in Carana , in particular communiqué PSC/PR/Comm (DCLX) adopted at its 660th meeting held on 30 August 2011, in which it decided to renew the mandate of AMISOM for an additional period of 6 months;

2. Reaffirms its strong commitment to the sovereignty, independence, territorial integrity and unity of Carana;

3. Welcomes the approval of a Programme on Disarmament, Demobilization and Reintegration (DDR) for Leppko and Mahbek Provinces by the Government of Carana and the United Nations Development Programme (UNDP) and emphasizes that its implementation is imperative for broader stabilization efforts to succeed;

4. Welcomes the approval of the Caranese Security Forces National Reform Plan produced by the Caranese Government in October 2011 and reaffirms the commitment of the African Union to support its implementation;

5. Recalls that security, political reconciliation, and economic reconstruction efforts remain key to the stability of Carana;

6. Notes that the Caranese people must take responsibility for achieving stability, social and economic development and law and order;

7. Stresses the importance of establishing credible, competent and transparent governance, and encouraging the Government of Carana to further strengthen state institutions,

8. Underscores that international illicit trafficking of persons, drugs

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diamonds and arms continues to affect the stability of Carana;

9. Determines that the situation in Carana continues to constitute a threat to international peace and security;

10. Decides to extend the mandate of AMICA, as contained in communique PSC/PR/Comm (DCLX) until 12 September 2012, with the intention to renew for further periods;

11. Expresses its satisfaction with the reconfiguration of the Mission carried out in accordance communique PSC/PR/Comm (DCLX), and decides to maintain the current Mission configuration until the planned substantial increase of the Caranese Security Forces capacity allows for a reassessment of the situation,

12. Mandates AMICA, within its capabilities and areas of deployment, to undertake the following actions;

a. support the voluntary return of internally displaced persons;

b. Support the National program of DDR in Leppko and Mahbek

provinces;

c. Support the implementation of the Caranese Security Forces National

Reform Plan;

13. Requests that AMICA and the Caranese authorities take all necessary steps to achieve optimal coordination between AMICA’s civilian police and the Caranese National Police (Force de police national (FPN));

14. Reaffirms AMICA’s authority to vet and certify new and existing FPN personnel for service, and urges the Government of Carana to ensure that FPN personnel do not serve unless certified and to ensure that technical advice and recommendations provided by AMICA are fully implemented by Caranese authorities at all levels without delay;

15. Urges the Caranese Government to conduct thorough and transparent investigations into cases of human rights violations, particularly those allegedly involving FPN Officers, Gendarmerie Officers and Border Police (Police douanière

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de Carana – PDC); requests that in order to support this effort AMICA set up a Joint Special Investigation Unit as soon as possible;

16. Welcomes the continuing contribution of AMICA to the Government of Carana’s efforts to build institutional capacity at all levels and calls upon AMICA, consistent with its mandate, to expand such support to strengthen self-sustaining state institutions, including through the provision of specialized expertise to key ministries and institutions;

17. Requests the Commissioner for Peace and Security to provide regular updates, including a formal report every 90 days to the Peace and Security Council on the progress in the implementation of AMICA’s mandate and the situation of the implementation of a Peace Agreement between the parties;

18. Reiterates AU’s determination to take all necessary measures against all spoilers, both internal and external, who are engaged in actions aimed at undermining the peace and reconciliation process in Carana, as well as the efforts of AMICA;


PSC/PR/Comm (DCCXL)

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PEACE AND SECURITY COUNCIL 740th Meeting 13 OCTOBER 2012 ADDIS ABABA, ETHIOPIA

PSC/PR/Comm (DCCXL)

COMMUNIQUÉ

ANNEX D TO SERIAL 2 TO EXERCISE NJIWA MANUAL

PSC/PR/Comm (DCCXL)

2D-2



The Peace and Security Council of the African Union (AU), at its 740th

meeting held, on 13 September 2012, adopted the following decision on the situation in Carana: Council: 1. Takes note of the report of the Special Representative of the Chairperson of the African Union Commission on the Situation in Carana on 14 August 2012;

2. Reaffirms its strong commitment to the sovereignty, independence, territorial integrity and unity of Carana;

3. Acknowledges some improvements in recent months in the security situation but notes that the security situation in Carana remains fragile,

4. Condemns all violations of human rights, including lack of due process and prolonged pre-trial detentions, and urges the Government of Carana to take all necessary measures to put an end to impunity and to ensure progress in the respect for the rule of law, including by pursuing reforms in the Caranese Security Forces and in the justice and correctional systems;

5. Reaffirms the importance of appropriate expertise on issues relating to gender in peacekeeping operations and post-conflict peacebuilding in accordance with the Protocol to the African Charter on Human and Peoples Rights on the Rights of Women in Africa (2003) and UN Resolution 1325 (2000) and 1820 (2008), recalling the need to address violence against women and children, and encouraging the African Mission in Carana (AMICA), as well as the Government of Carana to actively address these issues;

6. Underlines that pervasive poverty is an important root cause of unrest in Carana, and stresses that there can be no genuine stability without strengthening its economy, including through a long-term strategy for sustainable development and the strengthening of Caranese institutions,

7. Determines that the situation in Carana continues to constitute a threat to international peace and security, to stability in Kisawa, and to sustainable peace in Carana;

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8. Decides to extend the mandate of AMICA, as contained in communique PSC/PR/Comm (DC LX) until 14 March 2013 with the intention to renew for further periods;

9. Mandates AMICA to conduct an assessment of the Caranese judiciary and correctional systems including to explore possibilities for greater international community support, and a more active role by AMICA, to be submitted to the Peace and Security Council as soon as possible;

10. Requests AMICA to strengthen its capacity to implement Quick Impact Projects (QIP’s), using funds provided by UNDP and other partners; and calls for increased coordination between the various development actors in Carana in order to ensure greater efficiency in development efforts;

11. Urges AMICA to urgently develop and implement a proactive communications and public relations strategy, in order to improve the Caranese population’s understanding of the mandate of AMICA and its role in Carana;

12. Requests that AMICA continue its support of the Caranese National Police (Force de police National (FPN)) as deemed necessary to ensure security in Carana, and encourages AMICA and the Government of Carana to continue to undertake coordinated deterrent actions to decrease the level of crime and violence;

13. Recognizes the need for improving and enhancing the efforts in the implementation of the Caranese Security Forces (FSC) National Reform Plan and requests AMICA, consistent with its mandate, to remain engaged in assisting the Government of Carana to reform and restructure the FPN notably by supporting the monitoring, mentoring, training and vetting of police personnel and strengthening of institutional and operational capacities, while working to recruit sufficient individual police officers to serve as instructors and mentors of the FPN, consistent with its overall strategy to progressively transfer geographic and functional responsibility for conventional law and order duties to its Caranese counterparts in accordance with the FSC Reform Plan;

14. Requests the Commissioner for Peace and Security to provide regular updates, including a formal report every 90 days to the Peace and Security Council on the progress in the implementation of AMICA’s mandate and the situation of the implementation of the Peace Agreement between the parties;

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15. Reiterates AU’s determination to take all necessary measures against all spoilers, both internal and external, who are engaged in actions aimed at undermining the peace and reconciliation process in Carana, as well as the efforts of AMICA;

16. Decides to renew the mandate of AMICA for a further period of 6 months with effect from 13 September 2012;


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AMICA Mission Implementation Plan

AFRICAN UNION PEACE & SECURITY DEPARTMENT Addis Ababa

31 August 2011


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References

• 2007 Five Year Caranese Women Empowerment Plan, Report of the Working Group on Women’s Agency and Empowerment

• Communiqué of the 625th meeting of the Peace and Security Council, 20 Oct 2010, PSC/PR/Comm (DCXXV)

• Communiqué of the 646th meeting of the Peace and Security Council, 01 May 2011, PSC/PR/Comm (DCXLVI)

• Communiqué of the 660th meeting of the Peace and Security Council, 30 August 2011, PSC/PR/Comm (DCLX)

• Baka Comprehensive Agreement • Baka II Comprehensive Agreement • United Nations Development Assistance Framework for Carana (UNDAF) 2011-2015. • OCHA Humanitarian Bulletin for Carana, March 2011 • Report of the African Union, Technical Assessment Mission (TAM) for the Consolidation

and Expansion of AMICA Operation in Carana, 15-22 July 2011 • Directives on Use of Force and Firearms by AMICA Police • The Policy Framework of the African Standby Force

1. SITUATION/AUTHORITY FOR ACTION

a. Situation. The African Union Mission in Carana (AMICA) originally intervened in the country under ASF Scenario 6 to halt the genocide that was rapidly spreading across Mahbek Province. AMICA’s presence and work in Mahbek eventually led the province into a state of stability which will still be monitored by AMICA to ensure that it is sustained. As the Mission had focused its attention on Mahbek province, a new crisis began to unfold in nearby Leppko Province. The crisis begun when a group known as the Combattants indépendants du sud Carana (CISC) committed large scale violence in the Province leading to direct confrontation with the military, resulting in the loss of lives and injuries, the displacement of the local population to IDP camps, breakdown of public law and order, wide spread organized crime, gross human rights violations, illegal exploitation and trade of resources, instability of border areas and failure of rule of law institutions. As the violence in Leppko had worsened, the African Union, as well as Carana’s neighbors on the Island of Kisiwa, began applying pressure on the Government of Carana as well as the CISC to seek a swift solution to the unfolding crisis. Majority of the Tatsi supported the CISC, as they believed that it was the only way to get the attention of the Government and indeed the rest of Carana. Many Tatsi in Leppko were caught up in the violence, with many civilian lives lost. Mass Tatsi protests had been organized by the Tatsi political leadership, but these were brutally stamped out by the government. A number of Tatsi demonstrators were killed by the Caranese Police and many more were injured. The ruthlessness and resulting fatalities

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further fuelled the anger of the Tatsi and served as a rallying call for the CISC. It also led to mass demonstrations in Lepppko Province that degenerated into riots that left scores dead and many injured. The limited capacity of the police was evident as they failed to stop the tide of violence. The African Union was of the view that there was need to move the peace process forward by accommodating the Tatsi and the CISC in the political process as this would go a long way towards halting violence in Leppko Province and ensuring lasting peace. Given the evolving situation in Leppko Province in relation to the humanitarian crisis and the request of the Caranese Government, the AU felt the need to intervene in Leppko Province to save lives and help the parties negotiate a peace agreement. The Peace and Security Council gave the mandate to AMICA to intervene in Leppko in the communiqué PSC/PR/Comm (DCXLVI) of 1 May 2011. The BAKA II Comprehensive Agreement was signed by the Government of Carana, the Kori-based Parti de la Convention Caranaise (PCC) and the Vrai Mouvement Patriotique de Carana (VMPC), and the CISC. In exchange for political recognition, and substantive financial support to Leppko Province, the CISC agreed to a ceasefire. Despite the 2 Comprehensive Agreements, law and order is not yet under the control of local authorities in Leppko and Mahbek Provinces and the Caranese Government, in its letter to the Peace and Security, Council requested for the extension of AMICA’s mandate. The Technical Assessment Mission of July 2011 reported that;

• Caranese’s borders are porous and illegal trafficking of diamonds, drugs, humans and weapons are ongoing in Leppko and Mahbek Provinces. The Caranese border police is suspected of involvement in this illegal commerce and does not have the required personnel, equipment, facilities and training to improve the situation.

• Criminal gangs and dissident groups are still present mainly in Leppko and Mahbek Provinces and the Caranese National Police (FPN) is not able to institute law and order in many localities. Part of the problem is the unclear shared of responsibilities between the FPN and the Gendarmerie particularly in rural areas, the endemic corruption and political affiliation within the 4 components of the Caranese Security Forces (Police, Border’s Police, Gendarmerie and National Intelligence Services) and the lack of capacities (personnel, equipment, means of communication and vehicles).

• The justice, legislative and correctional systems also required a national reform as the personnel is also corrupt, not accountable to the Caranese population and mostly in favor of the Falins.

• Abuses of human rights from Caranese authorities are frequent and it is more than often due to a lack of knowledge, a lack of capacity in the application of the law or ambiguities between Caranese laws and the traditional legal systems.

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• The poor economic situation in Carana is fuelling the corruption and the inter-ethnic conflicts. Past governmental economic reforms did not produce the expected results.

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• The international community’s intent is to boost the Caranese economy, support livelihood programs and assist the Caranese Government in improving the management of natural resource exploitation.

b. Authority. At its 660th meeting on 30 August 2011, the AU PSC agreed to extent the tasks and responsibilities of AMICA in Carana designating Carana as the Area of Responsibility and Kisiwa as the Area of Interest in order to support the Government of Carana to restore law and order in Leppko and Mahbek Provinces and build the capacity of the Caranese Security Forces in these two Provinces. The decision of the AU PSC was an answer to the letter from the President of Carana dated 3 April 2011, requesting an extension of the African Union Mission in Carana. Also Baka Comprehensive Agreements I and II give the authority and responsibilities to AMICA to monitor the Peace Agreement through the Joint Commission for the Peace Agreement (JCPA) chaired by the AU and the Joint Liaison Teams (JLTs). 2. STRATEGIC APPROACH

a. Integrated approach.

The new mandate of AMICA provided by the Communiqué PSC/PR/Comm (DCLX) of 30 August 2011, require that AMICA coordinate its effort with countries of Kisiwa, the international community, the community of donors and the UN agencies. It will necessitate a reorganization of AMICA in terms of command and control of the mission passing to an integrated mission lead by a Special Representative of the Chairperson of the African Union Commission (SRCC).Furthermore, AMICA will assume responsibility for the Mission Implementation Plan supporting the Caranese Government’s objectives and should develop the linkages and knowledge bases that enable them to draw on the appropriate resources wherever located. Also, this mandate requires a strong capability in terms of police officers and Formed Police Units (FPUs) and specific civilian capacities related to human rights, protection of civilians, rule of law, gender, child protection, humanitarian assistance, judicial and correctional systems. Specific expertise from all components of the mission are necessary to achieve its new mandate, and close planning and coordination would be necessary on a daily basis. Mechanisms for the coordination of these activities will be implemented as a Mission Planning and Evaluation Cell (MPEC), a Mission Analysis Cell (MAC), a Mission Operation Cell (MOC) and Standard Operating Procedures (SOP’s). The mission leadership will ensure that all components work in an integrated manner towards the achievement of a single mission mandate. The Senior Mission Management Team (SMT) will ensure that different elements (political, humanitarian, developmental,

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security) focus on a common strategic objective, with shared understanding of the priorities and interventions to be undertaken at each stage of the process in order to reach a common

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approach which will involve detailed coordination and cooperation with numerous external actors who are outside the AU’s own planning process.

Integrated Approach. Duplication of effort would seriously hamper the prospect of success of the African Union’s mission as a whole; an integrated mission is therefore required. The following principles shall govern the integrated approach of the AU Mission in Carana:

(1) One shared objective: All AU offices and departments within the context of the integrated AU Mission shall help develop, and then subscribe to, one shared objective, the stabilization of the Republic of Carana.

(2) Responsibility to consult: All actors within the context of the integrated Mission shall consult other stakeholders prior to making a decision or undertaking action which may impact on another agency or component’s work.

(3) Responsibility to collaborate: All actors within the context of the integrated Mission shall, wherever possible, work together collaboratively within common geographic areas, sectors of activity, or areas of focus.

(4) Responsibility to maximize shared resources: All actors within the context of the integrated Mission shall make every effort to use common support services and develop common systems to maximize the efficiency and effectiveness of AU resources.

b. Overarching view.

AMICA will concentrate its efforts in Leppko and Mahbek Provinces and will support the national effort of the Caranese Government. Security will be approached in the context of the reforms and of strengthening all the institutions that are involved in the conception and execution of public security policy. AMICA cannot on its own achieve the restoration of law and order in Carana and its success will be dependent on the progress of the Caranese government National reform plans (Security Forces, legislation, judicial and correction systems) and the support of the international community would be required in term of expertise and funds. TAMICA can be hampered by facing some constraints such as the influence of Katasi, which is harboring and supporting criminal elements that have an impact on Carana, and the reform of provincial institutions which will be a long term process. Similarly, the repatriation of abducted children (child soldiers /females) to their home countries and the reintegration of the victims of violence (IDPs) to their points of origin, addressing and understanding Tatsi feelings of marginalization, NGO’s and donors involved in the long-term delay in resources in terms of personnel, funds and any relapse of the signatories to the BAKA II Agreement could pose serious challenges

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3. KEY MISSION OBJECTIVES

a. Mission.

AMICA will support the restoration of law and order and restoration of Caranese sovereignty in Mahbek and Leppko Provinces in order to stop the violence in the Provinces and guarantee that human rights are respected, rule of law is strengthened and civilians are protected and IDPS are returned to their point of origin.

The intent of the SRCC’s is to improve the capacities of the Caranese’s government and restore its credibility through the Caranese population. The SRCC mission concept has identified the SRCC’s priorities for the application of AMICA resources as;

1. To maintain security in Leppko and Mahbek Provinces conducive to socio-economic development and respect for human rights.

2. To facilitate national dialogue and reconciliation in support to Baka I and II Comprehensive Agreements.

3. To increase institutional capacity for resource planning and management of the Caranese Security Forces.

4. To improve Caranese government’s capacities in term of protection of human rights and accountability and transparency of state institutions through judicial and civil society oversight.

5. To support economic development and creation of livelihood opportunities.

DRSCC and the civilian component will focus its efforts on supporting the Caranese government to reform the legislative, judicial and correction systems and to monitor the respect of human rights and the application of the Baka I and II Comprehensive Agreements. The Force Commander (FC) and the military component will focus its efforts on providing a secure and stable environment that permits the Government of Carana and other components of AMICA to develop socio-economic recovery in Carana. Police Commissioner (PC) and the police component, including the FPU’s, will focus their efforts on building the capacities of the Security Forces. The police and military components will provide forces to establish presence and deterrence in support of the Caranese military and security forces in the high risk areas of Leppko and Mahbek Provinces and at the borders with Rimosa.

The SRCC issued the AMICA Concept of Support Operations as a three stage plan with key strategic objectives and estimated timeline as follow:

1. Phase 1 (2011-2013) will focus on restructuration of Mahbek and Leppko Security Forces components, restoration of Caranese sovereignty and reform plan of the judicial, legislative and correction systems.

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2. Phase 2 (2013-2015) will focus on transferring the responsibilities of AMICA to Caranese institution and to support and gain the trust of the Caranese population toward their government.

3. Phase 3 (2015-2016) will focus on mentoring and monitoring the Caranese’s Government

b. Objectives.

As expressed in the communiqué PSC/PR/Comm (DCLX) 0f 30 August 2011, AMICA objectives in Carana are:

(1) To provide support to the Government of Carana for the furtherance of dialogue and reconciliation in the Baka I and Baka II Comprehensive Agreements.

(2) To establish, in conjunction with the Government of Carana, a safe and secure environment in Leppko and Mahbek Provinces:

(3) To support the investigation of violations of human rights thatare alleged to have taken place in the Leppko and Mahbek Provinces of Carana.

(4) To exercise the right to protect civilians under threat of physical danger or eminent danger.

(5) To exercise its right of self-defence, including the right to protect its personnel, installations and equipment.

(6) To provide support for Humanitarian and Human Rights Assistance:

(a) to facilitate the provision of humanitarian assistance, including by helping to

establish the necessary security conditions;

(b) to monitor the human rights situation, to contribute towards international efforts to protect and promote human rights in Carana, with particular attention to vulnerable groups including returning internally displaced persons, abductees, women and children as well as provide human rights technical assistance as needed in close cooperation with United Nations agencies, related organizations, government organizations and non-governmental organizations;

(c) to ensure an adequate human rights presence, capacity and expertise within AMICA to carry out human rights promotion, protection, and monitoring activities;

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(7) Support for Implementation of the Peace Process:

(a) to assist the Government in conjunction with other international partners, in the re-establishment of national authority throughout the country;

(b) to assist the Government in restoring proper administration of natural resources;

(c) to assist the Government in conjunction with other international partners in developing a strategy to consolidate governmental institutions, including a national legal framework and judicial and correctional institutions;

(d) to assist the Caranese Government in establishing a National Commission for disarmament and restructuring of Caranese Security Forces in Leppko; and,

(e) to extend the authority of the Joint Commission for the Peace Agreement (JCPA) to Leppko Province.

(8) To establish in conjunction with the Government of Carana, a Reform and Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie), in particular:

(a) Provision of assistance to the Caranese Police Force in public order

management and crowd control;

(b) Provision of support to the Caranese Gendarmerie in the control of fraud, organized crime and corruption;

(c) Monitoring, mentoring and advising the police of Carana, with priority to the areas of greatest civil instability, consistent with democratic policing and international standards, including mechanisms to build integrity and address corruption;

(d) Development of a civilian police training programme, Gendarmerie training program and a Police Border training program in cooperation with interested organizations and interested States;

(9) To support the voluntary return of internally displaced persons.

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c. CRITERIA FOR SUCCESS

The criteria for the success of AMICA operations include the following:

(1) Full implementation of the BAKA and BAKA II Peace Agreements.

(2) Stability in Leppko and Mahbek Provinces.

(3) Respect of the Caranese sovereignty by neighbouring countries.

(4) Caranese ownership of the Reform and Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie).

(5) Voluntary return of displaced persons conducted without interferences.

(6) Improvement of human rights and monitoring by the Caranese Authorities.

d. End State.

AMICA transfers security operations in Leppko and Mahbek Provinces to a capable and credible Caranese Security Force and Caranese rules of law institutions respect human rights and are accountable to the Caranese population.

4. MISSION STRUCTURE AMICA will be deployed on a geographic basis, with an integrated command structure at the operational and tactical level. AMICA’s deployment will be in line with the existing provincial/administrative boundaries in Mahbek & Leppko Provinces of the Republic of Carana. The Mission HQ will be located in Corma (Leppko Province) with a Liaison Office within the Caranese’s Government Office in Galasi. AMICA will have 4 Regional sectors of Operation; one in Mahbek province (in Faron) and 3 in Leppko Province (Corma, Eres and Lora).

(1) AMICA Civilian Componentwill consist of 92 staff members under the command of the

DRCC. The role of the civilian component will be to assist the Government of Carana to strengthen the rule of law with respect to human rights, protection of civilians and humanitarian issues.

(2) AMICA Military Component led by the Force Commander will consist of 3000 military

personnel including 200 military observers (members of the Joint Commission for the

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(3) Peace Agreement (JPAC)) and 160 staff officers and supported by maritime coastal and air components.

(4) AMICA Police Component. The police component of AMICA will deploy 750 personnel working with a non-executive mandate consisting of individual police officers and four Formed Police Units each of company strength 140 under command and control of Police Commissioner. The role of AMICA’s Police component is to support the local police to stabilize the situation to ensure the safety and security of the civilians in the Province, continue to build the capacity of the Carana police through training, monitoring, mentoring and advising, and to extend this scope to all areas of criminality.

(5) The Galasi Liaison Office will be under the responsibility of a political advisor and will

support the Caranese Government to develop national reform plan for the Security Forces, the legislative, judicial and correction systems.

(6) Annex A gives the detailed components of each mission component, Mission HQ and

Regional HQs.

5. MANAGEMENT/ COMMAND

a. The SRCC is Head of the Mission (HOM) and, as such, is responsible to the Chairperson, through the Commissioner for Peace and Security, for the implementation of the AMICA mandate. The SRCC has been given the authority over all AU mission components of AMICA.

b. AMICA SRCC will likely be appointed in a month. From the interim period, the Force Commander would exercise AU operational control over the deploying AU troops that are already deployed in Carana and the ones that are deploying until the arrival of the SRCC and the transfer of responsibilities.

c. The Head of the Civilian component is the DSRCC. He is responsible to the SRCC regarding AMICA’s activities related to Human Rights, Protection of Civilian, Gender, Public Information, Humanitarian Assistance, Rules of Law and Political Affairs. He is also responsible to liaison with the UN Country Team and the UN Humanitarian Team.

d. The Mission Support Component is headed by the Head of Mission Support (HMS). The HMS is the principal advisor to the SRCC on AU regulations, rules, application of policy instruments and procedures, and assists the SRCC in ensuring that the Mission is managed within the framework established by the legislative bodies of the AU. Only the HMS has the authority to commit AU financial resources for any purposes. In particular, only the HMS can make contractual arrangements for the use of local resources, on behalf of the AU.

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e. The Head of the military component (MC) of AMICA is the Force Commander. He is responsible to the SRCC for the implementation of the tasks assigned to the military component. The Force Commander has full authority within the authorized strength for the assignment of military personnel at the mission’s headquarters and in the field. The Force Commander (FC) exercises AU Operational Control (OPCON) over all members of the MC and can delegate Tactical Control (TACON) to Units as required.

f. The FC has overall responsibility for the security and safety of all personnel in the

mission. He is also responsible for ensuring the security and safety of all equipment in AMICA. The FC must issue necessary instructions, for the proper maintenance and protection of equipment placed at the disposal of AMICA. He should also ensure that all personnel comply with the safety instruction issued by him.

g. All mission ‘enabling units’ (Medical, Aviation, Logistics, Engineers and Transportation)

are placed under the ‘Tasking Authority’ of the HMS. The FC will retain Operational Control (OPCON) of these Units. Similarly, individual military staff within the Integrated Service Support (ISS) will be tasked by the HMS but will remain under OPCON of the FC.

h. The Civilian Police Commissioner has primary responsibility for the organization and efficient functioning of the civilian police component of the mission. He / she has full authority within the authorized strength for the assignment of civilian police personnel at the mission’s headquarters and in the field, with the exception of his / her deputy and a few other senior officers, who are designated by AUHQ, in consultation with the SRCC and the Civilian Police Commissioner, as appropriate.

i. The Regional HQs are under the leadership of a political advisor who will act as

Regional Coordinator and will represent the SRCC.

j. The Integrated Support Services (ISS) Concept is based upon centralized management

of ‘resource-to-task’ to the correctly prioritized, cost-effective support of all of the mission’s components. The integration of command, control and accountability for the provision of second, third and fourth line support is an essential element of this concept. A joint civilian-military management structure reviews and prioritizes all requests for logistics support in accordance with the Mission’s aims and objectives, and allocates the most suitable civilian, commercial or military support resource to meet the requirements in the most effective and economic manner.

k. In coordination with Mission Logistics Operations Centre (MLOC), G4 is responsible for

coordinating and providing adequate resources. Civilian, military and police logistics experts will jointly staff the MLOC. It will communicate implementing instructions

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l. regarding support matters to all mission ‘out-stations’ and issue tasking instructions to civilian support sections, contractors, and military ‘enabling units’.

m. Close Support will be provided by the MLOC through the regional desk office. AMICA

will provide fuel, rations, and water replenishment in accordance with MOU and Tasking Order guidance. The Troop Contributing Countries will resupply ammunition. Operational ammunition will be reimbursed via claim and training ammunition for personal and crew served weapons will be reimbursed under personnel costs.

6. COORDINATION MECHANISMS a. With the Caranese Government. In order to ensure a successful implementation of the

BAKA II Agreement the mission will continue to work with all stakeholders within the framework of a Joint coordination mechanism which will be established.

b. With external agencies. The DSRCC should consult and coordinate regularly with the

United Nations Resident and/or Humanitarian Coordinator as well as the country team (UNCT), drawing on their expertise, articulating strategy and exchanging information, particularly as they may relate to peace-building initiatives.

c. Within the mission. A senior Mission management team will be established comprising

all the heads of components and the Head of Mission Support which will ensure overall coordination. Integrated meeting to be held on a weekly basis if the situation permits at the Mission HQ and sectors HQ. All sectors of operation are to form common joint operations rooms, to implement a common operational planning process, and to emphasize joint briefings with military, police and civilian components.

List of Annexes

Annex A – AMICA Org Charts

Annex B –SRCC Vision

Annex C – Directives to SRCC

Annex D – Civilian component Concept of operations

Annex E – Military Concept of Operations.

Annex F – Directives to Force Commander

Annex G – Police Concept of Operation

Annex H – Directives to Police Commissioner

3A-1

AMICA Organization charts

AFRICAN UNION PEACE & SECURITY DEPARTMENT

Addis Ababa

12 August 2011


3A-2

3A-3

Liaison Office - Galasi

• Civilian – 1 x Political Advisor (Chief of the Liaison Office) – 2 x Rule of Law Advisor – 1 x Human Rights Advisor – 1 x Gender Advisor – 1 x Humanitarian Advisor – 1 x Protection of Civilians Advisor

• Police

– 1 x liaison Officer from the D/Commissioner Ops and Monitoring Office

– 1 x liaison Officer from the D/Commissioner Development Office – Training unit of 10 polices

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O/SRCC

DSRCC

FC HQ(0/0/146)

FHQ Guard Coy(0/0/120)

Log Multi role unit

(0/0/50)

Joint Commission for

the Peace Agreement Unit

(0/0/20)

PC HQ(0/0/5)

D/Commissioner Ops and

Mentoring(0/0/23)

COS Office(0/0/12)

D/Commissioner Development

(0/0/26)

DSRCC Office (3/0/0)

Human right (5/0/0)

Political affairs (5/0/0)

Public Information

(4/0/0)

Humanitarian affairs(6/0/0)

Gender unit(7/0/0) Rules of Law

(8/0/0)

Mission support (ISS)(0/0/3)

Logistic and admin

(13/3/2)

Personnel (9/3/2)

Rotary Wing Unit(0/0/56) Maritime

Coastal Unit(0/0/186)

Level II Hospital(0/0/57)

Military Engineer Unit HQ (0/0/30)

Planning and coordination

(4/0/0)

Mission planning and evaluation

cell(4 /4/3)

Mission operation center (4 /4/4)

Mission Analysis Cell (4/4/6)

MISSION HQ

(civilian/military/police)

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Political Officer /Regional

coordinator

Regional coordinator Office

Military component

HQ

Inf Bns Military Police sub-unit

Joint Liaison Team Recce Platoon

Log Multi Role sub-unit Signal Sub unit

Police component (HQ)

FPU (0/0/120)

Training Unit

Monitoring and mentoring cell

Regional Coordinator Office

Human right Political affairs

Public Information Humanitarian

affairs

Gender unitRules of Law

Mission supportRegional office

Logistic and admin Personnel

Engineer Sub-unit

Mission operation center

Mission Analysis Cell

Areas HQ* Corma HQ does not have military component just Joint Liaison team and Faron HQ does not have Police training team

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3A-7

ORGANIZATION OF THE MILITARY COMPONENT OF AMICA

J1-J9COS

FHQ[Force Commander]

Military Police Unit

3 x Inf Bns

FHQ Guard Coy

Rotary WingUnit Signal Unit

Recce Coy

Engineer Unit

Log Multi-role unit

DFC/CMO (Chief military Observer)

Level II Hospital

Joint Commission for the Peace Agreement (JPAC)

MILOB Group

Maritime Coastal Unit

(200)

(157)

3 x (600)

(120)(180)

(120)

(138)(56) (186)

(143)

(57)(200)

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PCPolice

commisioner

D/CommissionerOps and Monitoring

(3)

RegionalCoordinator and

monitoring(3)

Regional Team

4 x ( 30 )

Mentoringcoordination

(4)

Monitoring coordinati

on (4)

Director of Operations

(4)

JMAC (6) Joc (4)

FPUs4 x (120)

Crowdcontrol

(4)

SpecialOps (4)

Operationcenter (6)

Central Coordination

and monitoring(10)

Monitoring and Analysis

Cell (5)

D/ CommissionerDevelopment

(3)

Director of training

(8)

Police training unit (42)

Director of developmentand capacitybuilding (8)

Director of administration

and generalservices (8)

Chief of Staff (COS(3) )

Director of logistic

(8)

Directorof Admin

(8)

Specialassistant

(1)

Legal Assistant(1)

Press and Spokesperson

(1)

Human Rights (1)

Police component

3B-1

AMICA SRCC Vision


12 August 2011


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Overview

1. The major emphasis of the Mission for the coming years will be to support the Caranese government in reforming its rules of law components (Security Forces, legal system, correction system and legislative system) in order to respect the human rights and National and International treaties and gain the trust of the Caranese population in order to restore stability in the country and attract international investments. To this end, the various components of AMICA will be expected to assess the situation, identify the gaps and propose a plan of action to facilitate the National Reform Plan in Carana. The military component (MC) will have to provide security at the borders and in the areas where security is threatened by criminal activities until the Caranese Security Forces has been restructured. Its efforts will be coordinated with the Caranese military forces. The MC will also have to provide protection to all AMICA components and facilities in coordination with the Formed Police Units (FPUs). The police component will have to focus its efforts to train, mentor and monitor 3 components of the Security Forces (National Police, Border Police and Gendarmerie). The civilian components are expected to mentor the Caranese Government in the development of its National Plans, to support AMICA activities in enabling its efforts and to coordinate plans with the UN presence in Carana (UN Country team (UNCT) and Humanitarian Country Team (HCT).

Major Objectives - 2011 to 2016

2. The main focus of the SRCC is to improve the capacities of the Caranese government and restore its credibility. AMICA will ensure that all instruments of the rule of law are in place and functioning. Particular attention will be given to the reform of the Caranese Security Forces and the rehabilitation of the national prisons system. The Mission will continue to advance the promotion and protection of human rights through various medium of sensitization and interventions within all component of the Caranese society and will ensure dialogue and peace building between signatories of the Baka I and II Peace Agreement.

3. The main objectives for AMICA for the 5 coming years are :

a. To maintain security in Leppko and Mahbek Provinces conducive to socio-economic development and respect for human rights;

b. To facilitate national dialogue and reconciliation in support of Baka I and II Comprehensive Agreements;

c. To increase institutional capacity for resource planning and management of the Caranese’s Security Forces concentering its effort on the reform of the National Police, the border police and the gendarmerie;

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d. To improve Caranese’s government capacities in term of protection of human rights and accountability and transparency of state institutions through judicial and civil society oversight; and,

e. To support economic development and creation of livelihood opportunities.

Challenges and risks

4. The realization of the objectives enumerated above will be conditional on the challenges and risks to be anticipated and the collective response of the various stakeholders, including AMICA, to overcome them. The situation in Kisiwa, in particular the security situation in Rimosa, is likely to affect the security situation in Carana. The success of AMICA is highly dependent on the support of the international community and the continuity of their commitment. The leaderships of AMICA and of its components will have to gain support of external actors and maintain their interest throughout the coming years. Professionalism and promotion of AMICA achievement will be crucial to this end.

CARANA’S ACTION PLAN FOR 2011-2016 Strategic planning

5. At the start of the implementation of its new mandate, AMICA will have to get a clear understanding of the situation in Carana, the capacity of the Caranese government to restore its Rules of Law components and the . To this end, Carana will carry out the following:

• Support the Caranese government to produce reform plan for its Security Forces, its legal system, its correction system and its legislative bodies;

• Establish dialogue with the international community to get commitment to Caranese government plans;

• Provide security and stability to allow the restructuring program to be carried out by the different governmental agencies and external actors;

• Ensure that the civilian, and the military components operate in tandem with a clear understanding of the Mission goals;

• Articulate strategic and option papers essential for understandings of the Mission;

• Continue to keep AU Headquarters regularly informed through the submission of daily and weekly reports, as well as, through code cables on the multi-disciplinary activities of the Mission;

• Prepare sensitization and information materials including posters, fliers, leaflets and information cards to gain the trust of the Caranese population and the international community; and,

3B-4

• Organize radio programs, jingles, dramas and other related medium aimed at sensitizing Caranese government employees as well as the general public about human rights.

Political Direction and Considerations

6. In the political sphere, AMICA should continue to engage the former parties to the conflict and other stakeholders with the view to creating an enabling political climate aimed at encouraging good governance and the participation of all citizens in the determination of their collective future.

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DIRECTIVE FOR

THE SPECIAL REPRESENTATIVE OF THE CHAIRPERSON OF THE AFRICAN UNION

(SRCC)

OF

THE AFRICAN UNION MISSION IN CARANA

(AMICA)

AFRICAN UNION PEACE & SECURITY

DEPARTMENT Addis Ababa

3 September 2011

ANNEX C TO SERIAL 3 TO EXERCISE NJIWA MANUAL

3C-3

CONTENTS

SUBJECT PAGE

Introduction 3C-3

Authority 3C-3

AU Command and Control 3C-4

Mandate 3C-5

Organizational matters 3C-7

Relations with the parties to the conflict 3C-10

Relations with interested member states and donor organizations 3C-10

Relations with the United Nations agencies and funds 3C-10

Relations with media 3C-11

Organizational matters and reporting responsibilities 3C-11

Conduct of mission personnel 3C-12

3C-3

I. INTRODUCTION

1. This document constitutes the directive to the Special Representative of the

Chairperson of the African Union Commission (SRCC) for the African Union Mission in Carana (AMICA).

2. The present directive should not be regarded as exhaustive and shall be

applied in conjunction with African Union Headquarters (AUHQ) policy and procedural documents for the conduct of field missions and other supplementary direction issued by AUHQ or the Special Representative of the Chairperson of the Commission (SRCC).

I. AUTHORITY

3. The African Union Peace and Security Council (PSC), by its communiqué

PSC/PR/Comm (DCLX) of 30 August 2011 decided to establish the African Union Mission in Carana (AMICA) consisting of a military component of 3000 military personnel including up to 200 military observers (members of the Joint Commission for the Peace Agreement (JPAC)) and 160 staff officers and supported by maritime coastal and air components, additional troops, 750 police officers including individual police officers and four Formed Police Units (FPUs), and civilians comprising of humanitarian assistance, Human Rights team, Legal Affairs Team, Protection Advisor Officer, Rules of Law Officer, Public Information Team, Gender team and a political team, as well as a mission support elements, for an initial period of six months with effect from 30 August 2011 as outlined in Peace and Security mandate for AMICA outlined in paragraph 9 below.

4. Mission Area or Responsibility (AOR). Your Mission Area of Responsibility is

the Sovereign Territory of Carana. You are to clear any deployment outside your Mission Area of Operations, including those necessary to sustain lines of communication (LOCs), with AUHQ.

5. Mission Area of Interest. Your Mission Area of Interest extends to the Island

of Kisiwa. This reflects the political reality and realization that both the causes of and solutions to Carana’s problems cannot be confined to Carana exclusively and have a sub-regional dimension. Taking a sub-regional approach, particularly the need for close coordination with surrounding countries as Rimosa and Katasi is essential and fundamental to success.

6. The Chairperson appoints, with the concurrence of the Peace and Security

Council, his Special Representative. The SRCC is Head of the Mission (HOM) and, as such, is responsible to the Chairperson, through the Commissioner for Peace and Security, for the implementation of the AMICA mandate. In the

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7. African Union doctrine for peace support operations, it was emphasized that an integrated approach is particularly important in the field, where lack of cohesion or differences among the various components and other stakeholders can be exploited by the parties. Accordingly, the SRCC has been given the authority over all AU mission components of AMICA. This authority will be exercised taking into account the mandated responsibilities of the components. Furthermore, the SRCC should create mechanisms that will allow AMICA to benefit from capacities and other initiatives already existing in the mission area that will impact on the attainment of AMICA’s mandate.

II. AU COMMAND AND CONTROL

8. In AU Peacekeeping Operations (PKOs) it is useful to distinguish three levels

of command: (1) overall political direction, the purview of the Peace and Security Council; (2) executive direction and control, provided by the Chairperson; and (3) command in the field, residing in the Head of the Mission, i.e., the SRCC.

9. In general, AU command is not full command and is closer in meaning to the

generally recognized military concept of "operational command". It involves the full authority to issue operational directives within the limits of (1) a specific mandate of the Peace and Security Council; (2) an agreed period of time, with the stipulation that an earlier withdrawal of a contingent would require the contributing RECs/RMs and member state to provide adequate prior notification; and (3) a specific geographic area (the mission area as a whole). An additional limitation is that the organization does not discipline or promote individual members of military contingents, functions which remain the purview of their national authorities.

10. Military personnel contributed by Member States to AU PKOs remain members

of their national armed forces, first and foremost and also member of their regional standby force. However, the operational authority over such forces and personnel is transferred to the AU, vested in the Chairperson, under the authority of the Peace and Security Council. AU operational authority entails the exclusive authority to issue operational directives within the limits mentioned in paragraph 6 above. From time to time, special arrangements may be made for specific units to suit particular requirements. Operational authority includes the authority to assign separate tasks to sub units of a contingent and general responsibility for logistics support.

11. The SRCC, as Head of Mission, exercises operational authority in the field on

behalf of the Chairperson. He determines further delegation of authority in consultation with AUHQ. The Head of the Military Component of AMICA is the Force Commander. He is responsible to the SRCC for the implementation of the tasks assigned to the military component.

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III. MANDATE

12. AMICA’s mandate from the Peace and Security Council is described hereunder:

a. That the AUPSC in its Communiqué [PSC/PR/Comm (CLX)] of 30 August

2011 authorized the deployment of an integrated peace support mission in Carana, which shall be named The African Union Mission in Carana (AMICA), for a period of 6 months, without prejudice to its subsequent extension by six month increments at Council’s discretion, starting from the date of this decision, with the following mandate:

(1) To provide support to the Government of Carana for the furtherance of

dialogue and reconciliation in the Baka I and Baka II Comprehensive Agreements.

(2) Establish, in conjunction with the Government of Carana, a safe and

secure environment in Leppko and Mahbek Provinces.

(3) To support the investigation of violations of human rights that are

alleged to have taken place in the Leppko and Mahbek Provinces of Carana.

(4) To exercise the right to protect civilians under threat of physical

danger.

(5) To exercise its right of self-defence, including the right to protect its

personnel, installations and equipment.

(6) Support for Humanitarian and Human Rights Assistance:

a) to facilitate the provision of humanitarian assistance, including by helping to establish the necessary security conditions;

b) to monitor the human rights situation, to contribute towards

international efforts to protect and promote human rights in Carana, with particular attention to vulnerable groups including returning internally displaced persons, abductees, women and children as well as provide human rights technical assistance as needed in close cooperation with United Nations agencies, related organizations, government organizations and non-governmental organizations;

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c) to ensure an adequate human rights presence, capacity and expertise within AMICA to carry out human rights promotion, protection, and monitoring activities;

(7) Support for Implementation of the Peace Process:

a) to assist the Government in conjunction with other international

partners, in the re-establishment of national authority throughout the country;

b) to assist the government in restoring proper administration of

natural resources;

c) to assist the Government in conjunction with other international

partners in developing a strategy to consolidate governmental institutions, including a national legal framework and judicial and correctional institutions;

d) to assist the Caranese Government in establishing a National

Commission for disarmament and restructuration of Caranese Security Forces in Leppko; and

e) Extent the authority of the Joint Commission for the Peace

Agreement (JCPA) to Leppko Province.

(8) To establish in conjunction with the Government of Carana, a Reform

and Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie), in particular:

a) Provision of assistance to the Caranese Police Force in public

order management and crowd control;

b) Provision of support to the Caranese Gendarmerie in the control

of fraud, organized crime and corruption;

c) Monitoring, mentoring and advising the police of Carana, with

priority to the areas of greatest civil instability, consistent with democratic policing and international standards, including mechanisms to build integrity and address corruption;

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d) Development of a civilian police training programme, Gendarmerie training program and a Police Border training program in cooperation with interested organizations and interested States;

13. The Peace and Security Council also called on the parties to:

a. Fulfill all their obligations under international law and the Baka I and II Peace Agreements; and

b. Take whatever action that may be necessary to ensure AMICA's access, safety and freedom of movement, and to provide the assistance, support and protection required for the performance of its mandate in all areas of its operation deemed necessary by the Chairperson.

IV. ORGANIZATIONAL MATTERS

MISSION STRUCTURE

14. Under the overall authority of the SRCC, AMICA comprises political, military, police, legal, public information, human rights, Rules of Law, Protection of civilians, Gender, humanitarian affairs and administrative components, and includes a mechanism for the coordination of its activities within the mission and those of the humanitarian community. As Head of the Mission, the SRCC is responsible for ensuring necessary co-ordination and for maintaining an integrated approach towards accomplishing AMICA's mandate.

MILITARY COMPONENT

15. AUPSC Communiqué [PSC/PR/Comm (CLX)] of 30 August 2011 has authorized the deployment of a military component of one Brigade (Bde) with 3000 troops constituted as follows:

a. Bde Headquarter (HQ) Staff.

b. HQ Support Company.

c. Signal Units.

d. Infantry Battalions.

e. Reconnaissance Units.

f. Engineer Units.

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g. Military Police Unit.

h. Logistics Multi-role unit.

i. Level II Hospital.

j. Rotary wing aviation unit.

k. Military Observers members of the JPAC.

l. Maritime coastal unit.

16. The FC, at the rank of Major-General, is the head the military component. He

will assist the SRCC by advising him on all military and security matters related to the Mission.

17. The Force Commander has full authority within the authorized strength for the

assignment of military personnel at the mission’s headquarters and in the fields, with the exception of his / her deputy and a few other senior officers, who are designated by AUHQ, in consultation with the SRCC and FC as appropriate. Before leaving the mission area on official business or leave, the FC will request the SRCC’s approval.

18. Military support units, including an engineering unit, a level two medical unit, a

rotary wing aviation unit and a multi-role logistics unit are part of the military component of AMICA. However, these military assets will form part of the Integrated Service Support (ISS) for the mission under the operational command of the Chief of Integrated Service Support. The Chief ISS, under the guidance of the Head of Mission Support (HMS) coordinates the functioning of all logistics resources, personnel and equipment to provide effective and efficient support to the entire mission, as determined by the priorities assigned by the Senior Mission Management. The Chief ISS, in consultation with all component heads or their designated representatives will plan the employment of these military units/elements and will execute these plans in close coordination with the military logistics staff of AMICA Force Headquarters (FHQ). Any matter requiring clarification must be referred to the HMS by his staff. The HMS will ensure that these resources are employed in accordance with the Memorandum of Understanding (MOU) between the AU and the respective Regional Economic Communities/Regional Mechanisms (RECs/RMs) and Troop Contributing Countries (TCCs) and the "Guidelines to the TCCs for Military Units in AMICA” issued by AU PSOD.

POLICE COMPONENT

19. AMICA mandate also provides for the deployment of a police component led by a Police Commissioner of the rank of a Police Commissioner with a contingent not exceeding 750 police personnel and comprising of :

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(a) Civilian Police to mentor and monitor the Caranese National Police;

(b) A Police Training Unit (PTU) to set up a training program for the National Police, the Border Police and Gendarmerie; and,

(c) Four Formed Police Units (FPU) of company strength each.

20. The Civilian Police Commissioner has primary responsibility for the organization and efficient functioning of the civilian police component of the mission. He / she has full authority within the authorized strength for the assignment of civilian police personnel at the mission’s headquarters and in the field, with the exception of his / her deputy and a few other senior officers, who are designated by AUHQ, in consultation with the SRCC and the Civilian Police Commissioner, as appropriate.

21. Before leaving the mission area on official business or leave, the Civilian Police

Commissioner will request the SRCC’s approval.

MISSION SUPPORT COMPONENT

22. The Mission Support Component is headed by the HMS. The HMS is designated by the Commissioner for Peace and Security with prior consultation with and the approval by the Deputy Chairperson. The HMS is the principal advisor to the SRCC on AU regulations, rules, application of policy instruments and procedures, and assists the SRCC in ensuring that the Mission is managed within the framework established by the legislative bodies of the AU. The HMS's advice to the SRCC extends to all matters related to finance, budget, personnel and all aspects of the Mission's administration and management.

23. The HMS, under the overall authority of the SRCC, is responsible for all

administrative functions, all general and technical services relating to the Mission’s activities, including ISS and for providing the requisite administrative support for carrying out the substantive work of the Mission. The HMS is also responsible for the administrative and financial certification, policy and procedural guidance and proper implementation of rules and regulations, as well as supplementary directives issued by the AUHQ in the areas of finance, personnel, logistics and general services. In accordance with the Contingent Owned Equipment (COE) Manual, the HMS, through a process of constant liaison with the Force Commander, Police Commissioner and commanders of national contingents, is responsible for the correct application of the MOU between the AU and, RECs/RMs and Member states contributing personnel, equipment and services in support of the Mission. The HMS is assisted by a number of administrative, finance and field service officers and other international and local personnel as required.

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24. Only the HMS has the authority to commit AU financial resources for any purposes. In particular, only the HMS can make contractual arrangements for the use of local resources, on behalf of the AU. If any contingent required contractual services, its Commanding Officer should forward his request to the HMS through appropriate channel.

INTEGRATED SERVICE SUPPORT (ISS)

25. An integrated AU civilian, police and military system will perform logistics, communication and other services and support functions in AMICA. All military and police personnel, who are placed in such integrated units/system, by AUC or component HQs, will perform their day-to-day activities and routine functions under the technical supervision of the designated AU civilian, police or military personnel. All such functions and duties will be coordinated by the military and police component with the HMS. However, all these military and police personnel will, remain, at all times, under the "operational control" of the normal chain of command of their respective component commands.

V. RELATIONS WITH THE PARTIES TO THE CONFLICT

26. The SRCC will follow closely the evolution of the situation within the area of

operations, particularly as it affects the discharge of the mission’s mandate. He/ She will maintain close contacts with the parties, including political and military officials. He/ She will take the initiative, as appropriate, in solving problems that arise among the parties and in building confidence among them.

VI. RELATIONS WITH INTERESTED MEMBER STATES AND DONOR

ORGANISATIONS

27. The SRCC will maintain close contact with the governments of interested

countries, regional and other international organizations and NGO’s and bilateral donors, as appropriate. The SRCC will endeavor to ensure, through regular contacts, that the activities of non-United Nations entities, such as NGO’s and bilateral donors, are in harmony with the aims of the missions.

VII. RELATIONS WITH THE UNITED NATIONS AGENCIES AND FUNDS

28. The SRCC should consult and coordinate regularly with the United Nations Resident and/or Humanitarian Coordinator as well as the country team, drawing on their expertise, articulating strategy and exchanging information, particularly as they may relate to the creation of a safe and secure environment for the provision of humanitarian assistance, return and resettlement of internally displaced persons and refugees, and other peace-building initiatives.

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VIII. RELATIONS WITH MEDIA

29. As the media play an instrumental role in support of peacekeeping missions,

the SRCC should use the opportunities the media offer, while always keeping in mind the impact his / her statements could have on public opinion and the parties in conflict. The SRCC should designate a spokesperson, who would be authorized to make statements to the media, on or off the record, on his / her behalf. The SRCC and his / her spokesperson should devise a coherent media strategy for the mission in consultation with the AUHQ. The SRCC may grant specific authorization to other members of the mission to communicate with the media. The text of press releases and official statements, as well as significant media commentary and news items, or summaries thereof, should be widely circulated within the mission and forwarded to Headquarters. In some cases, it may be advisable to coordinate the contents and timing of press statements or releases with Headquarters.

IX. ORGANISATIONAL MATTERS AND REPORTING RESPONSIBILITIES

30. As Head of Mission, the SRCC is responsible for all aspects of its management

and functioning. He/ She is responsible for the effective management of its resources. To this end, the SRCC should strive to create a gender-sensitive working environment.

31. The SRCC is responsible for the direction of the mission’s various components

and for ensuring that there are clear lines of responsibility and accountability within the mission. All mission components fall under the SRCC’s direct supervisory authority.

32. All travel by the SRCC outside the mission area, whether on official business or

leave, must be approved by the Chairperson. Accordingly, leaving the mission area, the SRCC will seek AUHQ’s authorization.

33. Reporting Responsibilities to AUHQ. The SRCC is responsible for reporting

regularly and fully on AUHQ developments concerning the activities of the mission and on all matters affecting the implementation of its mandate, as well at on the functioning of the various components of the mission. He / She must sign any communications, which may involve policy and substantive matters emanating from or relating to the various components of the mission, in order to avoid the development of parallel channels of communication. Important matters should be referred to AUHQ for decisions, as should all matters likely to affect the African Union’s relations with the parties or contributing governments.

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34. The SRCC will submit an end of assignment report to AUHQ.

35. The SRCC is authorized to address the African Union Peace and Security

Council (PSC) directly on fundamental questions, which in his / her opinion, justify the Chairperson’s personal attention.

36. The SRCC, as well as the military, police and civilian personnel of the mission,

should feel free to communicate informally with colleagues at AUHQ. The SRCC should be kept fully informed of any informal communications with the AUHQ which could have an impact on the mission. The mission’s personnel should keep the SRCC fully informed and seek his / her guidance concerning their direct dealing with the AUHQ.

37. Reporting Responsibilities within the Mission. The SRCC is responsible for

ensuring that his/ her staff is kept fully informed of all developments which are relevant to their work. He / she should encourage the free flow of information among the various components of the mission. Communications received from AUHQ should be distributed to those directly concerned in the mission.

38. End of Assignment Reports: All senior staff in the mission (SRCC, FC, PC,

HMS and heads of all other components) will submit to the AUHQ end-of-assignment reports upon completion of their field appointment. The reports should generally provide an assessment of the implementation of their mission’s mandate, particularly in regard to the specific area of responsibility of the staff member concerned.

X. CONDUCT OF MISSION PERSONNEL

39. All personnel assigned to the mission are under the SRCC’s authority and

direction and are answerable to the SRCC for their conduct and the performance of their duties. In particular, the SRCC must ensure that all members of the mission:

a. Conduct themselves at all times (both on and off duty) in a manner

befitting their status as member of the mission, and that they carry out their duties and regulate their conduct solely with the interest of the African Union in view;

b. Refrain from any action incompatible with the international nature of

their duties;

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c. Respect the laws, regulations and customs of the host country, as well as international human rights standards and international humanitarian law, and receive adequate training in this area. In this connection, it is imperative that they demonstrate respect for the local population, in particular, vulnerable groups;

d. Exercise the utmost discretion in respect of all matters of official

business; do not communicate to any person any information known to them by reason of their official position that has not been made public, except in the course of their duties or by authorization of the Chairperson; and do not at any time use such information to their private advantage;

e. Do not seek or accept instructions in regard to the performance of their

duties from their respective governments or from any other authority external to the AU.

40. Security of personnel. The SRCC is responsible for the security of the AU military, police and civilian personnel serving in peacekeeping operations.

_______________________ _______________________________ Head PSOD Commissioner for Peace and Security

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Civilian Component Concept of Operation


12 August 2011

ANNEX D TO SERIAL 3 TO EXERCISE NJIWA MANUAL

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DSRCC Vision

1. The success of AMICA will largely depend on the performance of its civilian components. The AMICA SRCC is expecting it to mentor the Caranese government in order to improve its ability and capacity to apply law and order in the country. Furthermore, AMICA’s military and police components will also count on the inputs of the civilian components in the design and application of their plans at the national, provincial (Leppko and Mahbek) and local level. The Mission in Carana is largely politicized and requires support of Kisiwa countries, international community and UN agencies, and the civilian component will have to gain and maintain their support in order to give the capacities to AMICA to carry out its mandate.

National Reform Plans

2. The main focus of the civilian components of AMICA will be to support the Caranese government to develop reform plans for its rules of law components. Main gaps identify so far are lack of knowledge regarding human rights, unclear sharing of responsibilities between the components, inequity in the application of the law (corruption, politicization and ethnicization of the process), and lack of resources (equipment, vehicle and communication means). AMICA civilian components will provide technical and logistics assistance to the Caranese government to plan the reforms, to support its implementation and to gain the support of the international community. AMICA’s civilian component role will be essentially one of mentoring rather than monitoring, it will assume the following responsibilities regarding the National Reform Plans formulation and application:

• As appropriate, assist the Caranese government in the planning and the implementation

of the National Reform Plans for the Caranese security forces, the legislative system, the correction system and the judicial system;

• Establish field presence in AMICA`s four areas of operations and support Caranese`s government local bodies;

• Work in close collaboration with the UNDP, UN agencies and the external partners in the implementation of the National Reform Plans and AMICA’s mandate;

• Assist in the mobilization of funds;

• Organize public enlightenment programs designed to inform, educate and create awareness in the implementation of the National Reform Plans and AMICA’s mandate through the creation of a network of national NGOs and Community-Based Organizations (CBOs);

• Serve as an adviser to the Caranese government and the SRCC;

• Monitor each phase of the National Reform Plans implementation and advise the government and the SRCC on any shortcomings observed; and,

• Monitor and report human rights abuses and harassment.

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Public Information Strategy

3. As the main thrust of AMICA activities will be in support of the National Reform plans regarding Caranese rules of law Components, AMICA’s Public Information Strategy will focus its strategy on gaining the support of the Caranese population for these reforms, and increasing their trust in the Caranese government.This would further improve public understanding of, and support for, the Mission. To this end, AMICA will undertake the following information related tasks:

• share its technical expertise with the Caranese government in the design and implementation of a civic education and public information strategy;

• organize seminar for local journalists, and international press;

• organize town hall meetings and/or debates, live and on radio, to allow the Caranese population to express their concerns and expectations;

• encourage the media to ensure fairness and impartiality in its report; and,

• deploy information teams to Mahbek and Leppko Provinces to conduct live, real-time coverage of the main events AMICA wants to promote, and also produce other video coverage, to be aired on national television.

Promotion and Protection of Human Rights

4. The conflicts which have been waged in Leppko and Mahbek Provinces have invariably led to gross violations of human rights forcing displacement of populations and increasing vulnerability of the poorest of these Provinces. While it is difficult to gauge the exact impact of this violence on each individual person, its traumatic effects on various segments of society cannot be overemphasized. Against this backdrop, AMICA will focus on the following course of action:

• Monitor human rights and pursue awareness and sensitization activities targeting vulnerable groups, including IDPs, women and children associated with the armed forces, as well as detainees;

• Support the government in its endeavor to strengthen the judiciary and ensure the full application of the rule of law; and,

• Keep under constant review, the conditions prevailing in the country’s prison systems as well as the conduct of law enforcement agents of the state.

Child Protection

5. During the coming years, Child Protection in AMICA will establish linkages with the National Committee for Child Protection, UNICEF and key agencies for the development of policies and programs for reintegration of children in families and communities; for the protection of abducted women and children; and for the development of mechanisms for monitoring of child rights. Community-based approaches to reintegration will be the prevailing theme in mobilizing various sectors of society to put high priority on issues related to child rights and child protection. To this end, AMICA in conjunction with other stakeholders including UNICEF and Child Protecting Agency will focus on the following tasks:

• Monitor family reunification of abducted children;

• Strengthen community- based approaches to family/community reintegration of separated children;

• Establish community oriented mechanisms for child rights monitoring and advocacy;

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• Set up community-based services for street children; and,

• Improve the materials and methods for training of Peacekeepers in Child Rights and Child Protection.

Restoration of State Authority

Political Affairs Outreach

6. Through its Political Affairs Section, AMICA will assist the Government of Carana to restore civil administration throughout Leppko and Mahbek Provinces, assist grass-roots organizations, communities and local government bodies in implementing various programs aimed at promoting cooperation and confidence building. In this regard, AMICA will undertake the following tasks:

• Maintain regular contact with Government officials, political parties and other significant local actors, and monitor progress in the restoration of civil authority throughout Mahbek and Leppko;

• Assist in the conduct of assessment missions as well as the compilation of database on the outcome of such studies;

• In collaboration with other AMICA civilian component, identify, administer and manage projects through UN funds (such as Quick Impact projects (QIPs)) to facilitate reconciliation and peace building, including the provision of funds to the Government’s effort to rehabilitate public facilities which sustained extensive damage during the conflicts;

• Continue to facilitate national reconciliation efforts; and,

• Canvass general opinion through its regional offices.

Coordination with Major Stakeholders

7. The exigencies associated with the National Reform Plans, will require AMICA’s continued contact with AUHQ, UN agencies, Kisiwa countries, donors, as well as international NGOs involved in underpinning the nationwide efforts. It will also require constant adjustment in the Mission’s reporting system in order that Headquarter would be in a position to enhance AMICA’s strategic intervention. To this end, the following course of action has been devised to ensure appropriate coordination:

• the SRCC will continue to maintain close liaison with the leadership of AUHQ, Kisiwa countries, as well as major political actors within the sub-region to appraise them of developments in Carana and to solicit their support and intervention as appropriate;

• Maintain regular contacts with troop contributing countries, police contributing countries and other stakeholders represented in Carana with the view to informing them of the various activities of AMICA, to address concerns they may have regarding the deployment or welfare of their troops and to secure their overall support for the mandate’s implementation;

• Continue to strengthen internal coordinating and brainstorming mechanisms. Encourage smooth flow of information between the regional offices and AMICA Headquarters in Corma and African Union Headquarters in Addis Ababa;

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• Further streamline the military and civilian integrated service with the aim of maximizing the utility of the Mission’s assets;

• Conduct sensitization and information sharing forums, including town-hall meetings.

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AMICA Military Concept of Operations


12 August 2011

NB: This document is an extract of the military CONOPS to provide the Training Audience with key information required for exercise play.

ANNEX E TO SERIAL 3 TO EXERCISE NJIWA MANUAL

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MILITARY CONCEPT OF OPERATIONS FOR AMICA

Executive Summary

1. This Military Concept of Operation (CONOPS) provides guidance from the SRCC and the Force Commander to all military personnel in Carana. This plan ensures the military component achieves its core mission of providing a stable security environment to permit the institutional rebuilding of the Government of Carana to provide socio-economic development and rule of law.

Core Principles

2. To execute this CONOPS, the following core principals must be the foundation that guides military efforts. These core principals are :

a. Caranese Government leadership in the development of its security institutions. Military efforts in Carana must remember at all times that, the end state is to support and prepare the Caranese Security Forces to assume the responsibility for the maintenance of internal security and rule of law throughout the country.

b. Leadership at all levels. The military leadership must understand AMICA’s mission and vulnerabilities. Only constant and effective leadership will allow AMICA to meet the mandated tasks and prevent political spoilers from creating a negative outlook towards AMICA. Most notably, that any misconduct by AMICA military personnel undermines the trust of the Caranese people and the international community.

c. Integrated planning and operations. The military component must work closely with the

other mission components to understand the requirements and act to effect positive changes across all mission areas. Leaders must encourage and support communication and coordination at every level to establish and maintain a true unity of effort.

d. Progress must be visible and quantifiable. Progress of AMICA’s military component

must be public, and actions must lead to an improvement in the lives of those it serves to protect. The Caranese government, and especially the Caranese Security Forces and the Caranese population, must see the value that AMICA adds.

e. Protection of vulnerable groups. AMICA’s MC must always help to protect those parts

of the Caranese population that are in greatest danger (IDPs, women, children, handicapped people and the elderly). Many IDPs are at risk from criminal elements, food insecurity and poor health conditions.

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Force Organization

3. The Force organization of AMICA’s military component is detailed at Annex A of the Mission Implementation Plan.

Mission

4. AMICA’s Military component, in close coordination with AMCIA’s Police Component, is to maintain a secure and stable environment in Leppko and Mahbek Provinces of Carana. The military component shall also provide support to the Caranese Government in its reform efforts. The Force must be prepared to act in the case of humanitarian emergencies, natural disasters and civil unrest.

Execution

5. Desired Military End State. AMICA’s Military Component transfers security operations to a capable and credible Caranese Security Force allowing for the drawdown and withdrawal of AMICA Military Forces.

6. Center of Gravity (CoG)

a. The Strategic CoG of AMICA is the confidence and support from the international

community.

b. The Operational CoG of the MC is the confidence and support from Carana’s population and government.

c. The critical vulnerability of the MC is its own potential misconduct and inability to

effectively shape information operations.

7. Lines of Operation. The military concept of operation directs the MC to accomplish its

mission along three lines of Operations.

a. Maintain a secure and stable environment and monitor the application of BAKA I and II Comprehensive Agreement;

b. Support the Caranese Security Forces National Reform plan; and,

c. Support Contingency Operations (humanitarian assistance, disaster relief and crisis response) and economic development.

8. Force Commander Vision and Intent

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a. Vision. The necessity to help the Caranese population to develop their rules of law institutions and to motivate socio-economic progress in Carana must guide the efforts of the MC. The FC expects the highest level of professionalism, compassion and focus on the mission from its troops. The primary responsibility of the MC to maintain a stable security situation in Mahbek and Leppko is necessary to permit institutional rebuilding of the Caranese rules of law (RoL) institutions.

b. Commander’s Intent. The FC intends to employ military forces to maintain a secure and stable environment that permits the Government of Carana to develop its RoL institution and undertake socio-economic recovery. In doing so, the FC will provide forces to establish presence and deterrence in support of Caranese military Forces in the high risk areas of Mahbek and Leppko Provinces.

c. The MC will be prepared to provide surge capacity from its reserves to remote

locations in support of humanitarian assistance, disaster relief and civil unrest. To do so, the MC will employ its critical enabling assets such as aviation, engineering and medical capabilities to support the other components of AMICA and the Government of Carana.

d. In meeting its tasks, the MC shall maintain a watchful eye to protect the civilian

population from gang violence, human trafficking and Sexual and Gender-Based Violence (SGBV); always maintaining a professional demeanor and monitoring and respecting the human rights of all people.

9. Military Component Strategic Objectives. In line with AMICA’s Mission, the MC has the

following three Strategic Objectives and Lines of Operation:

a. Security and Rule of Law. The MC is tasked with providing a Secure and Stable

enabling environment in Leppko and Mahbek Provinces. That will be achieve through robust presence, deterrence and joint operations with AMICA’s police component and Caranese military forces.

(1) Presence and deterrence

(a) Maintain an effective presence and deterrence in Leppko and Mahbek Provinces through 24/7 static checkpoints and mobile patrols;

(b) Monitor security environment in assigned area of responsibility and area of interest; and,

(c) Maintain a flexible and mobile force reserve capability

(2) Joint Operations

(a) Plan and develop joint security operations with Caranese Security Forces and AMICA police component;

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(b) Develop SOPs to improve coordination;

(c) Support Caranese Security Forces in border management and riverine operations; and,

(d) Conduct joint activities with AMICA’s civilian component, UN agencies and other humanitarian actors.

b. Support to the Caranese Security Forces National Reform Plan. The MC will support other AMICA components in order to permit a secure and stable environment for the implementation of the Caranese National Reform plans (Security forces, judicial, correction and legislative). The MC will focus its effort on supporting the National reform plans, ensuring that it will be conducted in a safe environment according to human rights principles.

c. Support to Contingency Operations (Humanitarian Assistance, Disaster Relief and Crisis Response) and Economic Development. The MC, following joint planning and coordination will ensure full support to the scope of contingency operations.

(1) Support humanitarian assistance /disaster response operations

(a) Assess the response capacities of the Caranese Government, the UN agencies and the International Community, and develop a coordination plan; and,

(b) Conduct CIMIC activities to decrease the vulnerability of the Caranese population.

(2) Civil unrest

(a) Identify and track threats;

(b) Implement measures to avoid or mitigate threats; and,

(c) Deploy force reserve as required.

(3) Economic development

(a) Conduct Priority Engineering (PRET) works to aid civilian populations with emphasis on the most vulnerable segments of the populations; and

(b) Assist and enable IDP resettlements.

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DIRECTIVE FOR THE FORCE COMMANDER

OF

THE AFRICAN UNION MISSION IN CARANA (AMICA)

AFRICAN UNION PEACE & SECURITY DEPARTMENT

Addis Ababa

3 September 2011

ANNEX F TO SERIAL 3 TO EXERCISE NJIWA MANUAL

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CONTENT

SUBJECT PAGE

PART I Introduction 3F-3 PART II Authority 3F-3 AU Command and Control 3F-4 PART III Mandate 3F-4 PART IV Organizational Matters 3F-7 Mission Structure 3F-7 Military Component 3F-7 Police Component 3F-8 Mission Support Component 3F-8 Integrated Service Support 3F-9 PART V Delegated Authorities and Responsibilities 3F-9 General 3F-9 Operational Authority 3F-9 Safety and Security of Military Personnel and Equipment 3F-10 Authority to Employ Military Units and Staff Officers 3F-10 Guidelines to TCCs for Military Units 3F-11 Chain of Command 3F-11 Working Relations with SRCC, Deputy SRCC, HMS and other Members of AMICA Headquarters 3F-11 COE Inspection 3F-11 Rules of Engagement (ROE) 3F-12 Observance of International Law 3F-12 Leave and Absence from the Mission Area 3F-12 Reporting 3F-12 End of Assignment Reports 3F-13 Performance Evaluation Reports 3F-14 Standard Operating Procedures 3F-14 Mission Medal 3F-14 PART VI Relations with the Troop Contributing Countries 3F-15 Channel of Communication 3F-15 Visits 3F-15 PART VII Relations with the Media 3F-15 PART VIII Conduct of Personnel 3F-15 Legal Protection 3F-15 Conduct of Military personnel 3F-16 Annex A Organization of the Military Component of AMICA A-1 Annex B Guidance to Commanders of AU Military Operations, B-1

Standards of Conduct and Performance Criteria

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I. INTRODUCTION

1. This document constitutes the directive to the Force Commander (FC) of the African Union Mission in Carana (AMICA).

2. The present directive should not be regarded as exhaustive and shall be applied in

conjunction with African Union Headquarters (AUHQ) policy and procedural documents for the conduct of field missions and other supplementary direction issued by AUHQ or the Special Representative of the Chairperson of the Commission (SRCC).

II. AUTHORITY

3. The African Union Peace and Security Council (PSC), by its communiqué PSC/PR/Comm (DCLX)

of 30 August 2011 decided to establish the African Union Mission in Carana (AMICA) consisting of a military component of 3000 military personnel including up to 200 military observers (members of the Joint Commission for the Peace Agreement (JPAC)) and 160 staff officers and supported by maritime coastal and air components, additional troops, 750 police officers including individual police officers and Four Formed Police Units (FPUs), and civilians comprising of humanitarian assistance, Human Rights team, Legal Affairs Team, Protection Advisor Officer, Rules of Law Officer, Public Information Team, Gender team and a political team, as well as a mission support elements, for an initial period of six months with effect from 30 August 2011 as outlined in Peace and Security mandate for AMICA outlined in paragraph 9 below.

4. Mission Area or Responsibility (AOR). Your Mission Area of Responsibility is the Sovereign

Territory of Carana. You are to clear any deployment outside your Mission Area of Operations, including those necessary to sustain lines of communication (LOCs), with AUHQ.

5. Mission Area of Interest. Your Mission Area of Interest extends to the Island of Kisiwa. This

reflects the political reality and realization that both the causes of and solutions to Carana’s problems cannot be confined to Carana exclusively and have a sub-regional dimension. Taking a sub-regional approach, particularly the need for close coordination with surrounding countries as Rimosa and Katasi is essential and fundamental to success.

6. The Chairperson appoints, with the concurrence of the Peace and Security Council, his Special

Representative. The SRCC is Head of the Mission (HOM) and, as such, is responsible to the Chairperson, through the Commissioner for Peace and Security, for the implementation of the AMICA mandate. In the African Union doctrine for peace support operations, it was emphasized that an integrated approach is particularly important in the field, where lack of cohesion or differences among the various components and other stakeholders can be exploited by the parties. Accordingly, the SRCC has been given the authority over all AU mission components of AMICA. This authority will be exercised taking into account the

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mandated responsibilities of the components. Furthermore, the SRCC should create mechanisms that will allow AMICA to benefit from capacities and other initiatives already existing in the mission area that will impact on the attainment of AMICA mandate.

AU COMMAND AND CONTROL

7. In AU Peacekeeping Operations (PKOs) it is useful to distinguish three levels of command: (1) overall political direction, the purview of the Peace and Security Council; (2) executive direction and control, provided by the Chairperson; and (3) command in the field, residing in the Head of the Mission, i.e., the SRCC.

8. In general, AU command is not full command and is closer in meaning to the generally

recognized military concept of "operational command". It involves the full authority to issue operational directives within the limits of (1) a specific mandate of the Peace and Security Council; (2) an agreed period of time, with the stipulation that an earlier withdrawal of a contingent would require the contributing RECs/RMs and member state to provide adequate prior notification; and (3) a specific geographic area (the mission area as a whole). An additional limitation is that the organization does not discipline or promote individual members of military contingents, functions which remain the purview of their national authorities.

9. Military personnel contributed by Member States to AU PKOs remain members of their

national armed forces, first and foremost and also member of their regional standby force. However, the operational authority over such forces and personnel is transferred to the AU, vested in the Chairperson, under the authority of the Peace and Security Council. AU operational authority entails the exclusive authority to issue operational directives within the limits mentioned in paragraph 6 above. From time to time, special arrangements may be made for specific units to suit particular requirements. Operational authority includes the authority to assign separate tasks to sub units of a contingent and general responsibility for logistics support.

10. The SRCC, as Head of Mission, exercises operational authority in the field on behalf of the

Chairperson. He determines further delegation of authority in consultation with AUHQ. The Head of the Military Component of AMICA is the Force Commander. He is responsible to the SRCC for the implementation of the tasks assigned to the military component.

III. MANDATE

11. AMICA’s mandate from the Peace and Security Council is described hereunder:

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a. That the AUPSC in its Communiqué [PSC/PR/Comm (CLX)] of 31 August 2011 authorized the deployment of an integrated peace support mission in Carana, which shall be named The African Union Mission in Carana (AMICA), for a period of 6 months, without prejudice to its subsequent extension by six month increments at Council’s discretion, starting from the date of this decision, with the following mandate:

1) To provide support to the Government of Carana for the furtherance of dialogue and

reconciliation in the Baka I and Baka II Comprehensive Agreements.

2) Establish, in conjunction with the Government of Carana, a safe and secure

environment in Leppko and Mahbek Provinces.

3) To support the investigation of violations of human rights that are alleged to have

taken place in the Leppko and Mahbek Provinces of Carana.

4) To exercise the right to protect civilians under threat of physical danger.

5) To exercise its right of self-defence, including the right to protect its personnel,

installations and equipment.

6) Support for Humanitarian and Human Rights Assistance:

a) to facilitate the provision of humanitarian assistance, including by helping to establish the necessary security conditions;

b) to monitor the human rights situation, to contribute towards international

efforts to protect and promote human rights in Carana, with particular attention to vulnerable groups including returning internally displaced persons, abductees, women and children as well as provide human rights technical assistance as needed in close cooperation with United Nations agencies, related organizations, government organizations and non-governmental organizations;

c) to ensure an adequate human rights presence, capacity and expertise within

AMICA to carry out human rights promotion, protection, and monitoring activities;

7) Support for Implementation of the Peace Process:

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a) to assist the Government in conjunction with other international partners, in

the re-establishment of national authority throughout the country;

b) to assist the government in restoring proper administration of natural

resources;

c) to assist the Government in conjunction with other international partners in

developing a strategy to consolidate governmental institutions, including a national legal framework and judicial and correctional institutions;

d) to assist the Caranese Government in establishing a National Commission

for disarmament and restructuration of Caranese Security Forces in Leppko; and

e) Extent the authority of the Joint Commission for the Peace Agreement (JCPA)

to Leppko Province.

8) To establish in conjunction with the Government of Carana, a Reform and

Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie), in particular:

a) Provision of assistance to the Caranese Police Force in public order

management and crowd control;

b) Provision of support to the Caranese Gendarmerie in the control of fraud,

organized crime and corruption;

c) Monitoring, mentoring and advising the police of Carana, with priority to the

areas of greatest civil instability, consistent with democratic policing and international standards, including mechanisms to build integrity and address corruption;

d) Development of a civilian police training programme, Gendarmerie training

program and a Police Border training program in cooperation with interested organizations and interested States;

12. The Peace and Security Council also called on the parties to:

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a. Fulfill all their obligations under international law and the Baka I and II Peace Agreements;

and

b. Take whatever action that may be necessary to ensure AMICA's access, safety and

freedom of movement, and to provide the assistance, support and protection required for the performance of its mandate in all areas of its operation deemed necessary by the Chairperson.

IV. ORGANISATIONAL MATTERS

MISSION STRUCTURE

13. Under the overall authority of the SRCC, AMICA comprises political, military, police, legal, public information, human rights, rules of law, protection of civilians, Gender, humanitarian affairs and administrative components, and includes a mechanism for the coordination of its activities within the mission and those of the humanitarian community. As Head of the Mission, the SRCC is responsible for ensuring necessary co-ordination and for maintaining an integrated approach towards accomplishing AMICA's mandate.

MILITARY COMPONENT

14. AUPSC Communiqué [PSC/PR/Comm (CLX)] of 30 August 2011 has authorized the deployment of a military component of one Brigade (Bde) with 3000 troops constituted as follows:

a. Bde Headquarter (HQ) Staff.

b. HQ Support Company.

c. Signal Units.

d. Infantry Battalions.

e. Reconnaissance Units.

f. Engineer Units.

g. Military Police Unit.

h. Logistics Multi-role unit.

i. Level II Hospital.

j. Rotary wing aviation unit.

k. Military Observers members of the JPAC.

l. Maritime coastal unit

The organization of AMICA's military component is attached as Annex A to this Directive.

15. The FC, at the rank of Major-General, is the head of the military component. He will assist the SRCC by advising him on all military and security matters related to the Mission.

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16. Military support units, including an engineering unit, a level two medical unit, a rotary wing

aviation unit and a multi-role logistics unit are part of the military component of AMICA. However, these military assets will form part of the Integrated Service Support (ISS) for the mission under the operational command of the Chief of Integrated Service Support. The Chief ISS, under the guidance of the Head of Mission Support (HMS) coordinates the functioning of all logistics resources, personnel and equipment to provide effective and efficient support to the entire mission, as determined by the priorities assigned by the Senior Mission Management. The Chief ISS, in consultation with all component heads or their designated representatives will plan the employment of these military units/elements and will execute these plans in close coordination with the military logistics staff of AMICA Force Headquarters (FHQ). Any matter requiring clarification must be referred to the HMS by his staff. The HMS will ensure that these resources are employed in accordance with the Memorandum of Understanding (MOU) between the AU and the respective Regional Economic Communities/Regional Mechanisms (RECs/RMs) and Troop Contributing Countries (TCCs) and the "Guidelines to the TCCs for Military Units in AMICA” issued by AU PSOD.

POLICE COMPONENT

17. AMICA mandate also provides for the deployment of a police component led by a Police Commissioner of the rank of a Police Commissioner with a contingent not exceeding 750 police personnel and comprising of :

(a) Civilian Police to mentor and Monitor the Caranese National Police;

(b) A Police Training Unit (PTU) to set up a training program for the National Police, the Border Police and Gendarmerie; and,

(c) Four Formed Police Units (FPU) of company strength each.

MISSION SUPPORT COMPONENT

18. The Mission Support Component is headed by the HMS. The HMS is designated by the Commissioner for Peace and Security with prior consultation with and the approval by the Deputy Chairperson. The HMS is the principal advisor to the SRCC on AU regulations, rules, application of policy instruments and procedures, and assists the SRCC in ensuring that the Mission is managed within the framework established by the legislative bodies of the AU. The HMS's advice to the SRCC extends to all matters related to finance, budget, personnel and all aspects of the Mission's administration and management.

19. The HMS, under the overall authority of the SRCC, is responsible for all administrative

functions, all general and technical services relating to the Mission’s activities, including ISS and for providing the requisite administrative support for carrying out the substantive work of the Mission. The HMS is also responsible for the administrative and financial certification, policy and procedural guidance and proper implementation of rules and regulations, as well as

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20. supplementary directives issued by the AUHQ in the areas of finance, personnel, logistics and general services. In accordance with the Contingent Owned Equipment (COE) Manual, the HMS, through a process of constant liaison with the Force Commander, Police Commissioner and commanders of national contingents, is responsible for the correct application of the MOU between the AU and, RECs/RMs and Member states contributing personnel, equipment and services in support of the Mission. The HMS is assisted by a number of administrative, finance and field service officers and other international and local personnel as required.

21. Only the HMS has the authority to commit AU financial resources for any purposes. In

particular, only the HMS can make contractual arrangements for the use of local resources, on behalf of the AU. If any contingent required contractual services, its Commanding Officer should forward his request to the HMS through appropriate channel.

INTEGRATED SERVICE SUPPORT (ISS)

22. An integrated AU civilian, police and military system will perform logistics, communication and other services and support functions in AMICA. All military and police personnel, who are placed in such integrated units/system, by AUC or component HQs, will perform their day-to-day activities and routine functions under the technical supervision of the designated AU civilian, police or military personnel. All such functions and duties will be coordinated by the military and police component with the HMS. However, all these military and police personnel will, remain, at all times, under the "operational control" of the normal chain of command of their respective component commands.

V. DELEGATED AUTHORITIES AND RESPONSIBILITIES GENERAL

23. The Force Commander (FC) has the primary responsibility for the operational organization, the efficient functioning and for the conduct of the military component of AMICA. The FC is required to consult the SRCC, in advance, about any decisions regarding the military personnel that may have political or policy implications.

OPERATIONAL AUTHORITY

24. The FC exercises operational command over all military units and HQ staff assigned to AMICA, under the authority of the SRCC. The FC must ensure that national contingent commanders are involved in operational planning and decision-making, especially where their respective contingents are involved. However, such consultation should not be allowed to develop into indirect negotiations with national headquarters, which could impede action and undermine the willingness and rigor with which the orders of the AU are carried out.

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SAFETY AND SECURITY OF MILITARY PERSONNEL AND EQUIPMENT

25. The FC is responsible for the personal security and safety of all military personnel in the Mission in close co-ordination with AMICA Security Advisor. He is also responsible for ensuring the security and safety of the military equipment in AMICA. The FC must issue necessary instructions, in consultation with the HMS for the proper maintenance and protection of the equipment placed at the disposal of the Military Component of AMICA. He should also ensure that all military personnel comply with the safety instructions issued by him and also those by the HMS, Mission’s Security Advisor and Chief of Aviation through the Office of HMS.

AUTHORITY TO EMPLOY MILITARY UNITS AND STAFF OFFICERS

26. The FC, unless some specific restrictions are imposed by AU PSOD, has the authority to, deploy and re-deploy the military units, and assign and re-assign the Staff Officers based on operational need and security requirements, within the approved Mission Area or Responsibility, (AOR), in consultation with the SRCC and the AUHQ, Addis Ababa, as explained below.

a. Military Units. The FC may employ all military units, as he deems operationally and

tactically necessary, within their designated unit AOR. If an operational necessity arises, the FC, with the approval of the SRCC, may also employ the military units, out of their designated AOR, in support of other units or for independent operations, in accordance with the Mission contingency plans. The contingent commander must be involved in all such decisions and planning. The FC, through the SRCC, must inform AUHQ about all operational deployments of the military units. AU PSOD (Ops/Plans) through the Commissioner Peace and Security will inform the contributing RECs/RMs and Member States about the operational deployment of their contingents and units;

b. Staff Officers in FHQ. The FC has the authority to reallocate designated FHQ staff

personnel to other jobs and tasks within the FHQ as appropriate and necessary, provided the individuals concerned are at the rank of Major (or equivalent) and below. Should the FC foresee the need to re-organize FHQ staff members of the rank of Lieutenant Colonel or above, he must clear the proposed adjustments with AUHQ, in order that the appropriate national authorities may be informed and their concurrence received. The exclusive authority with respect to the distribution of total number of staff positions in FHQ, between the RECs/RMs and TCCs, rests with AUHQ. The FC may assign and reassign limited number of contingents staff to the FHQ, in consultation with the contingents commanders, for a short duration, for assignments related to respective contingents;

c. Senior Positions. The Deputy Force Commander/Chief Military Observer (DFC/CMO), Chief of

Staff (COS) and some other senior officers (such as branch chiefs) are designated by AUHQ, in

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d. consultation with the SRCC and the FC, when possible and as appropriate. The FC must consult AUHQ, prior to reassigning any such position.

GUIDELINES TO TCCS FOR MILITARY UNITS

27. Administrative regulations for the Military Units are contained in "AMICA Troops Contributing Countries (TCCs) Guidelines", issued by AU PSOD.

CHAIN OF COMMAND

28. The FC is to establish a chain of command for the Military Component of AMICA, making use of his sector commanders, national contingent commanders, FHQ staff, or Regional Standby Force Commanders, as the case may be. The FC may delegate authority to act on his behalf, through the chain of command. All sectors will be under the direct operational control of the FHQ.

WORKING RELATIONS WITH SRCC, DEPUTY SRCC, HMS AND OTHER MEMBERS OF THE MISSION HQ

29. The FC is required to maintain the closest possible working relationship with the SRCC, Deputy SRCC, the HMS and other members of AMICA HQ. The senior members of the Mission should be kept fully informed about the deployment and operations of the Military Component. All policy matters having political and diplomatic implications must be referred to the SRCC. All concerned officials should be kept fully informed about the organization, deployment and operational activity of the military component of the Mission.

COE INSPECTION

30. ln accordance with the procedures concerning reimbursement and control of COE, the FC in coordination with the HMS should:

a. Inspect contingents upon arrival, during operations in the mission area, and upon departure;

b. Advise the HMS when contingent manpower or equipment fails to meet required standards;

c. Assist the HMS to resolve disputes with contingents’ representatives on the interpretation of respective Memoranda of Understanding;

d. Ensure that contingent commanders verify deficiencies; and

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e. Ensure that the deficiencies are made known to AU PSOD in order to initiate corrective

actions.

RULES OF ENGAGEMENT (ROE)

31. The ROE for the military component of AMICA, approved by the Commissioner for Peace and Security, provides the sole authority for the use of force in the accomplishment of AMICA mandate and explains policy, principle, responsibilities and definitions of the ROE. The FC must ensure that the ROE are issued to the Regional standby force or national contingent commanders, as the case may be, and that they have taken the necessary actions, including issue of ROE Cards in the contingent's language, to ensure that all members of their contingents understand these ROE. If required, the FC may request the AUPSOD Training Cell, through the ASF Chief of Staff, for the provision of ROE cards, in contingents’ languages. The FC should send a translated copy of ROE and specify the number of copies required. The FC must also ensure strict adherence to the ROE and ensure that all military personnel are trained for their application.

32. The FC may, if necessary, propose changes to the ROE and submit proposals to AUHQ for

review and approval. The ROE can only be amended or changed by the authority of the Commissioner for Peace and Security.

OBSERVANCE OF INTERNATIONAL LAW

33. The FC must ensure that all military personnel are familiar with and adhere to the principles and rules of international humanitarian law, applicable to AU forces conducting operations under AU command and control.

LEAVE OF ABSENCE FROM MISSION AREA

34. Before leaving the Mission area on official business or leave, the FC is to obtain the SRCC's approval and then inform the ASF Chief of Staff. The DFC will act as FC in his absence. Under normal circumstances, one of them must be present in the Mission Area.

REPORTING

35. The Chairperson reports to the Peace and Security Council on AMICA, when appropriate or as directed by the Council. Any matter that might affect the nature or the continued effective functioning of the Mission will be referred to the Peace and Security Council for its decision. The SRCC, as Head of the Mission, is responsible for reporting regularly to AUHQ, through the Commissioner for Peace and Security, the activities of AMICA and the implementation of its mandate.

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36. The FC reports to the SRCC on all matters concerning the mandated activities of the Military

Component of AMICA. The FC reports to AUHQ through and in the name of the SRCC. However, on purely technical military matters, the FC is authorized to communicate direct with the ASF Chief of Staff and the Head of Ops/Plans in AUHQ, while keeping the SRCC fully informed.

37. The FC should submit to AUHQ, through the SRCC, a monthly report reviewing the overall

military situation and on internal matters including personnel, administration and logistics. This report should include the monthly strength returns of the AMICA Military Component, indicating each RECs/RMs and TCC’s contribution on the last day of each calendar month and should reach AUHQ not later than the fifth day of the following month. The FC should also submit an ad hoc report on any development of special importance, immediately on occurrence, in addition to the routine monthly report. Additionally, the FC should provide military input to the routine daily and weekly reports submitted to AUHQ by the SRCC.

38. The FC, as well as other military personnel of FHQ designated by the FC, should feel free to

communicate informally with their colleagues at AU PSOD. Any actions decided in the course of informal contacts must be confirmed in formal communications. The SRCC should be kept fully informed by the FC of any informal communications by his staff with AUHQ that could have an impact on the Mission.

39. Once in a mandated period or every six months whichever is the lesser, the Operational

Readiness Inspection Reports will be submitted to AUHQ by the HMS. The FC should conduct the review of force Structure in accordance with the current and projected operational situation, revise the material requirements for the Military Component, and provide inputs to the reports, if necessary. Should the operational situation change significantly after the start of the mission, the HMS may recommend that AUHQ review the COE Mission Factors. The FC should provide input to the HMS's recommendations.

END OF ASSIGNMENT REPORT

40. The FC, upon completion of his field appointment, is requested to submit an "End of Assignment Report" direct to the Commissioner for Peace and Security, with a copy to the ASF Chief of Staff. The report should provide a review of the overall military situation, an assessment of the implementation of the mandated tasks by military component and internal matters including personnel, administration and logistics. The report should be candid, highlighting what worked well and why, as well as the problems encountered. The FC is encouraged to make suggestions, which could improve the effectiveness of the Mission. This report should reach AUHQ two weeks prior to the last day of the FC’s assignment. The "End-of-Assignment Report" will be treated as strictly confidential by AUHQ. The FC will normally report to AUHQ for debriefing after he has been relieved at the end of his tour of duty.

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PERFORMANCE EVALUATION REPORTS

41. The FC is responsible for ensuring that performance evaluation reports are prepared on the following:

a. The DFC/CMO;

b. All officers in FHQ;

c. All Sector Commanders; and,

d. National contingent.

42. All performance evaluation reports should be prepared in accordance with AMICA Standard

Operating procedures (SOPs). The respective senior military officers in the Mission or national contingent commanders should send these reports for the officers up to and including Majors to their national authorities. Performance evaluation reports for officers at the rank of Lieutenant Colonel and above shall be forwarded to AUHQ in sealed envelopes, marked for the attention of the ASF Chief of Staff. The ASF Chief of Staff through the Head of PSOD will arrange for their further submission to the national authorities concerned, through their permanent missions to the AU. Each officer shall sign his/her performance evaluation report. Two superiors in the chain of command should endorse all reports, any officer's performance assessed as "unsatisfactory'' must be substantiated by facts and the officer should have received prior performance counseling. A copy of all "unsatisfactory'' reports should be sent to the Head of PSOD through the ASF Chief of Staff for the appropriate transmission to the national authorities. AMICA FHQ should inform the Head of PSOD through the ASF Chief of Staff, that performance evaluation reports in respect of officers mentioned above have been initiated/completed. Performance evaluation reports for the officers serving in military units / contingents shall be completed in accordance with their national procedures.

STANDARD OPERATING PROCEDURES

43. The FC is required to develop and, when appropriate, to review and update Standard Operating Procedures (SOPs) for the military units, and to submit a copy to AUHQ for approval. These SOPs for AMICA Military Component should be based on the following:

a. AU Guideline for SOPs for PKOs; and,

b. AMICA REC/RM or Troop Contributing Countries Guidelines.

MISSION MEDAL

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44. The AU medal ribbon color pattern for AMICA's military component has been approved. Once the medals have been procured, the SRCC or the FC will award them to all authorized military Personnel.

VI. RELATIONS WITH REC/RM and TROOP CONTRIBUTING CONUNTRIES CHANNEL OF COMMUNICATION

45. The channel of communication between the AU and the RECs/RMs and TCCs, concerning their military personnel, contingents or the Mission itself, shall be between the Peace and Security Department (PSD) through AU PSOD and the Member States’ permanent Missions to the AU. Matters of policy or administration may not be taken up directly between the FC or his staff and the contributing RECs/RMs or TCCs. Should RECs/RMs or Member States approach the FC direct on such issues, the FC is to refer them to AUHQ.

46. The FC is requested to inform immediately the Head of AU PSOD, through the SRCC, if it comes

to his attention that participating RECs/RMs or TCCs are issuing directions to national personnel, outside their national prerogatives and competencies, that contradict AU policy or the Mission's operational direction.

VISITS

47. Visits to the military units of the Mission by officials of governments contributing military personnel, as well as other interested States and organizations, shall be arranged through AUHQ in consultation with the SRCC.

VII. RELATIONS WITH MEDIA

48. AMICA would be a subject of media attention. It is therefore desirable that the work of the

military component of AMICA be known and well understood by the public, subject to the information policy laid down by the SRCC, under the direction of the AUHQ. The FC should, therefore facilitate the work of journalists wishing to report about the activities of the military units subject to the guidance of the mission public information staff, be accessible to them without interfering with the discharge of his primary responsibilities and the AMICA mandate.

VIII. CONDUCT OF PERSONNEL

LEGAL PROTECTION

49. All members of AMICA are entitled to the legal protection of the AU, in accordance with the relevant provisions of the Convention on Privileges and Immunities of the UN.

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CONDUCT OF MILITARY PERSONNEL

50. All military personnel assigned to AMICA are under the authority and direction of the FC and are answerable to him/her for their conduct and performance of their duties. In particular, the FC must ensure that all military personnel:

a. Conduct themselves at all times (both on and off duty) in a manner befitting their status

as members of the Mission and that they carry out their duties and regulate their conduct solely with the interest of the AU in view.

b. Refrain from any action incompatible with the aims and objectives of the African Union, as well as the international nature of their duties.

c. Comply with all AU rules and regulations as well as policies, procedures and directives issued by the AUHQ, or by the SRCC, FC and HMS; Respect the laws and regulations and customs of the host nation, Carana, as well as international human rights standards and international humanitarian law and receive adequate training in this area. In this connection, it is imperative that they demonstrate respect for the local population, in particular for vulnerable groups.

d. Respect the impartiality and independence of the AU and exercise the utmost discretion in respect of all matters of official business. Do not communicate to any person any information known to them by reason of their official position; and do not at anytime use such information to their private advantage.

e. Do not seek or accept instructions in regard to the performance of their duties from their respective RECs/RMs or governments or from any other authority external to the AU; Do not receive any form of gift, award or remuneration from any government.

f. Do not receive any form of gift, award or remuneration from any government or organization other than their own, unless authorization is granted by AUHQ.

g. Do not participate in exercises/military activities of the armed elements of the host

country (Carana) or exercises conducted by RECs/RMs on the territory of Carana.

47. The FC should maintain strict control over the personal conduct and military discipline of all military personnel. To assist in this requirement, "Guidance to commanders of AU Military operations Standards of Conduct and Performance criteria" is attached as Annex B.

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48. For the purpose of discharging this responsibility, the FC is authorized to make investigations, conduct inquiries and request information, reports and consultations according to Standard AU procedures. Responsibility for disciplinary action rests with the national authorities. If the FC deems it necessary to repatriate military personnel, in the interest of the Mission and of the African Union; he should recommend this to AUHQ through the SRCC (attention Head of PSOD). 49. The FC must ensure that the code of personal conduct for all members of the military contingents of AU missions is distributed among all military personnel in the mission. ____________________ ________________________________ Head PSOD Commissioner for Peace and Security

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ORGANIZATION OF THE MILITARY COMPONENT OF AMICA

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GUIDANCE TO COMMANDERS OF AU MILITARY OPERATIONS STANDARDS OF CONDUCT AND

PERFORMANCE CRITERIA l. The African Union embodies the aspirations of all people of Africa for peace. In this context, the Constitutive Act requires that all personnel must maintain the highest standards of integrity and conduct. The standards summarized below reflect the standards included in various official issuances of the AU, in particular the AU Staff Rules and Regulations. All participants in a peacekeeping operation must accept special constraints in their public and private lives in order to do the work and pursue the ideals of the African Union. 2. Standards of conduct and effective performance of peacekeeping duties are fundamental to the success of the Military component of an AU operation. The principles that govern these aspects are a matter of order and discipline and commanders at all levels bear responsibility for the conduct and performance of individuals under their command. 3. Commanders play a pivotal role in:

a. Establishing the competencies and responsibilities of subordinates.

b. Ensuring that subordinates are aware of their obligations and that they respect them.

c. Ensuring that violations cease, are thoroughly investigated and that an appropriate disciplinary action is taken.

d. Training their subordinates in their responsibilities as an ongoing part of routine training.

4. The Head of Mission (SRCC) has the overall authority to take appropriate administrative measures where failure to comply with guidelines is encountered. This authority may be delegated to senior staff of the AU Mission. Commanders of the Military Components or team commanders will exercise responsibility in this respect, for their respective national personnel. 5. Commanders must:

a. Ensure compliance with the guidelines on International Humanitarian Law for Forces undertaking PKOs. This will take into account the nature of the AU forces, their powers competencies and mandate.

b. Enforce standards for Human Rights for the applicable sections of the Universal Declaration of Human Rights.

c. Ensure that all personnel comply with the standards established for the conduct of AU Peacekeepers.

APPENDIX I TO ANNEX F TO SERIAL 3 TO EXERCISE NJIWA MANUAL

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d. Ensure that subordinates recognize the needs and interests of the host country and its people and act in accordance with the principles of strict impartiality, integrity, independence and tact.

e. Establish a clear chain of command to ensure that inappropriate conduct and activities are acted upon. This requires a clear linkage of the national responsibilities for discipline and the prerogatives of the AU Commander to ensure appropriate follow-up of incidents.

f. Monitor and investigate all incidents of illegal activities and apply appropriate remedial action.

g. Ensure that all personnel understand the mandate and mission assigned by the Peace and Security Council and that they comply with their provisions.

h. Confirm that extensive and effective pre-service briefings and training have developed an understanding of local customs and practices and respect for the culture, religion, traditions and the gender issues prevalent in the host nation.

i. Ensure respect for local laws, customs and practices where they are not in conflict with mandated activities and the privileges, benefits or immunities the Organization and its officials enjoy or which have been further negotiated and incorporated in the relevant SOMA.

j. Ensure that subordinates respect, manage and care for all material and goods supplied by the AU (radios, vehicles and equipment).

6. Commanders must take immediate action where:

a. Exploitation of the vulnerable (weak) groups, particularly women and children, either through position or financial status has taken place.

b. Excessive consumption of alcohol, the use of or traffic in illegal drugs has occurred.

c. Participation in criminal or illegal activities, such as black marketing or illegal currency speculation, is detected.

7. Commanders must also ensure that Mission personnel neither seek nor receive instructions relating to the performance of their duties from any unauthorized external source. Therefore legitimate communications with national authorities and with the media must be within clearly established guidelines to avoid conflicts.

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8. A clear mechanism must be established for dealing with complaints against AU personnel at the AU, RECs/RMs and national level. This must include a well-defined process for reporting, investigating and follow-up action and should form part of the Mission SOP.

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AMICA Police Concept of Operations


12 August 2011

ANNEX G TO SERIAL 3 TO EXERCISE NJIWA MANUAL

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NB: This document is only an extract of the Police CONOPS to provide the Training Audience key information required for exercise play.

1 AMICA POLICE MANDATE,

1.1 The role of AUPOL in AMICA is to train, mentor and monitor the Carana Security Forces (National Police, Gendarmerie and Border police) through capacity building and providing law enforcement support.

1.2 AMICA Police is to support local authorities to ensure the safety and security of Caranese citizens and to protect civilians against imminent threat of physical violence.

1.3 The AUPOL will assist and support the laying of a foundation for a professional Carana Security Forces that will incorporate the principles of democratic policing in line with the political, social, cultural and economic realities of Carana. The key tasks are to:

1.3.1 Assist Carana Police Force, Border Police and Gendarmerie in the stabilization and enforcement of rule of law in Carana and in particular in Leppko Province;

1.3.2 Assist in key areas of police reform and restructuring through an agreed recruitment plan including selection, vetting and certification procedures. This effort will take into account the existing ethnic divide, in particular between Falin and Tatsi ethnical groups;

1.3.3 Provide guidance and support on the continuous development of a harmonized Carana Police, Border Police and Carana Gendarmerie Strategic Training Plan building on past and ongoing efforts;

1.3.4 Assist in the development and delivery of short term skills enhancement training, and the longer term professional training in all areas of police profession;

1.3.5 Provide continuous mentoring support at key operational service delivery levels;

1.3.6 Provide advice to Carana National Police, Gendarmerie and Border Police as well as other Caranese law enforcement agencies in all aspects of professional policing;

1.3.7 Provide training, mentoring and advising at the Galasi Police Academy and at the Corma national Police NCO School; and

1.3.8 Cooperate with AMICA military component in the training, mentoring and advising of Gendarmerie instructors at the Military Academy-Gendarmerie Section in Galasi.

2 CHALLENGES AND RISKS TO AMICA POLICE

2.1 Resources:

2.1.1 Budget: Lack of predictable and sustainable funds and budgeting support for planning future police operations can lead to failures.

2.1.2 Personnel: The delays in deploying the authorized strength as scheduled may cause serious challenges to mandate implementation.

2.1.3 Training: The inability of Police Contributing Countries (PCCs) to provide readily deployable police expertise to the mission area, as well as lack of proper training needs assessment.

2.2 Organization and Management:

2.2.1 Administration: AMICA’s components must cooperate and collaborate in the mandate implementation.

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2.2.2 Operations: Balancing capacity building and operational support to the Carana National Police and to the Gendarmerie in Carana remains a challenge. AMICA Police must organize its operations to reinforce co-location with Carana National Police and Gendarmerie to institutionalized capacity building programs for the Carana National Police, Gendarmerie, Border Police and other law enforcement agencies.

2.2.3 Logistics and Support: This element will remain a crucial area to ensure efficient and effective mandate implementation. The Police Commissioner must ensure (in close collaboration with donors and partners) that the required logistics and support is provided on time in order to contribute to ongoing efforts.

2.3 Media: The Police component of AMICA must seek to work closely with the media and use the appropriate medium to communicate and inform different groups in Carana of its mandate and seek their support and cooperation to facilitate mandate implementation. Without this support, AMICA Police can run the risk of negative media campaign and loss of confidence.

2.4 Politics: The lack of political support towards the implementation of the BAKA I and II Comprehensive Peace Agreement may result in relapse into conflict.

2.5 Security: Insecurity and residual risks resulting from existence of various organized criminal groups, peace spoilers, splinter groups and violent crimes.

2.6 Rule of Law Actors: Establishing a close working relation with rule of law actors will contribute immensely towards law enforcement efforts. A lack of coordination between law enforcement actors may expose the population to insecurity. Weak rule of law institutions and the criminal justice system, and ethnical divide can hamper the peace process.

2.7 Military/Defence: Duplicating efforts and poor coordination can threaten smooth mandate implementation.

2.8 Civil Society: Widening gap between civil society and security institutions, or grouping of personnel within law enforcement institutions based on the ethnicity may hamper smooth mandate implementation.

2.9 Peace-partners/Government Actors: Non-cooperation between these stakeholders may cause negative impact in the reestablishment of the rule of law.

2.10 Donor Coordination: The inability to ensure proper donor coordination may decrease the much needed support to implement mandated tasks.

2.11 Other Factors:

2.11.1 Lack of economic opportunities for the youth.

2.11.2 The fear of violent crimes.

2.11.3 Poor governmental and political leadership.

3 AU Peace and Security Commissioner's Strategic Intent:

3.1 Objective: To ensure that AMICA Police supports Carana National Police, Border Police and Gendarmerie at the strategic, operational and tactical levels in responding to incidents of crime and lawlessness through training, mentoring and co-location, advising and supporting public order management.

3.2 Method: AMICA’s Police will use its comparative advantages and avoid duplicating efforts by working closely with all partners in the mission. AMICA Police has three core policing capabilities:

3.2.1 Protection of the civilian population;

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3.2.2 Operational support to local law enforcement agencies; and,

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3.2.3 Development, Training, and building of capacity of local police.

3.3 Key tasks: To accomplish these core functions, and within the limits of its Mandate, AMICA Police will in particular seek to undertake:

3.3.1 Support to enhance Carana National police, Gendarmerie fand Border Police supervisory and specialist competencies and practical skill set through advanced training;

3.3.2 Maximize AMICA Police effectiveness to deliver advice, mentoring and training in Galasi Police Academy, Corma NCO School, in the national HQ, as well as in the provincial HQ and in the local police and gendarmerie stations of Mahbek and Leppko Provinces. This will be done by deploying experienced officers to key operational, tactical and decision making levels of Carana national police and Carana Gendarmerie;

3.3.3 Deploy the authorized 4 FPU to provide operational support to local law enforcement authorities; protection to AU personnel, AU infrastructures and properties;

3.3.4 Deploy the authorized AU individual police officers in order to monitor, mentor, advise and train Carana National Police and Gendarmerie and other relevant law enforcement agencies;

3.3.5 Maintain close coordination and collaboration with PSOD with regards to operational support and partners;

3.3.6 Maintain close liaison with the FC and Sector Commanders on security, rule of law and policing issues; and,

3.3.7 Continue to support peace and security in ensuring the protection of civilians under imminent threat to life or physical violence, preventing and investigating sexual and gender-based violence, provision of operational support to Carana National Police and Gendarmerie and remaining a key partner in furthering the rule of law in Carana reflective of international human rights standards and international humanitarian law principles.

3.4 End State: Sustainable progress towards the formation of professional, efficient, community oriented and self-sustaining Police Service in Carana imbued with democratic principles, and capable of ensuring safety, security and protection of citizens of Carana.

4 Strategies of AMICA Police:

4.1 The overall strategy of AMICA Police is to provide capacity building and law enforcement support to the Carana National Police, Carana Border Police and Gendarmerie and other relevant law enforcement agencies in order to consolidate rule of law through enhanced training opportunities and to develop its planning capacity to extend government capability to fight organized crime and ethnic-based extremist groups and enforce respect of minority groups in particular in Leppko province. The overall effectiveness of AMICA’s Police will be monitored through increase activity of Carana National Police and Gendarmerie force and other relevant law enforcement agencies in responding effectively and expeditiously to serious law and order incidents in the area of responsibility, with diminishing reliance on AMICA Military or Police for operational support.

4.2 Phase 1

4.2.1 Objective: To reinforce existing Carana National Police, Border Police and Gendarmerie and other relevant law enforcement agencies. To support structures

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4.2.2 and resource, in particular Galasi Police Academy and Corma Police NCO School, through the deployment of additional IPOs and 4 FPUs. Police advisory and coordination teams to be embedded with Sector HQs in order to support local law enforcement administration, and advice both FC and PC for all RoL and police related matters.

4.2.2.1 Benchmark 1: Vetting of the actual Carana Security Forces personnel and training them as required.

4.2.2.2 Benchmark 2: AU IPOs Monitoring, Mentoring and Training Teams (MMTTs) are detached to the Police Academy in Galasi and to the NCOs Police School in Corma.

4.2.2.3 Benchmark 3: AU Mobile Monitoring, Mentoring and Training Teams (MMMTTs), in coordination with AMICA’s Military Component support the training of Gendarmerie.

4.2.2.4 Benchmark 4: Basic training of Carana National Police and Gendarmerie, Carana Border Police and other relevant law enforcement agencies is completed.

4.3 Phase 2

4.3.1 Objective: To expand AMICA Police’s scope in Leppko Province to support the Carana National Police and Carana Gendarmerie and other relevant law enforcement agencies in the development and implementation of police reform measures, respectful of democratic policing principles and protective of ethnic minority groups.

4.3.1.1 Benchmark 1: Specialized and Advance Training for Supervisory staff of Carana National Police, Gendarmerie force and other relevant law enforcement agencies is undertaken.

4.3.1.2 Benchmark 2: Training is provided to Carana Police and Gendarmerie Riot Control and Public Order Units.

4.4 Phase 3

4.4.1 Objective: AMICA Police assists Carana National Police, Border Police, Gendarmerie and other relevant law enforcement agencies become reliable and effective. The goal would be for these agencies to undertake complete responsibility for the safety and security of all policing and law enforcement functions in Carana on their own. AMICA Police to only provide highly specialized police training and mentoring.

4.4.1.1 Benchmark 1: AMICA Police provides for Mobile Training Teams (MTT) or Mobile Mentoring Teams (MMT) on demand by Carana National Police and Gendarmerie.

5 Operational Directions for AMICA Police:

5.1 Support capacity building and institutional development of the Carana National Police and Gendarmerie and other relevant law enforcement agencies through training, mentoring, advising and pro-active co-location at various levels.

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5.2 Develop and continuously update contingency planning.

5.3 Develop a suitable mechanism to enhance professional capabilities of the Carana National Police and Gendarmerie and other relevant law enforcement agencies system management.

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5.4 Promote the utilization of Quick Impact Projects (QIPs) to assist Carana National Police and Gendarmerie and other relevant law enforcement agencies.

5.5 Work with partner agencies and strategic stakeholders to establish credible and sustainable community policing projects suitable to enhance community involvement, support the mutual understanding and integration process of the different ethnical groups, promote community safety and security, in particular fighting trans-national Rimosa-Carana and Katasi- Carana criminal organized networks.

5.6 Develop and implement a strategic, operational and tactical Monitoring, Mentoring and Training co-location program in Carana Police and Gendarmerie HQ, Provincial HQs and police stations, aimed at transferring skills, knowledge and improving management functions.

5.7 Perform additional duties as may be directed by the SRCC in fulfillment of the mandate.

5.8 Develop and implement a comprehensive internal administrative, human resources, logistics, crime prevention, security and financial strategies, plans and policies, as well as a police strategic development plan that supports Carana Police and Gendarmerie in becoming fully effective and credible organizations that are guided by international principles of democratic policing.

5.9 Provide mentoring support to Carana national Police and national gendarmerie on all aspects of police service delivery operations and professional management.

5.10 Assist Carana Police and Gendarmerie to mobilize and manage resources, and to undertake quick-impact projects (QIPs) to re-equip, rehabilitate and expand police infrastructure.

5.11 The AU FPUs deployed in Carana are structured mobile Police Units providing support to AMICA operations, and ensuring the safety and security of AU personnel and mission. As a cohesive part of the AU Police component, the FPUs work for the establishment and maintenance of safe, democratic and Human Rights compliant communities through delivering professional, responsive and robust policing impartially according to mandate.

5.12 The Formed Police Units (FPU) will provide direct support and assistance to Carana Police and Gendarmerie in law enforcement operations, and will have the following three core tasks:

5.12.1 Public order management, including riot and crowd control and prevention;

5.12.2 Protection of AUPOL, other AU staff, and AU facilities and equipment;

5.12.3 Supporting police operations, including those with high level threat that require a formed response and may involve a higher risk above the general capability of IPOs.

5.13 Upon deployment, the FPU contingents will come under the operational command of the Police Commissioner. Upon deployment the Police Commissioner will delegate the operational command of the FPUs, through the Deputy Police Commissioner, to the AU FPU Coordinator.

5.14 The Police Commissioner, through his Deputy Police Commissioner and the FPU Coordinator, will coordinate with the Force Commander and the Mission HQ in order to enhance interoperability of the Police and Military components in case of operations involving both AMICA military and AMICA Police.

6 Coordination Issues:

6.1 Coordination with Mission Components and other partners, as well as with bilateral partners in accordance with AU guidelines.

6.2 AMICA Police Commissioner shall be part of the mission's Senior Leadership Team. He/She shall be represented in joint mission bodies such as MOC and MAC. He/She shall also coordinate with heads of Field Offices, Mission Sectors and all relevant field actors.

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6.3 AMICA Police Commissioner shall coordinate Police operations with AMICA Force Commander and work closely with him on the use of comparative advantages of both military and AMICA FPUs. Where a situation escalates beyond the capacity of the AU police component, enhanced planning and coordination with the military component will be necessary. If mutual support operations to address situations of public order with FPU personnel and military forces, with or without other security personnel of the mission, are necessary, actions must be coordinated in order to avoid unhelpful interference, misunderstandings or collisions.

6.3.1 Situations of public disorder of a non-military nature: This generally refers to situations of public disorder where there is no sustained use of firearms or military weaponry. In such circumstances, the FPUs should have primacy in addressing such situations in support of or in cooperation with host state law enforcement agencies, as applicable. The Police Commissioner or the Deputy Police Commissioner or FPU coordinator may request personnel of the military component and/or other security personnel of the mission to perform specific missions or tasks. In these situations, the AU Police Officer designated by the Police Commissioner or the Deputy Police Commissioner or the FPU coordinator (or his/her delegate in the incident point) will exercise tactical control and have overall command. The assignment of military personnel must be coordinated with the AU Force Commander (or Sector or Battalion Commander, as applicable).

6.3.2 Situations of public disorder of a military nature: This generally refers to situations of public disorder where there is sustained use of firearms or military weaponry. In such circumstances, units of the military component should have primacy in addressing such situations in support of or in cooperation with relevant host state agencies, as applicable. The Force Commander or sector/unit commander may request FPU personnel and/or other security personnel of the mission to perform specific missions or tasks. In these situations, the most senior Military Commander in location (at the site of the incident) will exercise tactical control and have overall command. The assignment of FPU personnel must be coordinated with the Police Commissioner or with the Deputy Police Commissioner or with the FPU coordinator.

7 Logistics and Support:

7.1 AMICA’s logistics and support concept is based on the integration of AU provided and contingent-owned resources. Most supply, support or service functions are considered common to the mission as a whole and must be provided on an equitable basis, depending on assessed priorities, irrespective of whether the unit supplying the function or being provided with the services is comprised of military, police or civilian personnel.

7.2 AMICA FPUs must possess adequate logistic self-sustainability.

7.3 The Chief of Mission Support has overall responsibility for providing AMICA’s police component with adequate administrative and logistics support.

8 Organization of AMICA’s Police Component. See Annex A of AMICA’s Mission Implementation Plan.

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DIRECTIVE FOR THE POLICE COMMISSIONER OF AMICA


03 September 2011

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TABLE OF CONTENTS

1. Introduction 3

2. Authorization 3

3. Tasks of AMICA 3

4. Organizational matters 4

5. The Head of Mission 5

6. Head of Mission Support 5

7. The relation between PC and FC 5

8. PC’s delegated authority and responsibility 6

9. Reporting and communications 8

10. Use of force and firearms 9

11. Archives 9

12. Instructions from the PC 9

13. Communication with PCCs 10

14. Respect for local laws 10

15. Privileges and immunities 10

16. Public information and media coverage 10

17. Core values and competencies 11

18. Code of conduct 11

19. Administrative matters 13

20. Entry into force 14

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References:

A. Communiqué of the 660th meeting of the Peace and Security Council, 30 August 2011 [PSC/PR/Comm (CLX) ]

B. Baka Comprehensive Agreement

C. Baka II Comprehensive Agreement

D. Directives on Use of Force and Firearms by the AMICA Police.

E. The Policy Framework of the African standby Force

I. INTRODUCTION

1. The following directive applies to the Police Commissioner of the Police Component of the African Union Mission in Carana (AMICA). The directive is applicable to all members of AMICA Police component under the direct command and control of the AMICA Police Commissioner.

2. The directive shall be applied in conjunction with African Union (AU) Policy documents on Peace Support Operations (PSO) and the African Standby Force (ASF) policies and procedures for the planning, launching and management of peacekeeping operations and any other directives, rules and regulations or administrative instructions that are issued by African Union.

II. AUTHORIZATION

3. The Peace and Security Council (PSC) of African Union authorized the African Union Mission in Carana (AMICA) by the Communiqué Number 660 of the meeting of the PSC held on 30 August 2011. The authority and functions of the civilian police component are derived from the aforementioned Communiqué.

4. The AU Civilian Police is authorized to continue its tasks until the PSC terminated its mandates. The mandate is subject to further extension, based on PSC decision following report to be submitted by the Chairperson.

5. The Chairperson appoints the Police Commissioner (PC) of Civilian Police. The PC will be the head of Civilian Police and as such, is responsible for the implementation of its mandate. The PC has the authority over all African Union police activities in the mission area in support of AMICA’s mandate.

6. The objective of this Directive is intended to provide a general framework of guidance to the AMICA Police Commissioner (PC) and to facilitate the day to day administration and operations of the Police Component of AMICA.

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III. TASKS OF AMICA POLICE

7. Pursuant to PSC Communiqué Number 660 dated 30 August 2011 which mandated the mission, the Police Commissioner shall be guided by the strategic objective of the mission to assist in the establishment of Rule of Law and Order in Carana. The AMICA Police will therefore perform the following tasks:

a. Assist the Caranese Police Force in public order management and crowd control;

b. Provide support to the Caranese Gendarmerie in the control of fraud, organized crime and corruption.

c. Monitor, mentor and advise the police of Carana, with priority to the areas of greatest civil instability, consistent with democratic policing and international standards, including mechanisms to build integrity and address corruption.

d. Provide security support, with the particular assistance of members of FPU, and to perform limited law enforcement duties when requested by the Caranese Police.

e. Provide close protection to Human Rights and Diamond Commissions and any other strategic installations that will be prescribed by the SRCC in conjunction with the Caranese government.

f. Support the investigation of violations of human rights that are alleged to have taken place in the Leppko and Mahbek Provinces of Carana.

g. Exercise the right to protect civilians under threat of physical danger.

h. Facilitate the provision of humanitarian assistance, including by helping to establish the necessary security conditions.

i. Assist the Government of Carana in conjunction with other international partners to develop a strategy to consolidate governmental institutions, including a national legal framework and judicial and correctional institutions.

j. Establish in conjunction with the Government of Carana, a Reform and Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie).

k. Develop a civilian police training program, a Gendarmerie training program and a Police Border training program in cooperation with interested organizations and interested States.

l. Ensure that the Police Component plays a coordinating role, with other Key Mission elements including the host nation and the UNCT in furtherance of AMICA Police mandate.

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IV. ORGANIZATIONAL MATTERS

8. The PSC decided that AMICA will consist of up to 750 personnel consisting of individual police officers and four Formed Police Units each of company strength 140 to deploy within 90 days to assist in the maintenance of public law and order.

V. SPECIAL REPRESENTATIVE OF THE CHAIRPERSON OF

THE AFRICAN UNION COMMISSION (SRCC)

9. The Chairperson appoints a Special Representative (SRCC) who will be the head of AMICA. The SRCC enjoys the maximum civilian executive powers, which are envisaged and vested in him by the Communique [PSC/PR/Comm (CLX)]. The SRCC has the final authority on its interpretations.

10. The PC reports to the SRCC.

11. The PC is required to maintain the closest possible working relationship with the SRCC, the DSRCC and the other members of AMICA staff, including the Head of Mission Support. These officials and others that may from time to time report to the SRCC should be kept fully informed about the organization, deployment and operations of the police component.

VI. HEAD OF MISSION SUPPORT

12. The Head of Mission Support is responsible for the facilitation of support to the mission. He/she will assist the PC in the exercise of his/her administrative responsibilities. Under the overall authority of the SRCC and responsible for:

a. All administrative functions and all general, logistical and technical services relating to AMICA, and for providing the requisite administrative support to carry out the substantive work of the mission effectively, efficiently and economically.

b. All administrative and financial certification.

c. The proper implementation of the rules, regulations and instructions issued by the African Union, with respect to the administration and finance of the mission.

13. The PC should keep the Head of Mission Support informed of all operational aspects of the work of the Police Component that may have administrative, financial or logistic implications.

VII. RELATIONSHIP BETWEEN THE POLICE COMMISSIONER

AND THE FORCE COMMANDER

14. Although the Force Commander (FC) and the PC command separate components within AMICA, they work towards the same goals in order to meet the overall mandated

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15. objectives. Hence, they should closely coordinate their work and cooperate with one another, particularly in the sharing of information, as well as contingency planning.

VIII. POLICE COMMISSIONER’S DELEGATED

AUTHORITY AND RESPONSIBILITY

16. The Police Component of AMICA is headed by the PC who is vested with its command and overall direction. The PC reports to the SRCC. He/she is responsible for the direction, supervision and the discipline of the African Union Police Officers in the mission.

17. By virtue of his/her office, the PC is a member of the Mission's Senior Leadership Team (MSLT), which is chaired by the SRCC.

18. The PC is required to maintain the closest possible working relationship with the SRCC, D/SRCC, Head of Mission Support as well as other senior staff members. These officials and others that may from time to time report to the SRCC who should be kept fully informed about the organization, deployment and operations of the Police Component of AMICA.

19. The PC shall establish a consolidated and unified African Union Police Headquarters in Leppko. The Police Headquarters contain the offices of the Police Commissioner and AMICA Police Headquarters staff and shall provide overall management of the work of the AMICA Police Officers and coordination among the other components of AMICA.

20. The PC has the right to assign AMICA Police Officers, considering their background, skill, qualification and experience, to appropriate duties, responsibilities and/or positions within the AMICA Police Component structure as he/she deems right. National and gender balance shall be taken into account during the assignments of AMICA Police Officers.

21. The PC is required to hold regular interactive meetings with National Contingent Commanders in order to discuss professional and welfare matters. One copy of the minutes of these meetings must be prepared and held in the archives of the Police Commissioner's Office and another forwarded to the African Union Commission. All contingent commanders would be expected to provide the PC with an End of Mission Report (EoMR).

22. Authority and responsibility delegated to the PC are as follows:

a. The PC is responsible for the overall administration, operations, organization and

smooth functioning of the Police Component of AMICA.

b. He/she must strictly comply with all applicable AU Rules, Regulations, Directives and other issuances. He/she shall strictly comply with the Guidelines, as well as the applicable Standard Operating Procedures for the Police Component of the Mission.

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c. He/she will develop the Mission Statement in accordance with the overall objectives of AMICA mission and provide/reiterate this to all AMICA Police Officers.

d. The PC exercises operational authority over all components of African Union Police Officers assigned to AMICA. He/she may deploy the police resources of AMICA within the approved area of responsibility (AOR), as he/she deems necessary. All African Union Police Officers in leadership of supervisory role and responsibility are accountable to the PC through the established chain of command for the conduct and the performance of their respective duties.

e. The PC is responsible for the maintenance of good order and discipline of the Police Component of AMICA. He/she is to ensure strict adherence to the Standard Operating Procedures of the Police Component of AMICA, the Code of Conduct, including to the standards on sexual exploitation and abuse, by the personnel under his/her command, the Police Commissioner is authorized to undertake investigations, make inquiries and request information, reports and consultations, for the purpose of discharging his/her responsibilities. He/she is responsible for developing and implementing a strategy to prevent, identify and respond to sexual exploitation and abuse by members of the AMICA Police Component, in coordination with other Mission components. If the Police Commissioner considers it necessary to repatriate police personnel, in the interest of AMICA and the African Union, he/she is to recommend this to the SRCC, for subsequent approval by the Commission which shall take up the matter with the concerned government of the PCC.

f. The PC shall assist, as needed, the Commission in identifying and recruiting qualified police officers offered by PCCs that are suitable for deployment to AMICA

g. The PC shall stimulate the production and collection of best practices and lessons learned materials relating to the AMICA Police Component, such as guidelines, after action reports, evaluations, standard operating procedures, rules of engagement and personal statements. The PC shall work in close coordination with the Mission's Best Practices Officer, if appointed in all areas related to best practices and lessons learned including participation in knowledge management networks or activities and dissemination of best practices materials to Police personnel.

h. The PC shall make him/herself accessible to rank and file. His/her Office must make special provision for all incoming police officers to call on him/her at the earliest opportunity, or/and alternatively he/she shall make himself/herself available to meet and address all new AMICA Police arrivals within five days of their arrival in the Mission area.

i. The PC shall ensure that police officers are routinely trained in HIV/AIDS awareness and prevention. In coordination with the designated AMICA HIV/AIDS

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j. Policy Adviser, the Police Commissioner shall assign HIV/AIDS peer educator focal points.

k. The PC shall regularly plan field visits to appraise him/her of field realities and the needs of personnel on the ground.

l. The PC shall encourage the organization of regular interactive and mutually learning workshops in the areas of Mentoring, Training and Development, Police Reform and Restructuring, Monitoring, Advising, Planning, Crime Prevention, safety and security, Community Policing, Media Relations, Gender Equality and Women's Rights, Staff Welfare, Personnel Policies, Code of Conduct including Sexual Exploitation and Abuse, Lessons Learned and Best Practice and other issues which have a strategic or operational bearing on police performance.

m. Unless otherwise instructed by the SRCC, the PC must be present at all briefings held with personnel from the African Union Commission. In exceptional circumstances, such as absence from the Mission's Headquarters, the PC may designate a representative on his/her behalf. In addition, relevant AU Police Personnel should also be encouraged to participate.

n. The PC must ensure that every AMICA Police Officer receives a hard copy and/or an electronic copy of the applicable Standard Operating Procedures and AMICA /AU Identification Card for African Union Police Officers on assignment with AMICA no later than three (3) days after his/her arrival in the mission area.

IX. REPORTING AND COMMUNICATIONS

23. The Chairperson of the Commission reports regularly to the Peace and Security Council and other African Union Organs on the activities of AMICA. The SRCC is responsible for reporting regularly to the AU Commission on the activities of AMICA. The Police Commissioner through the SRCC shall prepare such reports as: Daily and Weekly Reports; Special Reports; Bi-Annual Reports; and Endof-Assignment Reports to keep the AU fully informed on developments relating to the AMICA Police Component.

24. End-of-Assignment Report: The PC shall submit to the Commission through the SRCC, an End-of-Assignment report upon completion of his/her field appointment. The report should cover the following aspects:

a. A review of the overall situation.

b. An assessment of the progress in the implementation of the mandated tasks, plans and other internal matters, namely: personnel, discipline, administration, logistics, strategies, initiatives, promotion of gender equality and women's rights in policing, good practices, lessons learned, partnerships with community, limitations, constraints and other matters.

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c. The report should be candid, highlighting accomplishments versus objectives in the following critical success factors/areas of security and AMICA Police capacity building activities and development:

(1) Overall security situation

(2) Police vetting, selection, recruitment and training

(3) Police reform, restructuring and development

(4) Police re-equipment and recapitalization and general conditions of service

(5) Coordination with other stakeholders

(6) Challenges encountered and other limiting factors, how they were resolved and recommendations for follow up decisions and actions to improve the performance and management of the local Carana police and other law enforcement agencies.

d. The PC is encouraged to make recommendations for the improvement of the effectiveness and efficiency of the AMICA Police Component. This report should be submitted to the Commission through the HoM two (2) weeks prior to the last day of assignment of the PC. This does not replace the submission of bi-annual or quarterly reports by the PC.

25. Interference from PCCs and RECs/RMs. The PC is required to immediately inform the SRCC, if it comes to his/her knowledge that participating Member States or RECs/RMs are issuing directions to their personnel, outside their national or REC/RM prerogatives and competencies that contradicts mission policy or operational direction.

26. Communication with the Peace Support Operations Division (PSOD). The PC shall submit routine reports on a daily, weekly and monthly basis to the PSOD and copied to the HoM. In addition, the PC is required to submit daily establishment (strength) reports and rotation plans of incoming and outgoing police personnel to the PSOD.

27. Performance Appraisals. The PC shall evaluate all AMICA Police Officers' performance in accordance with the Standard Operating Procedures on Performance Appraisals for African Union Police Officers and ensure copies of performance evaluation reports are sent to the PSOD.

X. USE OF FORCE AND FIREARMS

28. The Use of Force and Firearms for the Formed Police Unit within the police component will be regulated in accordance with International Human Rights Standards, as will be elaborated in AMICA instruction on use of force and firearms. These internationally recognize standards provide the sole authority for the use of force and firearms. It also

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29. explains the policy, principles, responsibilities, definitions for the minimum use of force and firearms. The PC must ensure strict adherence to these standards.

XI. ARCHIVES

30. The PC shall ensure that all documents issued by his/her office must be archived electronically or otherwise and maintained in a designated secured facility for the purpose inter alia of institutional memory.

XII. INSTRUCTIONS FROM THE POLICE COMMISSIONER

31. The Police Commissioner is required to draw-up mission specific instructions to complement, as required by the guidelines and the Standard Operating Procedures for AMICA Police Officers.

XIII. COMMUNICATIONS WITH POLICE CONTRIBUTING COUNTRIES

32. The channel for communication between the African Union and the Police Contributing Governments or RECs/RMs, as the case may be, concerning their contingents, or mission itself, shall be between AU Commission and the Member State's Permanent Missions to the African Union or the RECs/RMs as appropriate. Matters of policy or administration must not be taken up directly between the AMICA Police Commissioner and the PCCs or RECs/RMs.

XIV. RESPECT FOR LOCAL LAWS

33. All AMICA Police Officers shall respect the legislation of the Republic of Carana. In exercising their functions, the police officers shall observe internationally recognized human rights standards, and shall not discriminate against any person on any grounds, such as sex, race, color, language, religion, political or other opinion, national, ethnic or social origin. The PC shall ensure that all personnel under his/her command observe this directive.

XV. PRIVILEGES AND IMMUNITIES

34. AMICA Police Officers are entitled to privileges and immunities in the performance of their AU duties under the General Convention on the Privileges and Immunities of the African Union and Additional Protocol to the AU General Convention on Privileges and Immunities, and as provided for in the Status of Mission Agreement (SOMA) concluded between African Union and the Government of the Republic of Carana.

XVI. PUBLIC INFORMATION AND MEDIA COVERAGE

35. AMICA will be the object of local and International media attention. It is vital that its work and activities are known and well understood by the local Caranese population and partners, AU partners and the international community, subject to the public information policy laid down by the HoM. The PC shall therefore encourage and facilitate the work of media practitioners wishing to report on the activities of the AMICA Police Component and in consultation with the AMICA Public Information Office, be accessible to them to the

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extent possible, without interfering with the discharge of his/her primary responsibilities and the mission mandate.

36. Under the guidance of the SRCC, the Public Information Office is entrusted to provide public information support for major mission thematic areas, including the Police Component of AMICA, in order to assist in communicating vital information to the local public and international community, build public trust and galvanize public support for the peace process. The PC may wish to designate a special focal point within his/her office to ensure close liaison with Public Information Office in order to advance the AMICA Police Component's operational and policy goals.

XVII. CORE VALUES AND COMPETENCIES

37. It shall be the responsibility of the PC to ensure that all police officers are inducted and informed of AMICA Police competencies as laid out in the Standard Operating Procedures on Performance Appraisals for African Union Police Officers. Competencies refer to a combination of skills, attributes and behaviors that are directly related to successful performance of the job in AMICA. Competencies are important both for the mission and the officers and supervisors, in order to build and develop the AU Police Component of the mission and meet challenges.

XVIII. CODE OF CONDUCT

38. The Following is based on internationally accepted standards of conduct for police professionals and reflects the attitudes and behaviors expected of AU Civilian Police Officers within AMICA. The standards of the conduct are to be considered as a written order applicable to all Civilian Police personnel. Failure to adhere to any section of this code will be enough ground for administrative removal from AMICA.

a. Conduct Unbecoming of Civilian Police Officer. It is incumbent upon all police officers to display a public image that is without tarnish and reflects favorably on the image of the African Union. Therefore, Civilian Police are expected to refrain from behavior that could adversely affect their credibility, professional image or impartiality, which is critical to the mission. Civilian Police shall conduct themselves in a professional manner both on and off-duty. Civilian Police shall neither engage in political activity within the mission area, nor shall they publicly express any preference for any political, religious or ethnic entity within the mission area. Civilian Police shall respond to all requests for assistance in a fair and impartial manner.

b. Intoxication in Public. AMICA Civilian Police personnel should not drink alcoholic beverages while on duty. They shall not also appear in uniform in public in a state of intoxication. In addition, members of Civilian Police shall exercise restraint in their consumption of alcohol while off-duty, remembering that Civilian Police at all times represent both the AU and their home countries. Any member of AMICA Civilian Police who consumes alcohol to such a level that he/she may behave in an unseemly or inappropriate manner will be deemed to be in violation of this directive.

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c. Illegal Use of Narcotics or Drugs. No member of Civilian Police shall at any time deal, consume or possess any illegal drug, narcotics, marijuana, any regulated substances or their derivatives. Violation of this directive is ground for immediate removal from the mission area.

d. Acceptance of Gratuities. Civilian Police shall not use or attempt to use their position for private advantage and shall not accept any gratuity or gift in kind of cash which go beyond courtesy. Therefore, it is unacceptable for Civilian Police to accept items of value, honor, decoration, favor or gift from any government or local personnel without prior approval from the SRCC.

e. Attending or Soliciting Sexual Services from Places of Prostitution or Trafficked Persons. No Civilian Police member shall in any place within the mission area procure the services of a trafficked person or visit any proprieties or establishments known for or suspected of promoting prostitution or the trafficking of persons unless their presence is in conjunction with the conduct of official operations which have prior approval of the responsible commander. Any violation of this directive will result in a disciplinary action amounting to repatriation.

f. Relationship with National Citizens. It is imperative that Civilian Police personnel remain objective in the performance of their duties. The development of personal relationships with members of the local community that may come into contact with Civilian Police on a professional basis can damage that objectivity and must be handled with extreme caution and discretion. The norms and behavior appropriate in the home country of each Civilian Police member may not be accepted or tolerated in host country. No relationship with any local personal shall cause a Civilian Police to compromise the objectivity, impartiality and integrity of Civilian Police in the proper performance of his/her duties. No relationship with local personnel shall lead to any substantiated complaint pertaining to sexual advances. AU does not encourage and tolerate any such relationships with locals in the host country.

g. Professional Behavior Requirements. All members of Civilian Police shall conduct themselves professionally within the organization and will adhere to established rules and regulations set forth by the Police Commissioner. They shall observe the following regulations:

(1) Failure to Obey Lawful Order. In order to ensure that the tasks of Civilian Police are carried-out as required, it is necessary for each police officer to be responsive to the orders issued by superiors. Failure to obey lawful order/s without justifiable cause or reason will be considered a major breach of the code of conduct.

(2) Discriminatory Conduct. All members of Civilian Police shall show respect for each and every member of the AU organization including the local staff. No behavior that is construed to be

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(3) offensive, oppressive, abusive, discriminatory or likely to cause offense or humiliation will be tolerated. Discrimination against any member of Civilian Police on the basis of sex, race, ethnic background or religion will not be tolerated. Any person who is deemed to have discriminated against any individual Civilian Police will be in violation of the code of conduct.

(4) Use of Foul or Obscene Language or Gestures. At no time shall any Civilian Police utilize foul, obscene, vulgar or otherwise offensive speech or gesture that could be considered to be verbally abusive to any other member of the mission or with any member of the public. Civilian Police members shall at all times conduct themselves in a manner consistent with the high level of professionalism expected of Civilian Police personnel.

(5) Assault or Physical Abuse and Violence. Except in justifiable cases of self-defense or in cases of the defense of the weak and helpless, no Civilian Police shall parktake in any physically combative situations whether it is with Civilian Police personnel or members of the local population. Any substantiated complaint of physical violence against anyone wherein Civilian Police member as a prime actor will result in his/her immediate repatriation.

(6) Sexual Harassment. It is incumbent upon all members of Civilian Police to conduct themselves properly at all times and for their conduct to be above reproach. It is imperative that any relationships that may develop among members of the International Community are with mutual consent. No Civilian Police interactions with International Community or local personnel should ever be construed by either party to be in the nature of sexual harassment.

XIX. ADMINISTRATIVE MATTERS

39. It shall be the responsibility of the PC to ensure that all AMICA Police Officers comply and abide by the Code of Conduct as well as disciplinary procedures as laid out in the Guidelines for AMICA Police Officers, Standard Operating Procedures for AMICA Police, Policy on Sexual Abuse and Exploitation, and/or any Mission Directives or Instructions that may be issued from time to time.

40. The PC shall formulate appropriate Standard Operating Procedures for the AMICA Police based on the guidelines provided within fourteen (14) days of arrival into the mission area.

41. The AMICA Police Component shall establish an internal investigation unit to assist in the conduct of preliminary investigations. This unit should also assist in:

a. Establishing and maintaining an information management system on misconduct allegations and cases relating to police officers.

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b. Producing regular reports on allegations in cases of misconduct, including sexual misconduct relating to police officers.

c. Assist in the development of training materials on disciplinary procedures for the police component and the prevention of acts of misconduct.

d. Analysis of the effectiveness of preventing, identifying and responding to acts of misconduct.

e. The development, implementation, monitoring and evaluation of mechanisms to strengthen accountability for misconduct by AU Police officers.

42. The PC shall ensure that all plans and preparations for rotations of AMICA Police Officers are done at least three (3) months before the end of tour of duty of the outgoing contingent officers. The list of names of the incoming contingent officers must be received into the mission at least three (3) months before the end of tour of duty of the outgoing contingent officers. This will ensure a smooth transition and prevent vacuums in service delivery or breaks of already running programmes.

43. The PC shall maintain very close liaison with the Head of Mission Support, Chief of Finance Officer, AU Peace and Security Department and Finance Division at least fourteen (14) days before the due date of payment of allowances to AMICA Police Officers in any given month during their tour of duty in the mission to ensure that the allowances and/or salaries are paid by the due date to avoid delays in payment . To this end all financial records such as duty attendance rosters must be forwarded to the Head of Mission Support within sufficient timelines to allow for a smooth running of the payment process.

44. The PC shall ensure that all AMICA Police Officers arriving into the mission area undergo a thorough induction training course covering the mandated tasks, operations, safety and security, Code of Conduct, Standard Operating Procedures, Sexual Abuse and Exploitation, Caranese Police Force, Customs and Traditions of the Caranese people and any other mission directives and/or instructions.

45. The Police Commissioner shall also ensure and arrange for regular training of AMICA Police Officers to improve their performance. The PC shall designate one of the Police Coordinators as a Best Practices Officer to identify record and disseminate all Incidents of best practices to promote cross pollination of ideas and improve performance of all AMICA Police Officers.

XX. ENTRY INTO FORCE

This Directive shall come into effect on deployment of the mission (3rd September 2011). -------------------------------------- Head PSOD Commissioner, Peace and Security

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Annex A

Organization of the Police Component of AMICA

ORGANIZATION OF THE POLICE COMPONENT OF AMI|CA

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STATUS OF MISSION AGREEMENT

BETWEEN

THE GOVERNMENT OF CARANA

AND

THE AFRICAN UNION COMMISSION

Addis Ababa, 31 August 2011

SERIAL 4 TO EXERCISE NJIWA

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STATUS OF MISSION AGREEMENT BETWEEN THE GOVERNMENT OF CARANA AND THE AFRICAN UNION COMMISSION ON THE AFRICAN UNION MISSION IN CARANA This Agreement is made and entered into this Thirty first day of August in the year Two Thousand and Eleven between the Government of Carana, (hereinafter referred to as “the Government”) on the one hand, and the African Union on the African Union Mission in Carana (hereinafter referred to as “the Mission”) on the other hand. WHEREAS the Government of Carana and the Commission of the African Union: Seeking to promote peace and stability in Carana in accordance with International Law, the Charter of the United Nations and the Constitutive Act of the African Union; Reaffirming the principles of strict respect for the sovereignty, territorial integrity and political independence of Carana; Recalling the Communiqué of the Peace and Security Council (PSC) of the African Union of 30 August 2011, authorizing the AU to extend its integrated Peace Support Mission in Carana for a period of six months which may be extended by six month increment at the PSC’s discretion, to achieve the establishment, in conjunction with the Government of Carana, of a safe and secure environment in Mahbek and Leppko Provinces; Determined to give effect to the PSC decision on the deployment of an African Union Mission in Carana; NOW THEREFORE the Government of Carana and the Commission of the African Union; HAVE AGREED as follows: CHAPTER 1 – GENERAL PROVISIONS Article I: Definitions 1. For the purpose of this Agreement:

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a. “AMICA” shall mean the Africa Union Mission in Carana, whose establishment was mandated by the Peace and Security Council at its 660th meeting held in Addis Ababa on 30 August 2011.

b, “Members of AMICA” shall mean members of the Military, Police and Civilian components of the Mission;

c. “Government” shall mean the Government of Carana;

d. “Territory” shall mean the territory of the Government of Carana;

e. “Mission” shall mean AMICA;

f. “Headquarters” shall mean any plot of land or any building situated on Carana territory, made available to the Mission for use within the framework of the activities of the Mission or as accommodation for the members of AMICA on lease or on loan, as well as any plot of land or building situated on the territory of Carana and used temporarily by the Mission for its meetings.

g. “Special Representative of the Chairperson of the African Union Commission” (SRCC) shall mean the person appointed by the Chairperson of the Commission to represent him in Carana and also head the Mission.

h. “Contractors” shall mean persons other than members of AMICA, engaged by the AU, including juridical as well as natural persons and their employees and sub-contractors, to perform services for AMICA and/or to supply equipment, provisions, supplies, materials and other goods, including spare parts and means of transport, in support of AMICA activities. Contractors for the purpose of this Agreement shall be other than Carana nationals resident in Carana. Such contractors shall not be considered third party beneficiaries to this Agreement. i. “PSC” shall mean the Peace and Security Council of the African Union.

j. “Vehicles” shall mean civilian, police or military vehicles in use by the AU and operated by members of AMICA, participating states or contractors in support of AMICA activities.

k. “Vessels” shall mean civilian, police or military vessels in use by the AU and operated by members of AMICA, participating states or contractors in support of AMICA activities.

l. “Aircraft” shall mean civilian, police or military aircraft in use by the AU and operated by members of AMICA, participating states or contractors in support of AMICA activities.

m. “Participating State” shall mean a State contributing personnel to the military, police or civilian component of AMICA.

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n. “AU Convention” shall mean the AU Convention on Diplomatic Privileges and Immunities of 25 October 1965.

Article II: Application of the Present Agreement 2. Unless specifically provided for otherwise, the provisions of the present Agreement and any obligation undertaken by the Government or any privilege, immunity, facility or concession granted to AMICA or any member thereof shall apply in Carana only. Article III: Application of the AU Convention 3. AMICA, its property, funds and assets and its members, including the SRCC and members of the Mission, shall enjoy the status, privileges and immunities specified in the present Agreement as well as any other applicable instrument of international law, including the AU Convention on Diplomatic Privileges and Immunities. However, these provisions are not applicable to Carana nationals. CHAPTER II - MANDATE OF AMICA Article IV: Mandate of AMICA 4. The PSC at its 660th Meeting held on 30 August 2011, authorized the conduct of AMICA, mandating it to provide support to the Government of Carana for the furtherance of dialogue and reconciliation in the Baka I and II Comprehensive Agreement processes and establish in conjunction with the Government of Carana a safe and secure environment in Mahbek and Leppko Provinces. In carrying out its mandate, AMICA will be authorized to exercise its right to self-defence including the right to protect its personnel, installations and equipment and vulnerable civilians. 5. In this respect, the deployment of AMICA with a military component not exceeding 3000, a Police Component not exceeding 750 personnel, and a Civilian Component was authorized. CHAPTER III - STATUS OF AMICA Article V: Legal Personality 6. The Government recognizes the legal personality and legal capacity of AMICA in Carana. Article VI: Conduct of AMICA personnel 7. Privileges and immunities are accorded to AMICA and its members in the interests of efficient and independent fulfillment of the Mission's tasks and not for the personal benefit of the individuals concerned. Without prejudice to their privileges and immunities, AMICA and its members will take all appropriate steps to ensure respect for and compliance with the laws and regulations of Carana.

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8. Without prejudice to the Mandate of AMICA and its international status:

a. The African Union shall ensure that the mission conducts its operation in Carana with full respect for- and that the members of AMICA comply fully with- the principles and rules of the applicable international Conventions. These international Conventions include international human rights law, the four Geneva Conventions of 12 August 1949 and their Additional Protocols of 8 June 1977, as applicable, as well as the Vienna Convention on Diplomatic Relations of 18 April 1961and the AU Convention on Diplomatic Privileges and Immunities.

b The Government of Carana undertakes to treat, at all times, the members of AMICA with full respect for the principles and rules of the applicable international conventions, including the Vienna Convention on Diplomatic Relations of 18 April 1961and the AU Convention on Diplomatic Privileges and Immunities.

9. AMICA and the Government of Carana shall therefore ensure that members of their respective military, police and civilian personnel are fully acquainted with the principles and rules of the above mentioned international instruments. 10. The Government undertakes to respect the international nature of AMICA while AMICA similarly undertakes to respect the sovereignty and territorial integrity of Carana. Article VII: AU Flags, Markings and Identification 11. The Government recognizes the right of AMICA to display within its territory, the AU flag on its headquarters, camps or other premises, vehicles, vessels and aircraft as may be deemed necessary by the SRCC. 12. Vehicles, vessels and aircraft of AMICA shall carry a distinctive identification, “AU”, which shall be notified to the Government. Article VIII: Communications 13. AMICA shall enjoy the facilities in respect to communications and shall, in coordination with the Government, use such facilities as may be required for the performance of its task. 14. In the light of paragraph 13 above, AMICA shall:

a. Have the right to establish, install and operate AU radio stations under its exclusive control to disseminate to the public in Carana, information relating to its mandate. Programs broadcast on such stations shall be under the exclusive editorial control of AMICA and shall not be subject to any form of censorship. AMICA will make the broadcast signal from such stations available to the state broadcaster upon request, for further dissemination through the state broadcasting system. Such AU radio stations shall be operated in accordance

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with the International Telecommunication Convention and Regulations. The frequencies on which such stations may operate shall be decided upon in cooperation with the Government. If no decision has been reached fifteen (15) working days after the matter has been raised by AMICA with the Government, the Government shall immediately allocate suitable frequencies for use by such stations. AMICA shall be exempt from any taxes and or fees for the allocation of frequencies for use by its stations, as well as from any taxes on, or fees for their use.

b. Have the right to disseminate to the public in Carana, information relating to its mandate, through official printed materials and publications, which AMICA may produce itself or through private publishing companies in Carana. The content of such materials and publications shall be under the exclusive editorial control of AMICA and shall not be subject to any form of censorship. AMICA shall be exempt from any prohibitions or restrictions regarding the production or the publication or dissemination of such official materials and publications, including any requirement that permits be obtained or issued for such purposes. This exemption shall also apply to private publishing companies in Carana which AMICA may use for the production, publication or dissemination of such materials or publication.

c. Have the right to install and operate radio sending and receiving stations, as well as satellite systems, in order to connect appropriate points within the territory of Carana with each other and with the AU offices in other countries, and to exchange telephone, voice, facsimile and other electronic data with the AU global telecommunications network. Such telecommunication services shall be operated in accordance with the International Telecommunication Convention and Regulations. The frequencies on which such services may operate shall be decided upon in cooperation with the Government. If no decision has been reached within fifteen (15) working days after the matter has been raised with the Government by AMICA, the Government shall immediately allocate suitable frequencies for use by such stations. AMICA shall be exempt from any taxes on, and fees for the allocation of frequencies for use by such stations, as well as from any taxes and or fees for their use. d. AMICA shall enjoy the right to unrestricted communication by radio (including satellite, mobile, V/Sat and handheld radio), telephone, electronic mail, facsimile or any other means, and of establishing the necessary facilities for maintaining such communications within and between premises of AMICA, including the laying of cables and land lines and the establishment of fixed and mobile radio sending, receiving and repeater stations. The frequencies on which the radio will operate shall be decided upon in cooperation with the Government. It is understood that connections with the local system of telephone, facsimile and other electronic data may be made only after consultation and in accordance with arrangements with the Government, it being understood that the use of the local system of telephone, facsimile and other electronic data will be charged at the most favourable rate.

e. AMICA may make arrangements through its own facilities for the processing and transport of private mail addressed to or emanating from members of

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AMICA. The Government shall be informed of the nature of such arrangements and shall not interfere with or apply censorship to the mail of AMICA or its members.

Article IX. Travel and Transport 15. AMICA, its members as well as contractors, together with their property, equipment, provisions, supplies, materials and other goods, including spare parts, as well as vehicles, vessels and aircraft, including the vehicles, vessels and aircraft of contractors used exclusively in the performance of their services for AMICA, shall enjoy full and unrestricted freedom of movement without delay throughout Carana by the most direct route possible, without the need for travel permits or prior authorization or notification, except in the case of movement by air, which will comply with the customary procedural requirements for flight planning and operations within the airspace of Carana as promulgated and specifically notified to AMICA by the Civil Aviation Authority of Carana. This freedom shall, with respect to large movements of personnel, stores, vehicles, ships or aircraft on roads, through seaports and airports used for general traffic within the territory, be coordinated with the Government. The Government undertakes to supply AMICA, where necessary, with maps and other information, including locations of mine fields and other dangers and impediments, which may be useful in facilitating its movements and ensuring the safety and security of its members. 16. Vehicles shall not be subject to registration or licensing by the Government provided that all such vehicles shall carry the third party insurance required by relevant legislation. AMICA shall provide to the Government, from time to time, updated lists of AMICA vehicles. 17. AMICA and its members as well as contractors, together with their vehicles, vessels and aircraft, including vehicles, vessels and aircraft of contractors used exclusively in the performance of their services for AMICA, may use roads, bridges, canals and other waters, port facilities, airfields and airspace without the payment of dues, tolls or charges, including wharfage and compulsory pilotage charges. However, AMICA will not claim exemption from charges, which are in fact charges for services rendered, it being understood that such charges for services rendered will be charged at the most favourable rates. Article X: Privileges and Immunities of AMICA 18. AMICA, a subsidiary body of the AU, shall enjoy the status, privileges and immunities as provided for in Article III of the present Agreement. 19. The Government of CARANA recognizes that:

a. The Headquarters, camps and other premises of AMICA shall be inviolable. b. The property and assets of AMICA, wherever located and by whomsoever held, shall be immune from search, requisition, confiscation and expropriation.

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c. The archives of AMICA and in general all its documents in paper or electronic form, including audio-and videotapes, shall be inviolable wherever located and by whomsoever held.

d. The AMICA, its property and assets, wherever located and by whomsoever held, shall enjoy immunity from any form of legal process except:

(1) In so far as in any particular case it has expressly waived its immunity in writing. It is, however, understood that such waiver of immunity does not extend to any measure of execution. (2) In the case of a civil action brought by a third party for damages arising from an accident caused by use of equipment, including a motor vehicle, belonging to or operated on behalf of AMICA.

20. The Government recognizes the right of AMICA as well as contractors, in particular:

a. To import, by the most convenient and direct route by sea, land or air, free of duty or other prohibitions and restrictions, equipment, provisions, supplies, fuel and other goods, including spare parts and means of transport, which are for the exclusive and official use of AMICA or for resale in the commissaries provided for hereinafter. For this purpose, the Government agrees expeditiously to establish, at the request of AMICA, temporary customs clearance facilities for AMICA, at locations in Carana convenient for AMICA not previously designated as official ports of entry for Carana;

b. To establish, maintain and operate commissaries at its headquarters, camps and posts for the benefit of the members of AMICA, but not of locally recruited personnel. Such commissaries may provide goods of a consumable nature and other articles to be specified in advance. The SRCC shall take all necessary measures to prevent abuse of such commissaries and the sale or resale of such goods to persons other than members of AMICA and he or she shall give sympathetic consideration to observations or requests of the Government concerning the operation of the commissaries;

c. To clear customs and excise warehouse, free of duty or other restrictions and prohibitions, equipment, provisions, supplies, fuel and other goods, including spare parts and means of transport, which are for the exclusive and official use of AMICA or for resale in the commissaries provided for above;

d. To re-export or otherwise dispose of such property and equipment, including spare parts and means of transport as far as they are still usable, and all unconsumed provisions, supplies, fuel and other goods so imported or cleared customs and excise warehouse, which are not transferred, or otherwise disposed of on terms and conditions to be agreed upon, to the competent local authorities of Carana or to an entity nominated by them;

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To the end that such importation, clearances, transfer or exportation may be effected with the least possible delay, a mutually satisfactory procedure, including documentation, shall be agreed between AMICA and the Government at the earliest possible date.

Article XI: Facilities for AMICA and its Contractors 21. Premises required for conducting the operational and administrative activities of AMICA and for accommodating its members:

a. The Government shall provide, where available, without cost to AMICA and in agreement with the SRCC, such areas for headquarters, camps or other premises as may be necessary for the conduct of the operational and administrative activities of AMICA and for accommodating its members, including the establishment of the necessary facilities for maintaining communications in accordance with Article VIII above.

b. Without prejudice to the fact that all such premises are within the territory of Carana, they shall be inviolable and shall be under the exclusive control and authority of the AU. The Government shall guarantee unimpeded access to such AMICA premises. Where AMICA troops are co-located with military personnel of Carana, a permanent, direct and immediate access by AMICA to those premises shall be guaranteed. c. The Government undertakes to assist AMICA as far as possible in obtaining and making available, where applicable, water, electricity and other facilities free of charge, or, where this is not possible, at the most favourable rate, and in the case of interruption or threatened interruption of service, to give as far as is within its powers the same priority to the needs of AMICA as to essential government services. Where such utilities or facilities are not provided free of charge, payment shall be made by AMICA on terms to be agreed with the competent authority of Carana. AMICA shall be responsible for the maintenance and upkeep of facilities so provided.

d. AMICA shall have the right, where necessary, to generate electricity for its use and to transmit and distribute such electricity within its premises.

e. AMICA alone may consent to the entry of any government officials or of any

other person not member of AMICA to such premises. Article XII: Provisions, Supplies and Services, and Sanitary Arrangements 22. The Government:

a. Agrees to grant expeditiously, upon presentation by AMICA or by contractors of a bill of lading, airway bill, cargo manifest or parking list, all necessary authorizations, permits and licenses required for the importation and re-exportation of equipment, provisions, supplies, fuel, materials and other goods, including spare parts and means of transport exclusively used in

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support of AMICA, including in respect of importation and re-exportation by contractors, free of any restrictions and without the payments of monetary contributions or duties, fees, charges or taxes including value-added tax. The Government likewise agrees to grant promptly all necessary authorization, permits and licenses required for the purchase or export of such goods, including in respect of purchase or export by contractors, free of any restrictions and without the payment of monetary contributions, duties, fees, charges or taxes.

b. Undertakes to assist AMICA as far as possible in obtaining equipment, provisions, supplies, fuel, materials and other goods and services from local sources required for its subsistence and operations.

c. Shall, in respect of equipment, provisions, supplies, materials and other goods and services purchased locally by AMICA or by contractors for the official and exclusive use of the Mission, make appropriate administrative arrangements for the remission or return of any excise or tax payable as part of the price. The Government shall exempt the AMICA from general sales taxes in respect of all local purchases for official use. In making purchases on the local market, AMICA shall, on the basis of observations made and information provided by the Government in that respect, avoid any adverse effect on the local economy. In accordance with the Financial Regulations and Rules of the AU, AMICA shall, when purchasing goods and services, endeavour to give due consideration to local contractors.

d. Agrees, for the proper performances of the services provided by contractors, other than Carana nationals in support of AMICA, to provide contractors with facilities concerning their entry into and departure from Carana, without delay or hindrance, and for their residence in Carana, as well as their repatriation in time of crisis. For this purpose, the Government shall promptly issue to contractors, free of charge and without any restrictions and within 48 hours of applications, all necessary visas, licenses, permits and registration. Contractors other than Carana nationals resident in Carana, shall be accorded exemption from taxes and monetary contributions in Carana on services, equipment, provisions, supplies, fuel, materials and other goods, including spare parts and means of transport, provided by AMICA, including corporate, income, social security and other similar taxes arising directly from or related directly to the provision of such devices or goods.

e. Shall cooperate with AMICA (and vice versa) in respect to sanitary services and shall extend to each other, the fullest cooperation in matters concerning health, particularly with respect to the control of communicable diseases, specially HIV/AIDS, in accordance with international conventions.

CHAPTER IV - RECRUITMENT OF LOCAL PERSONNEL Article XIII: Recruitment of Local Personnel

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23. AMICA may recruit locally, such personnel, as it requires for the performance of its duties. Upon the request of AMICA, the Government undertakes, in accordance with relevant laws and regulations, to facilitate the recruitment of qualified local staff by AMICA and to accelerate the process of such recruitment. CHAPTER V - CURRENCY Article XIV: Currency 24. The Government undertakes to make available to AMICA, against reimbursement in mutually acceptable currency, local currency required for the use of AMICA, including the pay of its members, at the prevailing rate. The transaction shall be done through a mutually agreed bank. CHAPTER VI - STATUS OF THE MEMBERS OF AMICA Article XV: Privileges and Immunities 25. The SRCC, AMICA senior staff and such other high-ranking members of AMICA as may be agreed upon with the Government shall have the privileges and immunities accorded to diplomatic envoys by international law. In particular, they shall be accorded immunity from personal arrest or detention and from legal process in respect of all acts, including words spoken or written, performed by them in the course of duty and inviolability for all papers and documents. 26. Officials of the African Union who may be assigned to AMICA remain officials of the African Union, and entitled to all the privileges and immunities pertaining thereto under Article 6 of the AU Convention. 27. Military , police or civilian- experts performing missions for AMICA, other than AMICA officials referred to in paragraph 25 and 26, whose names are for the purpose notified to the Government by the Head of Mission, shall be considered as experts on short term mission within the meaning of Article VII of the AU Convention. 28. Military personnel of national contingents assigned to the military component of AMICA shall have the privileges and immunities specifically provided for in the present Agreement. 29. Unless otherwise specified in the present Agreement, locally recruited personnel of AMICA shall be immune from legal process in respect of words spoken or written and all acts performed by them in their official capacity and be exempt from taxation on the salaries and emoluments paid to them by AMICA and be immune from national service obligations. 30. Members of AMICA shall be exempt from taxation on the salary and emoluments received from AMICA or from a participating State and any income received from outside Carana. They shall be exempt from all other direct taxes,

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except municipal rates for services enjoyed, and from all registration fees and charges. 31. Members of AMICA shall have the right to import free of duty, their personal effects in connection with their arrival in Carana. They shall, subject to the laws and regulations of Carana governing customs and foreign exchange with respect to personal property not required by them by reason of their presence in Carana with AMICA. Special facilities will be granted by the Government for the speedy processing of entry and exit formalities for all members of AMICA, including the military component, upon prior written notification. 32. On departure from Carana, members of AMICA may, notwithstanding the above-mentioned exchange regulations, take with them such funds as the Head of Mission certifies were received in pay and emoluments from AMICA or from a participating State and are a reasonable residue thereof. Special arrangements shall be made for the implementation of the present provisions in the interests of Carana and the members of AMICA. 33. The SRCC shall cooperate with the Government and shall render all assistance within his power in ensuring the observance of the customs and fiscal laws and regulations of Carana by the members of AMICA, in accordance with the present Agreement. Article XVI: Entry, Residence and Departure 34. Members of AMICA, whenever so required by the Head of Mission, have the right to enter, reside in and depart from Carana. 35. The Government undertakes to facilitate the entry and departure from Carana of the SRCC and members of AMICA and shall be kept informed of such movement. For that purpose, the HoM and members of AMICA shall be exempted from passport and visa regulations, immigration inspections and restrictions as well as payment of any fees or charges on entering into Carana. 36. They shall also be exempted from any regulations governing the residence of aliens in Carana, including registration, but shall not be considered as acquiring any right to permanent residence to domicile in Carana. 37. For the purpose of such entry or departure, members of AMICA only are required to have:

a. An individual or collective movement order issued by or under the authority of the SRCC or any appropriate authority of a participating State; and b. A personal identity card issued in accordance with paragraph 38 of the present Agreement, except for the first entry, where the national passport or personal identity card issued by the AU or appropriate authorities of a participating state shall be accepted in lieu of the said identity card.

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Article XVII: Identification 38. The SRCC shall issue to each member of AMICA, before or as soon as possible after such member’s first entry into Carana, as well as to all locally recruited personnel and contractors, a numbered identity card, showing the bearer’s name and photograph. Except as provided for in paragraph 22.d. of the present Agreement, such identity card shall be the only document required of a member of AMICA. Contractors and locally recruited staff shall be issued with appropriate AMICA identity cards. 39. Members of AMICA, as well as locally recruited personnel and contractors shall be required to present, but not to surrender, their AMICA identity cards upon demand of an appropriate official of the Government. Article XVIII: Uniforms and Arms 40. Members of AMICA, such as but not limited to, military and police members shall wear, while performing official duties, the national uniform of their respective States with standard AU/AMICA accoutrements. 41. The SRCC may authorize the wearing of civilian clothes at other times. 42. Military and police members of AMICA and AMICA Security Officers and AU close protection officers designated by the SRCC may possess and carry arms while on duty in accordance with their orders. Those carrying weapons while on duty, other than those undertaking close protection duties, must be in uniform at that time. Article XIX: Permits and Licenses 43. The Government agrees to accept as valid, without tax or fee, a permit or license issued by the SRCC for the operation by any member of AMICA, including locally recruited personnel, of any AMICA vehicles and for the practice of any profession or occupation in connection with the functioning of AMICA, provided that no permit to drive a vehicle or pilot an aircraft or a vessel shall be issued to any person who is not already in possession of an appropriate and valid license. 44. Without prejudice to the foregoing, the Government further agrees to grant expeditiously, free of charge and without any restrictions, within the Mission area, necessary authorizations, licenses and certificates, where required, for the acquisition, use, operation and maintenance of aircraft and vessels. 45. Without prejudice to the provisions of paragraph 42, the Government further agrees to accept as valid, without tax or fee, a permit or license issued by the SRCC to a member of AMICA for the carrying or use of firearms or ammunition in connection with the functioning of AMICA. Article XX: Military, Police, Arrest and Transfer of Custody, and Mutual Assistance

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46. The SRCC shall take all appropriate measures to ensure the maintenance of discipline and good order among members of AMICA, as well as locally recruited personnel. To this end, personnel designated by the HoM shall police the premises of AMICA and such areas where its members are deployed. Elsewhere, such personnel shall be employed only subject to arrangements with the Government and in liaison with it, so far as such employment is necessary to maintain discipline and order among members of AMICA. 47. The Military Police of AMICA shall have the power of arrest over the military members of AMICA. Military personnel placed under arrest outside their own contingent areas shall be transferred to their contingent Commanders for appropriate disciplinary action. The personnel mentioned in paragraph 47 above may take into custody any other person on the premises of AMICA. Such other person shall be delivered immediately to the nearest appropriate official of Carana for the purpose of dealing with any offence or disturbance on such premises. 48. Subject to the provisions of paragraphs 25 and 27 of the present Agreement, officials of the Government may take into custody any member of AMICA:

a. When so requested by the SRCC; or, b. When such a member of AMICA is apprehended in the commission or attempted commission of a criminal offence. Such a person shall be delivered immediately, together with any weapons or other items seized, to the nearest appropriate representative of AMICA, whereafter the provisions of paragraph 55 of the present Agreement shall apply mutatis mutandis.

49. When a person is taken into custody under paragraph 47 or paragraph 48 (b), AMICA or the Government, as the case may be, may make a preliminary interrogation but may not delay the transfer into custody. Following such transfer, the person concerned shall be made available upon request to the arresting authority for further questioning. 50. AMICA and the Government shall assist each other in carrying out all necessary investigations into offences in respect of which either or both have an interest, in the production of witnesses and in the collection and production of evidence, including the seizure of and, if appropriate, the handing over of items connected with an offence. The handing over of any such items may be made subject to their return within the terms specified by the authority delivering them. Each shall notify the other of the disposition of any case in the outcome of which the other may have an interest or in which there has been a transfer of custody under the provisions of paragraphs 47 to 49. Article XXI. Safety and Security 51. The Government shall take all appropriate measures within its capabilities to ensure the safety and security and freedom of movement of AMICA and its members and their property and assets. It shall take all appropriate steps, within its capabilities, to protect members of AMICA and its associated personnel and their equipments and premises from attack or any action that prevents them from

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discharging their mandate. This is without prejudice to the fact that all premises of AMICA are inviolable and subject to the exclusive control and authority of the AU. AMICA shall be authorised to take the measures necessary to protect its facilities, including those used for its training, against any external attack or intrusion 52. The Government shall ensure the prosecution, without exception and without delay, of persons subject to its criminal jurisdiction who are accused of acts in relation to AMICA or its members which, if committed in relation to the forces of the Government, would have rendered such acts liable to prosecution. Article XXII: Jurisdiction 53. All members of AMICA, including locally recruited personnel, shall be immune from legal process in respect of words spoken or written and all acts performed by them in their official capacity. Such immunity shall continue even after they cease to be members of or employed by AMICA and after the expiration of the other provisions of the Agreement. 54. Should the Government consider that any member of AMICA has committed a criminal offence, it shall promptly inform the SRCC and present to him any evidence available to it. Subject to the provisions of paragraph 25 of the present Agreement:

a. If the accused person is a civilian member of AMICA, the SRCC shall conduct any necessary supplementary inquiry and then agree with the Government whether or not criminal proceedings should be instituted. Failing such agreement, the question shall be resolved as provided in paragraph 60 of the present Agreement; b. Military and police members of AMICA shall be subject to the exclusive jurisdiction of their respective participating States in respect of any criminal offences which may be committed by them in Carana.

55. The SRCC will obtain assurances from Governments of participating States that they will be prepared to exercise jurisdiction with respect to crimes or offences which may be committed by members of their national contingents serving with AMICA. 56. If any civil proceeding is instituted against a member of AMICA before any court of Carana, the SRCC shall be notified immediately, and he shall certify to the court whether or not the proceeding is related to the official duties of such member: a). If the SRCC certifies that the proceeding is related to official duties, such proceeding shall be discontinued and the provisions of paragraph 59 of the present Agreement shall apply; b). If the SRCC certifies that the proceeding is not related to official duties, the proceeding may continue. If the SRCC certifies that a member of AMICA is unable because of official duties or authorized absence to protect his interests in the proceeding, the court shall at the defendant’s request suspend the proceeding until

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the elimination of the disability, but for no more than ninety days. Property of a member of AMICA that is certified by the SRCC to be needed by the defendant for the fulfillment of his official duties shall be free from seizure for the satisfaction of a judgment, decision or order. The personal liberty of a member of AMICA shall not be restricted in a civil proceeding, whether to enforce a judgment, decision or order, to compel an oath or for any other reason. Article XXIII: Deceased Members 57. The SRCC shall have the right to take charge of and dispose of the body of a member of AMICA who dies in Carana, as well as that member’s personal property located within Carana, in conformity with the practice of the AU relating to the matter CHAPTER V - LIMITATION OF LIABILITY OF AMICA Article XXIV: Limitations of Liability of AMICA. 58. Third party claims for property loss or damage and for personal injury, illness or death arising from or directly attributed to AMICA or its members, except for those arising from operational necessity, and which cannot be settled through the internal procedures of AMICA, shall be settled by the AU in the manner provided for in Article XXV of the present Agreement, provided that the claim is submitted within six months following the occurrence of the loss, damage or injury, or if the claimant did not know or could not have reasonably known of such loss or injury, within six months from the time he/she had discovered the loss or injury, but in any event not later than one year after the termination of the mandate of the operation. CHAPTER VI - SETTLEMENT OF DISPUTES Article XXV: Settlement of Disputes 59. Except as provided in paragraph 61, any dispute or claim of a private law character, not resulting from the operational necessity of AMICA, to which AMICA or any member thereof is a party and over which the courts of Carana do not have jurisdiction because of any provision of the present Agreement, shall be settled by a Standing Claims Commission to be established for that purpose. One member of the Commission shall be appointed by the AU, one member by the Government and a Chairman jointly by the AU and the Government. If no agreement as to the Chairman is reached within thirty days of the appointment of the first member of the Commission, the two Parties will refer themselves to an agreed third party to appoint the Chairperson. Any vacancy on the Commission shall be filled by the same method prescribed for the original appointment, provided that any two members shall constitute a quorum for all purposes (except for a period of thirty days after the creation of a vacancy) and all decisions shall require the approval of any two members. The awards of the Commission shall be final. The awards of the Commission shall be notified to the parties and, if against a member of AMICA, the SRCC shall use his best endeavours to ensure compliance.

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60. Disputes concerning the terms of employment and conditions of service of locally recruited personnel shall be settled by the administrative procedures to be established by the SRCC. 61. All other disputes between AMICA and the Government concerning the interpretation or application of the present Agreement shall, unless otherwise agreed by the parties, be submitted to a tribunal of three arbitrators. The provisions relating to the establishment and procedures of the claims commission shall apply, mutatis mutandis, to the establishment and procedures of the tribunal. The decisions of the tribunal shall be final and binding on both parties. 62. All differences between AMICA and the Government arising out of the interpretation or application of the present Agreement which involve a question of principle concerning the AU Convention shall be dealt with in accordance with the procedure of Article IX of the AU Convention.

Done in ADDIS ABABA this 31st day of August 2011

-------------------------------- ------------------------------------ For the Government of For the Commission of the CARANA AFRICAN UNION

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DIRECTIVE ON THE USE OF FORCE BY THE

POLICE COMPONENT OF THE AFRICAN UNION MISSION IN CARANA

31 August 2011

SERIAL 5 TO EXERCISE NJIWA

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GENERAL CONSIDERATIONS 1. The ASF Formed Police personnel on assignment with AMICA are hereby authorized to use force and to carry and use firearms and other items of law enforcement equipment for the exercise of their official functions during the time of their mission. 2. Members of AMICA POLICE may only carry and use the firearms and other items of law enforcement equipment listed in (Annex A) of this Directive. The Police Commissioner will issue detailed directives regarding the precise specifications of the firearms and items of law enforcement equipment listed in that Annex that may be so carried and used. Members of AMICA POLICE may only carry and use firearms and items of law enforcement equipment that conform to the specifications contained in those directives. 3. Every member of AMICA POLICE who carries a firearm or other item(s) of law enforcement equipment must have received current and proper training on the care and use of the particular weapon or item(s) of law enforcement equipment assigned to him/her. The Police commissioner will issue detailed directives regarding the training that shall be required for this purpose and the documentation that must be submitted to prove that that training has been satisfactorily completed. A member of AMICA POLICE may only carry such equipment if the Police Commissioner has certified that he/she has received the required training stipulated in those directives. 4. Every member of AMICA POLICE who carries a firearm or other item(s) of law enforcement equipment must be fully familiar with this Directive and understand the rules that it contains. To this end, he/she must receive a full briefing on this Directive as part of his/her induction training and refresher briefings on a regular basis thereafter. The Police Commissioner will issue detailed directives regarding these briefings, including the documentation that must be submitted to prove that they have been received. A member of AMICA POLICE may only carry a firearm or other item(s) of law enforcement equipment if the Police Commissioner has certified that he/she has received the required briefings stipulated in those directives. 5. Members of AMICA POLICE may only carry firearms or other item(s) of law enforcement equipment for the exercise of their functions during the time of their mission. 6. Members of AMICA POLICE who carry firearms or other item(s) of law enforcement equipment are required at all times while on duty to carry in their breast pocket an Aide-Mémoire (Blue Card) provided by AMICA, summarizing the rules contained in this Directive. 7. It is the personal responsibility of every member of AMICA POLICE to keep his/her firearm, ammunition and other item(s) of law enforcement equipment secure. He/she must be able to account for their whereabouts and condition at all times. The Police Commissioner will issue detailed directives regarding the carriage, care and storage of firearms, ammunition and other item(s) of law enforcement equipment.

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AUTHORITY TO STOP, DETAIN AND SEARCH 8 Members of AMICA POLICE are authorized to stop and detain individuals who:

a. Commit a hostile act or demonstrate a hostile intent against them, other members of their Unit or other AU personnel.

b. Attempt to abduct or detain them, other members of their Unit or other AU

personnel. c. Commit a hostile act or demonstrate a hostile intent against members of the

CARANA Law Enforcement Agencies to whom they are providing operational support.

d. Attempt to abduct or detain members of the CARANA Law Enforcement

Agencies to whom they are providing operational support. e. Commit a hostile act or demonstrate a hostile intent against individuals

designated by the SRCC in consultation with the Police Commissioner. f. Attempt to abduct or detain individuals designated by the SRCC in

consultation with the Police Commissioner. g. Threaten civilians, including humanitarian workers, with imminent physical

violence. h. Commit a hostile act or demonstrate a hostile intent against African Union

facilities, installations, equipment, areas or goods designated by the SRCC in consultation with the Police Commissioner.

i. Commit a hostile act or demonstrate a hostile intent against key facilities,

installations, equipment, areas of goods designated by the SRCC in consultation with the Police Commissioner.

j. Commit or threaten to commit acts of civil unrest. k. Attempt forcible passage through a roadblock, checkpoint or cordon, whose

establishment has been authorized by the CARANA Law Enforcement Agencies and the Police Commissioner.

l. Limit or attempt to limit their freedom of movement or the freedom of

movement of members of the CARANA Law Enforcement Agencies to whom they are providing operational support.

m. Are in the act of committing or who have just committed a crime, when

they are providing operational support to the CARANA Law Enforcement Agencies,

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n. Are in the act of committing or have just committed a serious crime that involves a grave threat to life.

9. Persons may not be stopped or detained otherwise than in accordance with the authorization given in paragraph 8 of this Directive. 10. As soon as possible and through an interpreter if necessary, the detained person is to be informed of the reason why he/she is being stopped and detained. 11. Members of AMICA POLICE are authorized to search persons stopped and detained under paragraph 8 of this Directive for arms, ammunition, weapons, explosives, drugs and illegal items and to seize such items. Members of AMICA POLICE may not confiscate other items that they may find in the possession of a person, with the exception of items that a person might use to cause harm to him/herself or to others. 12. The following principles must be observed during any search:

a. Searchers are not to humiliate or embarrass persons being searched. b. Search procedures must take into account gender and be sensitive to other

factors, such as race, religion and cultural practices. c. The purpose of the search must be clearly stated to the person who is to be

searched before he/she is searched. d. The member of AMICA POLICE conducting the search must always be

protected by another member of the same AMICA POLICE. 13. Members of AMICA POLICE are fully responsible for the safety and well-being of persons whom they stop and detain as long as those persons are in their charge. Such persons must be treated humanely and in accordance with international human rights standards. Full respect is to be shown for their gender, race and religion. They shall not be subjected to intimidation, deprivation or humiliation. They shall be given medical treatment, if necessary. 14. Members of AMICA POLICE may not question, interview or interrogate persons who are stopped and detained, except for the purposes of ascertaining their identity and address. However, a record should be kept of anything that those persons may say while they are detained by a member of AMICA POLICE. 15. Whenever a person is detained, the following details are to be recorded, using the form in (an Annex) of this Directive:

a. The name(s) and service details of the member(s) of AMICA POLICE who stopped and detained the person concerned.

b. The name and address of the person stopped and detained. c. The date, time and place at which that person was stopped and detained.

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d. The reason why that person was stopped and detained. e. Any statement made by that person. f. The names and addresses of any witnesses. g. whether the person stopped and detained was searched and, if so, why. h. An inventory of any and all items seized or confiscated from that person. i. The physical condition of the person stopped and detained, including any

visible or alleged injuries, and details of any medical treatment provided. 16. All persons stopped and detained are to be handed over to the CARANA Law Enforcement Agencies as soon as possible, together with any arms, ammunition, weapons, explosives or other items seized or confiscated from them. 17. Responsibility for the maintenance of law and order resides with the CARANA Law Enforcement Agencies. Members of AMICA POLICE do not have any lawful authority to arrest persons whom they stop and detain. Such persons must be handed over as soon as possible to appropriate CARANA Law Enforcement Agencies for possible arrest. 18. At the time of hand-over of a detained person to the CARANA Law Enforcement Agencies, the member of AMICA POLICE who has charge of the detained person is to:

a. Hand over to those Agencies a copy of the form in Annex B of this Directive, completed in accordance with paragraph 15.

b. Obtain from those Agencies a signed hand-over receipt, using the form

in (an Annex) of this Directive, acknowledging the date, time and place of the hand-over and the name and service details of the member of those Agencies to whom the detained person was delivered.

19. AMICA will take measures, as appropriate, to monitor the condition of persons that have been handed over to the CARANA Law Enforcement Agencies. USE OF FORCE, FIREARMS OR OTHER ITEMS OF LAW ENFORCEMENT EQUIPMENT 20. Members of AMICA POLICE shall not use force or firearms or other items of law enforcement equipment with the intention to kill any person unless it is completely unavoidable in order to protect his/her own life or the life of any other person.

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21. Members of AMICA POLICE may use force or items of law enforcement equipment, not including firearms, against other persons in the following circumstances and to achieve the following objectives:

a. To control the movement of assemblies.

b. To disperse assemblies that are unlawful but not violent.

c. To prevent or put a stop to the commission of a crime, when they are providing operational support to the CARANA Law Enforcement Agencies.

d. To prevent forcible passage by an individual through a roadblock, checkpoint or cordon whose establishment has been authorized by the CARANA Law Enforcement Agencies and the Police Commissioner.

e. To prevent any person or group limiting their freedom of movement or the freedom of movement of members of the CARANA Law Enforcement Agencies to whom they are providing operational support.

f. To prevent the escape of any apprehended or detained person, pending their hand-over to the CARANA Law Enforcement Agencies.

22. Members of AMICA POLICE may use force, or items of law enforcement equipment, including firearms, against other persons in the following circumstances and to achieve the following objectives:

a. To defend themselves, other members of their Unit or other AU personnel

against an imminent threat of death or serious bodily injury. b. To resist attempts to abduct or detain themselves, other members of their

Unit or other AU personnel. c. To defend members of the CARANA Law Enforcement Agencies to whom

they are providing operational support against an imminent threat of death or serious bodily injury.

d. To resist attempts to abduct or detain members of the CARANA Law

Enforcement Agencies to whom they are providing operational support. e. To protect individuals designated by the HoM in consultation with the Police

Commissioner against a hostile act or a hostile intent f. To resist attempts to abduct individuals designated by the HoM in

consultation with the Police Commissioner. g. To protect civilians, including humanitarian workers, against an imminent

threat of death or serious bodily injury

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h. To protect AU facilities, installations, equipment, areas or goods designated by the SRCC in consultation with the Police Commissioner against a hostile act or a hostile intent.

i. To protect key facilities, installations, equipment, areas or goods designated

by the SRCC in consultation with the Police Commissioner against a hostile act or a hostile intent.

j. To prevent or put a stop to acts of civil unrest. k. To prevent a serious crime that involves a grave threat to life.

23. Members of AMICA POLICE may not use force or firearms or other items of law enforcement equipment otherwise than in accordance with the authorization given in paragraphs 21 and 22 of this Directive. 24. Members of AMICA POLICE shall, as far as possible, apply non-violent means before resorting to the use either of physical force or firearms or other items of law enforcement equipment. They may use force, firearms or other items of law enforcement equipment only if other means remain ineffective for the purpose of achieving an authorized objective specified in paragraph 21 or 22 of this Directive or are without any promise of achieving such an authorized objective. 25. If there is no practical alternative to the use of force, firearms or other items of law enforcement equipment in order to achieve an authorized objective specified in paragraph 21 or 22 of this Directive, members of AMICA POLICE must, whenever the operational circumstances permit, observe the following graduated procedures:

a. Unarmed force must be used, if at all possible. b. If non-lethal incapacitating weapons or tear gas are possessed by

members of AMICA POLICE who are trained to use those weapons, and where they would be an effective means to bring a threat to an end, then they must be used, if authorized by the on-scene authorized commander.

c. If the preceding measures remain ineffective or are without any promise of

achieving an authorized objective, an attempt should be made, if possible, to make use of the visual and audible effect of preparing a firearm for use.

d. If the preceding measures remain ineffective or are without any promise of achieving an authorized objective, warning shots should, if possible, be fired at a safe point of aim that avoids the causing of personal injury or collateral damage to property,

e. if the preceding measures remain ineffective or do not hold out any

promise of achieving the authorized objective, the use of armed force against persons is authorized.

26. If members of AMICA POLICE do use firearms against other persons, they must first:

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a. Identify themselves in English (being an official and common language of CARANA) as members of AMICA's police component.

b. Give a clear warning in English of their intent to use firearms.

c. Give enough time for that warning to be obeyed, unless to do so

would.

d. Unduly place themselves at risk of death or serious bodily harm.

e. Create a risk of death or serious bodily harm to other persons.

f. Clearly be inappropriate or pointless in the circumstances.

27. Whenever the use of force or firearms or any other item of law enforcement equipment is unavoidable, members of AMICA POLICE shall:

a. Act with restraint and only use the minimum degree of force that is proportional to the seriousness of the threat and necessary to achieve the authorized objective.

b. Respect and preserve human life and cause the minimum of injury to people. c. Cause the minimum of damage to property. d. As soon as possible, help anyone who is hurt and ensure that medical aid is

rendered if needed. e. As soon as possible, ensure that relatives or friends of people injured or

affected by the incident are notified.

28. No member of AMICA POLICE shall point a firearm or a non-lethal incapacitating weapon in the direction of any person other than in the circumstances and to achieve the objectives set out in paragraphs 21 and 22 of this Directive. REPORTS AND INVESTIGATIONS 29. Within 24 hours of the occurrence of any incident involving the detention of any person pursuant to paragraph 8 of this Directive, the member of AMICA POLICE who carried out the detention must submit through the chain of command to the Police Commissioner:

a. A copy of the form in (Annex B) of this Directive, completed in accordance

with paragraph 15. b. the original version of the hand-over receipt in (Annex C) of this Directive,

completed and signed in accordance with paragraph 18 (b).

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30. Immediately after any incident involving the use of force or firearms or other item of law enforcement equipment and regardless of whether or not such use resulted in death or injury to people or damage to property, the member of AMICA POLICE concerned must verbally inform the Office of the Police Commissioner and record the details of the incident, including:

a. Its date, time and place. b. The name(s) of the AMICA personnel involved. c. The name(s) of any members of the CARANA Law Enforcement Agencies

involved. d. The events leading up to the use of force, firearms or other item(s) of law

enforcement equipment. e. Why he/she used force, firearms or other item(s) of law enforcement

equipment. f. Who was subjected to the use of force, firearms or other item(s) of law

enforcement equipment. g. The apparent results of the use of force, firearms or other item(s) of law

enforcement equipment. h. A diagram of the incident scene, where appropriate.

31. He/she must submit a written report with those details within twelve (12) hours of the time of the incident through the chain of command to the Police Commissioner. This report is additional to the other documentation that must be submitted pursuant to paragraph 29 of this Directive. The Police Commissioner will, without delay, investigate the incident and present a report on it to the SRCC, who will transmit that report to AU Headquarters. All members of AMICA POLICE are required to cooperate fully and actively with any such investigation. VIOLATIONS 32. Members of AMICA POLICE are advised that obedience to superior orders shall not preclude a violation of this Directive or of the rules that it contains from being considered an act of serious misconduct if the member of AMICA law enforcement equipment resulting in the death, injury of a person or damage to property was manifestly in violation of this Directive and the rules contained herein and he/she had a reasonable opportunity to refuse to follow it. In any case, responsibility also rests on the superiors who gave an order in violation of this Directive and the rules contained herein. 33. Any violation of this Directive, as well as of the rules contained herein, shall be considered as an act of serious misconduct.

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DEFINITIONS 34. The definitions in (Annex D) of this Directive shall form an integral part of this Directive. ENTRY INTO FORCE 35. This Directive is adopted and comes into force on inception of AMICA, without prejudice to the rules of engagement for the military.

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AMICA

RULES OF ENGAGEMENT (ROE)

FOR THE MILITARY COMPONENT OF THE AFRICAN UNION MISSION IN CARANA

PEACE SUPPORT OPERATIONS DIVISION 31 August 2011

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RULES OF ENGAGEMENT FOR THE MILITARY COMPONENT OF

THE AFRICAN UNION MISSION IN CARANA (AMICA)

INTRODUCTION 1. This document, including all of its Annexes (A-D), constitutes the entire Rules of Engagement (ROE) for the African Union Mission in Carana (AMICA). 2. This document provides the authority for the use of force and explains policy, principles, responsibilities and definitions of the ROE. 3. These ROE are directions to operational commanders, which delineate the parameters within which force may be used by designated African Union military personnel during the AU peacekeeping operation, AMICA. They are founded on AU Peace and Security Council resolution PSC/PR/Comm (DCLX). Where issued as prohibitions, they are orders not to take specific actions. Where issued as permissions, they provide the authority for commanders to take certain specific actions if they are judged necessary to achieve the aim of the mission. The ROE allow for the use of the necessary degree of force to guarantee self-defence and define the circumstances under which the use of force by AMICA military personnel may be justified. 4. In addition to the main document, the key elements are attached as follows:

a. Authorized Rules of Engagement (ROE) for AMICA: Annex A b. ROE for AMICA –DEFINITIONS & AMPLIFICATIONS: Annex B c. ROE for AMICA – DIRECTIONS & PROCEDURES: Annex C d. ROE for AMICA - WEAPON STATES: Annex D e. ROE for AMICA - SOLDIERS CARD: Annex E

AUTHORITY

5. The power and authority of AMICA is derived from AU Peace and Security Council resolution PSC/PR/Comm (DCLX) dated 30 Aug 2011 and must be exercised in a manner consistent with the AMICA mandate as described in this resolution.

AREA OF OPERATIONS 6. The area of operations for the application of these ROE is defined by the territory of Carana. This includes the adjacent territorial sea, superjacent airspace and any designated air and sea corridors to be utilized by AMICA.

MISSION 7. The relevant provisions of AU Peace and Security Council resolution PSC/PR/Comm (DCLX) for AMICA are contained in Annex A - Authorized ROE for AMICA.

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EXECUTION OF ROE 8. Principles.

a. General:

(1) The Mission’s military personnel are required to comply with International Law, including the Law of Armed Conflict (LOAC), and to apply the ROE in accordance with those laws.

(2) All AMICA military personnel must operate within the framework of this document which has been formulated in accordance with the parameters set out by relevant AU Peace and Security Council Resolutions.

(3) AMICA ROE provides direction to commanders at all levels, governing the use of force within the mission area. They define the degree and the manner in which force may be applied and are designed to ensure that the application of force is controlled and legal. The ROE inform commanders of the constraints imposed and the degree of freedom they have in the course of carrying out their mission.

(4) Throughout the conduct of the peacekeeping operation, where force is to be used, all AMICA military personnel must comply with the international principles of proportionality, the minimum use of force and the requirement to minimize the potential for collateral damage.

(5) Contingents are only to use weapons authorized by the African Union in accordance with the respective Memorandum of Understanding (MOU).

(6) While the ROE may restrict the manoeuvre and operation of specific weapons systems, they do not:

i. Describe specific doctrine, tactics and procedures. ii. Address safety-related restrictions.

b. Self-Defence:

(1) Nothing in these ROE negates a Commander’s right and

obligation to take all necessary and appropriate action for self-defence. All personnel may exercise the inherent right of self-defence.

(2) Self-defence against a hostile force(s) may be exercised by individuals, or individual units under attack, as well as other AU military personnel who are able to assist those individuals or individual its under attack, or which are in imminent danger of being attacked.

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c. Military Necessity. The principle of military necessity authorizes the

use of only that force which is required to accomplish the mission. Military necessity does not authorize acts otherwise prohibited under international law.

d. Alternatives to the Use of Force: Whenever the operational situation permits, every reasonable effort must be made to resolve a potential hostile incident by means other than the use of force (e.g. through negotiations or assistance including from local authorities).

e. Duty to Challenge and Warn. Before resorting to the use of force, every reasonable step must be taken to deter any person or group from displaying hostile intent or committing a hostile act. The procedure required by the AU to challenge and warn is given at Annex C.

f. Duty to Observe Fire/Target Identification. See Annex C, paragraphs 1 and 6.

g. Duty to Use Minimum and Proportional Force: (1) Any force used must be limited, in its intensity and duration, to

that which is necessary and proportionate to achieve the objective. In some circumstances operational urgency may dictate the immediate use of deadly force.

(2) The use of force should be commensurate with the level of the threat. However, the level of response may have to be higher in order to minimize the cost in terms of AU casualties and civilian casualties.

(3) Commanders should, where appropriate, consider the use of alternatives to the use of physical force such as negotiation, psychological methods, and other non-lethal means, which may include the deployment or manoeuvre of larger forces in order to demonstrate resolve.

h. Avoidance of Collateral Damage. When force is used, all necessary measures are to be taken to minimize collateral damage.

i. Duty to Report. Each confrontation resulting in a detention, or involving the use of force, is to be reported through the chain of command as soon as possible, whether it results in casualties and/or damages or not. More details are included in Annex C.

j. Use of Force beyond Self-Defence. (1) The use of force beyond self-defence may be applied only

where necessary to fulfill the AMICA mandate, in the particular circumstances listed below, consistent with the relevant provisions of AU Peace and Security Council resolution PSC/PR/Comm (DCLX) and subject to the conditions set out in these ROE:

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I. Protection of AU , and other key, installations, areas or goods;

II. Ensure security and freedom of movement of AMICA personnel;

III. Permit AMICA personnel to discharge their duties.

(2) The Force Commander, or the commander to whom the authorization has been delegated, retains direct control over the use of force in these circumstances.

9. Applicability. The ROE set out in this document apply to all armed military personnel assigned to AMICA as authorized by the Peace and Security Council. 10. Responsibility of the Force Commander and Subordinate Commanders:

a. The implementation of the ROE is a command responsibility. The ROE are addressed to the Force Commander, who is then responsible for issuing them to all Subordinate Commanders.

b. The Force Commander and his/her Subordinate Commanders are not permitted to exceed these ROE, but may, when and as appropriate, recommend more restrictive limits on the actions of assigned forces, for African Union Headquarters (AU HQ) approval. The Force Commander will issue the ROE to all contingents as received from AU HQ. He/she will ensure that all military personnel understand and apply these ROE correctly. The Force Commander and/or the subordinate commanders may issue additional guidance on the ROE and may incorporate these ROE into appropriate orders or instructions. The subordinate commanders must inform the Force Commander of such instructions issued by them.

c. All commanders must seek clarification if they consider the authorized ROE to be unclear or inappropriate for the military situation.

d. It is the responsibility of the contingent commanders to ensure that all those under their command understand these ROE. To this end, the ROE must be translated in a clear and concise way into the language of each troop-contributing country. To assist in this process, they must issue to each individual an ROE Aide-Memoir (Blue Card), translated into the language(s) appropriate for each contingent.

e. Training in the application of ROE is the responsibility of commanders at all levels. ROE training sessions must be conducted on a regular basis and as a minimum once per month and whenever AMICA military personnel, including individual replacements or reinforcements as authorized by the Security Council, are deployed into the mission area.

f. The Force Commander shall issue a Detention and Disarmament Policy setting out his directives for implementing the ROE including:

(1) grounds for apprehension/detention;

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(2) search procedure following apprehension; (3) detention procedure following apprehension (4) weapons confiscation and disarmament; (5) treatment of detainees

11. ROE Contravention. The following procedures apply in dealing with an AU ROE contravention:

a. Any ROE contravention must be reported to AU HQ, through the AU chain of command, by the quickest possible means.

b. Flanking and subordinate commands should be informed where the consequences are likely to affect them.

c. Remedial measures, including training, must be taken to avoid reoccurrence.

d. Any contravention must be subject to a formal investigation. Any alleged contravention of the ROE must be investigated in accordance with the AMICA Standard Operating Procedures and the Directives for Disciplinary Matters involving Military members of National Contingents. The findings will be forwarded to African Union Headquarters, which will provide relevant evidence and findings to the troop contributing country for follow-up and disciplinary action. The troop contributing country may also undertake its own investigation.

12. Security Classification. The ROE should be classified as AU RESTRICTED. 13. ROE Changes. These ROE can only be amended or changed with the authority of the Commissioner, Peace and Security. 14. Revocation. N/A XXXXXXXXXXXXXXX Commissioner, Peace and Security

31 August 2011 Annexes: A. Authorized Rules of Engagement for AMICA B. ROE for AMICA – Definitions and Amplifications C. ROE for AMICA – Supporting Directives and Procedures D. ROE for AMICA – Weapon States

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ANNEX A TO AUTHORIZED NUMBERED RULES OF ENGAGEMENT

FOR AMICA

Security Council Resolution 1. The Peace and Security Council, by PSC/PR/Comm (CXXV) decided to establish an African Union Mission Carana (AMICA) with effect from 20 October 2010. The successful completion of the AU mission will result in Carana achieving peace and security. The Peace and Security Council thereupon decided by PSC/PR/Comm (DCLX) to extend the African Union Mission in Carana for an additional period of 6 months and further decides that AMICA will consist of up to 3000 African Standby Force military personnel, including up to 200 military observers and up to 750 police officers including four formed police units to assist in the maintenance of law and order throughout Carana, and a civilian component numbering up to 92 personnel.

2. The AU Peace and Security Council appointed the Special Representative of the Chairperson of the Commission (SRCC) to direct the operations of AMICA and coordinate all AU activities in Carana.

AMICA Mandate 3. Under the provisions of the Peace and Security Council, PSC/PR/Comm (DCLX), the AMICA mandate consists of the following elements:

o To provide support to the Government of Carana for the furtherance of dialogue and reconciliation in the Baka I and Baka II Comprehensive Agreements.

o To establish, in conjunction with the Government of Carana, a safe and secure environment in Leppko and Mahbek provinces:

o To support the investigation of violations of human rights that are alleged to have taken place in the Leppko and Mahbek Provinces of Carana.

o To exercise the right to protect civilians under threat of physical danger.

o To exercise its right of self-defence, including the right to protect its personnel, installations and equipment.

o To provide support for Humanitarian and Human Rights Assistance:

to facilitate the provision of humanitarian assistance, including by helping to establish the necessary security conditions;

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to monitor the human rights situation, to contribute towards

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international efforts to protect and promote human rights in Carana, with particular attention to vulnerable groups including returning internally displaced persons, abductees, women and children as well as provide human rights technical assistance as needed in close cooperation with United Nations agencies, related organizations, government organizations and non-governmental organizations;

to ensure an adequate human rights presence, capacity and expertise within AMICA to carry out human rights promotion, protection, and monitoring activities;

o Support for Implementation of the Peace Process:

to assist the Government in conjunction with other international partners, in the re-establishment of national authority throughout the country;

to assist the government in restoring proper administration of natural resources;

to assist the Government in conjunction with other international partners in developing a strategy to consolidate governmental institutions, including a national legal framework and judicial and correctional institutions;

to assist the Caranese Government in establishing a National Commission for disarmament and restructuring of Caranese Security Forces in Leppko; and,

Extent the authority of the Joint Commission for the Peace Agreement (JCPA) to Leppko Province.

o To establish in conjunction with the Government of Carana, a Reform and Restructuring program for the Caranese Security Forces (National Police (FPN), Border Police and Gendarmerie), in particular:

Provision of assistance to the Caranese Police Force in public order management and crowd control;

Provision of support to the Caranese Gendarmerie in the control of fraud, organized crime and corruption;

Monitoring, mentoring and advising the police of Carana, with priority to the areas of greatest civil instability, consistent with democratic policing and international standards, including mechanisms to build integrity and address corruption;

Development of a civilian police training programme, Gendarmerie training program and a Police Border training program in cooperation with interested organizations and interested States.

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SPECIFIC RULES OF ENGAGEMENT FOR AMICA

4. The following ROE have been authorized for use by the African Union :

Rule 1 — Use of Force

Rule No 1.1 Use of force, up to and including deadly force, to defend oneself and other AU personnel against a hostile act or a hostile intent, is authorized.

Rule No 1.2 Use of force, up to and including deadly force, to defend other international personnel against a hostile act or a hostile intent, is authorized. Rule No 1.3 Use of force, up to and including deadly force, to resist armed attempts to abduct or detain oneself and other AU personnel, is authorized. Rule No 1.4 Use of force, up to and including deadly force, to resist armed attempts to abduct or detain other international personnel is authorized. Rule No 1.5 Use of force, up to and including deadly force, to protect African Union installations, areas or goods designated by the SRCC in consultation with the Force Commander, against a hostile act, is authorized. Rule No 1.6 Use of force, up to and including deadly force, to protect key installations, areas or goods designated by the SRCC in consultation with the Force Commander, against a hostile act is authorized. Rule No 1.8 Use of force up to and including deadly force, in order to protect civilians under immediate threat of physical violence, is authorized. Rule No 1.9 Use of force (not including the use of deadly force) to prevent the escape of any apprehended or detained person, pending hand-over to appropriate civilian authorities, is authorized. In case of necessity to act in self-defence, use of force, up to and including deadly force, is authorized. Rule No 1.10 Use of force, up to and including deadly force is authorized:

a. In order to protect the security of AU personnel; and

b. Against any individual and/or group who limits or intends to limit the freedom of movement of AU personnel.

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Rule No 1.11 Use of force up to and including deadly force, to resist armed/forceful attempts to prevent AU personnel from discharging their duties is authorized.

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Rule 2 — Use of Weapon Systems

Rule No 2.1 Use of explosives in order to destroy weapons, ammunition, mines and unexploded ordnance, in the course of the disarmament exercise, is authorized.

Rule No 2.2 Indiscriminate pointing of weapons in the direction of any person is prohibited.

Rule No 2.3 Firing of weapons other than for organized training and as authorized in these ROE, is prohibited.

Rule No 2.4 Firing of warning shots is authorized.

Rule No 2.5 Use of riot control equipment and agents is authorized.

Rule No 2.6 Use of lasers for survey, range finding and targeting is authorized.

Rule No 2.7 Use of Grenades and Grenade 40 mm HE is authorized only when necessary for immediate self-defence or the immediate defence of others authorized to be defended under these ROE against a hostile act or demonstration of hostile intent.

Rule 3 — Authority to Carry Weapons

Rule No 3.1 Carriage of loaded personal weapons is authorized.

Rule No 3.2 Overt carriage by individuals of hand-held support weapons such as machine guns, light mortars and hand held anti-tank weapons, is authorized. Rule No 3.3 Deployment and carriage of weapons on or in vehicles, aircraft and vessels is authorized.

Rule 4 — Authority to Detain, Search and Disarm

Rule No 4.1 Detention of individuals or groups who commit a hostile act or demonstrate a hostile intent against oneself, one’s unit or AU personnel is authorized. Rule No 4.2 Detention of individuals or groups who commit a hostile act or demonstrate a hostile intent against other international personnel is authorized.

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Rule No 4.3 Detention of individuals or groups who commit a hostile act or demonstrate hostile intent against any civilian, or against installations and areas or goods designated by the SRCC in consultation with the Force Commander is authorized. Rule No 4.4 Searching of detained persons for weapons, ammunition and explosives, is authorized.

Rule No 4.5 Disarming of armed individuals or groups, when so directed by the Force Commander, is authorized.

Rule No 4.6 In the absence of police authority, warning and questioning of persons is authorized if those persons are known to be obstructing or otherwise interfering with the AU mission, or are believed, on reasonable grounds to be so doing.

Rule No 4.7 In the absence of police authority, detention and search of persons is authorized if those persons are known to be obstructing or otherwise interfering with the AU mission or are believed on reasonable grounds to be so doing.

Rule 5 — Reaction to Civil Action or Unrest

Rule No 5.1 In the absence of police authority, detention of any person who commits or threatens to commit a crime, is authorized.

Rule No 5.2 In the absence of police authority, warning and questioning of suspicious person or persons obstructing or otherwise interfering with the AU mission are authorized.

Rule No 5.3 In the absence of police authority, detention and search of suspicious person or persons obstructing or otherwise interfering with the AU mission are authorized. Rule No 5.4 In the absence of police authority, security operations such as roadblocks, barriers, cordon and search and prohibition of entry, which may disrupt the normal pattern of civilian life, are permitted to the extent necessary for mission accomplishment.

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ANNEX B TO RULES OF ENGAGEMENT FOR AMICA

DEFINITIONS AND AMPLIFICATIONS

1. Civil unrest: the commission, perpetration or instigation of acts of violence, which affect public peace and order. 2. Collateral Damage. Incidental loss of civilian life, injury to civilians, or damage to civilian property not part of an authorized target. 3. Cordon. A deployment of AMICA personnel around an object or location with the intent to isolate an area and restrict and/or control both access and exit. 4. Detainee: A detainee or detained person means any person deprived of personal liberty except as a result of conviction of an offence. 5. Force. The use of, or threat to use, physical means to impose one's will. Such means are used by formed, armed and disciplined bodies of AMICA and generally imply the potential to use appropriate and authorized levels of violence.

a. Armed Force. The use of weapons, including firearms and bayonets. Note: Such weapons are generally designed to inflict deadly force, but can also be used in a non-deadly manner.

b. Deadly Force. The level of force which is intended, or is likely to cause, death regardless of whether death actually results. This is the ultimate degree of force.

c. Non-deadly Force: The level of force which is neither intended nor likely to cause death, regardless of weather death actually results.

d. Minimum Force. The minimum degree of authorized force which is necessary and reasonable in the circumstances, to achieve the objective. The minimum degree of force is applicable whenever force is used. Minimum force can be deadly force if appropriate.

e. Unarmed Force. The use of physical force, short of the use of “armed force”. NOTE: Riot control equipment and other ‘non-lethal weapons’ may be used as a means of unarmed force as they are designed and intended to be used so as not to inflict deadly force.

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6. Hostile Act. An action where the intent is to cause death, serious bodily harm or destruction of designated property. 7. Hostile Intent. The threat of imminent and direct use of force, which is demonstrated through an action which appears to be preparatory to a hostile act. Only a reasonable belief in the hostile intent is required, before the use of force is authorized. Whether or not hostile intent is being demonstrated must be judged by the on-scene commander, on the basis of one or a combination of the following factors:

a. The capability and preparedness of the threat. b. The available evidence which indicates an intention to attack. c. Historical precedent within the Mission’s Area of Operations (AO).

8. Loaded Weapon. A weapon that has ammunition attached to it but none of the ammunition has been placed into the chamber. 9. Positive Identification. Assured identification by a specific means. This can be achieved by any of the following methods: visual, electronic support measures, flight plan correlation, thermal imaging, passive acoustic analysis or Identify Friend or Foe (IFF) procedures. 10. Proportionality. The amount of force which is reasonable in intensity, duration and magnitude, based on all facts known to the commander at the time, to decisively counter a hostile act or hostile intent, or to achieve an authorized objective. 11. Reasonable Belief. Reasonable belief is when the Commander, or individual, logically and sensibly concludes, based on the conditions and circumstances in which he or she finds him or herself that a hostile threat exists. 12. Self-Defence. Self-Defence is the use of such necessary and reasonable force, including deadly force, by an individual or unit in order to protect oneself, one’s unit and all AU personnel against a hostile act or hostile intent. 13. Preemptive Self-Defence. Action taken to pre-empt an imminent hostile act, where there is clear indication that an attack is about to be made against oneself, one’s unit and AU personnel. 14. AU Personnel. All members of AMICA (including locally recruited personnel whilst on duty), AU officials and experts on mission on official visits.

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15. Other International Personnel. Personnel belonging to international agencies associated with AMICA in the fulfilment of its mandate, and other individuals or groups formally and specifically designated by the SRCC in consultation with AU

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HQ, including:

a. Members of organisations operating with the authority of the AU Peace and Security Council (PSC) or General Assembly (GA);

b. Members of authorized charitable, humanitarian or monitoring organisations;

c. Other individuals or groups specifically designated by the Special Representative of the Chair of the Commission (SRCC);but excluding foreign nationals such as businessmen and journalists.

16. Warning Shots. A warning shot is a signal demonstrating resolve, or a capability to convince persons to stop threatening actions, or as a warning and potential precursor to the actual use of deadly force. A warning shot is a shot fired at a safe point of aim with no intent to cause death, injury or severe damage.

AMPLIFICATIONS

17. General Amplification to Rule No 1: Rule No 1 generally allows the use of force up to and including deadly force in given circumstances. Any use of force must be graduated where possible and only the minimum force necessary to meet the threat must be used. This does not prevent the immediate use of deadly force if the threat to life is imminent and there is no alternative but to use deadly force immediately to remove that threat. 18. Amplification to Rule No 1.5 and Rule No 1.6: The minimum force necessary, NOT including deadly force, may be used to protect your property and property (including buildings and installations) it is your duty to protect. Deadly force, including opening fire, may ONLY be used against an individual or group who:

a. Attempts to damage or destroy property whose damage or destruction is likely to endanger the life of, or cause serious injury to, yourself or any other person; or

b. Attempts to destroy property that has been declared ‘designated property’ by the Force Commander; and

c. There is no other reasonable way to prevent the individual or group from so acting.

19. For the purposes of both Rule No 1.5 and Rule No 1.6, the following property has been designated by the SRCC and declared ‘designated property’ by the Force Commander:

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a. AMICA aircraft and vessels, including any aircraft and vessels of Troops Contributing Countries (TCC) that are deployed to the AMICA AO for the purpose of assisting AMICA to fulfill the mandate (whether occupied or not);

b. Occupied AMICA vehicles, premises and compounds (including police stations, courts, and other central and district administration buildings);

c. Occupied vehicles, premises and compounds of organizations and agencies who are assisting AMICA in the fulfillment of its humanitarian mandate, other international organizations, foreign government agencies and non-governmental organizations;

d. Carana community power stations and water reticulation and purification plants (whether occupied or not);

e. AMICA arming and refueling points (whether occupied or not); and

f. AMICA and civil communication facilities essential for AMICA command and control between battalions, units and higher headquarters (whether occupied or not).

20. Amplification to Rule No 1.9: Deadly force may only be used (as part of a graduated response where possible) where the attempt to restrict movement if successful would likely result in the loss of life or serious injury to any person. 21. Amplification to Rule No 1.10: Deadly force may only be used (as part of a graduated response where possible) where the attempt to prevent AMICA personnel from discharging their duty if successful would likely result in the loss of life or serious injury to any person. This does not prevent you from using non-deadly force to resist the individual or groups attempt to prevent you from discharging your duties. If in so doing the response from that individual or group threatens yours or any other person’s life, or is likely to cause serious injury, then deadly force may be used. 22. General Amplification to Rule No. 5: Action taken by PKF in relation to persons who are involved in civil actions or unrest shall only occur in the following circumstances: while performing routine activities PKF observe serious criminal activity; Force/Mission protection; providing assistance to Carana Security Agencies in accordance with agreed procedures; and while operating in the vicinity of the tactical coordination line/ border until border normalization is achieved. Persons who are detained are to be treated in compliance with Annex C and the Force Commander’s Detention and Disarmament policy issued separately. 23. Amplification to Hostile Intent. Hostile intent will always be determined on a case-by-case basis and will be heavily dependent upon local conditions. Hostile

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intent can be demonstrated by:

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a. persons that carry out armed attacks against AU personnel and other international personnel or against those falling under the protection of AMICA;

b. members of any military or paramilitary group or organization carrying personal weapons or manning weapon systems, whether or not they are engaged in attacks against AU personnel, other international personnel and/or those falling under the protection of AMICA;

c. civilians that spontaneously take up arms against AU personnel, other international personnel or those falling under the protection of AMICA.

24. In the case of Militia or suspected Militia, at all times the determination of hostile intent shall require weapons being carried in a manner deemed ready for immediate use. When AMICA Security Force units are confronted by Militia or suspected Militia who are:

a. Positively recognized, and

b. Carrying firearms and/or grenades, and

c. Operating in a tactical manner,

Then such Militia or suspected Militia may be engaged on the basis that they are demonstrating hostile intent. In such circumstances the requirement to provide a warning in accordance with paragraph 6 of Annex C is not mandatory. 25. NOTE: ‘Positively recognized’ means that a person is observed and is understood to be Militia or suspected Militia. 26. ‘Operating in a tactical manner’ shall be determined on a case-by-case basis. The following examples would normally constitute operating in a tactical manner:

a. Militia or suspected Militia patrolling in a tactical manner or military formation;

b. Militia or suspected Militia in an ambush position;

c. Militia or suspected Militia deployed or deploying at a road block(s);

d. Militia or suspected Militia deployed or assessed as deploying as an armed sentry, or sentries to their position.

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ANNEX C TO RULES OF ENGAGEMENT FOR AMICA

SUPPORTING DIRECTIONS AND PROCEDURES General

1. Identification. Assured identification (positive identification) of hostile forces (groups and persons) prior to engagement is required. Unobserved indirect fire is prohibited.

2. Civil Action. AMICA military personnel should avoid any action which would result in the disruption of legitimate civil activities in the mission area.

3. Prohibitions. The following prohibitions are to be observed, even when authorized ROE are being used:

a. Use of certain weapons and methods of combat under the relevant instruments of international humanitarian law, including, in particular, the prohibition on the use of asphyxiating, poisonous or other gases and biological methods of warfare; bullets which explode, expand or flatten easily in the human body; and certain explosive projectiles. The use of certain conventional weapons, such as non-detectable fragments, anti-personnel mines, booby traps and incendiary weapons is prohibited.

b. Use of weapons or methods of warfare which may cause superfluous injury or unnecessary suffering, or which are intended, or may be expected to cause, widespread, long-term and severe damage to the natural environment.

c. Use of weapons or methods of combat of a nature to cause unnecessary suffering.

d. Attacks on monuments of art, architecture or history, archaeological sites, works of art, places of worship and museums and libraries which constitute the cultural or spiritual heritage of peoples. In its area of operation, the AU shall not use such cultural property or their immediate surroundings for purposes which might expose them to destruction or damage. Theft, pillage, misappropriation and any act of vandalism directed against cultural property are strictly prohibited.

e. Use of methods of warfare to attack, destroy, remove or render useless objects indispensable to the survival of the civilian population, such as foodstuff, crops, livestock and drinking water installations and supplies.

f. Making installations containing dangerous forces, namely dams, dikes and nuclear electrical generating stations, the object of military operations if such operations may cause the release of dangerous forces and consequent severe losses among the civilian population.

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g. Engaging in reprisals against objects and installations protected under this paragraph above.

h. Engaging in punitive use of force and retaliation.

4. Cordon Principles. Cordons may only be conducted if the Force Commander judges that the situation warrants isolation of the area and that such action is consistent with the mandate of AMICA.

WARNING PROCEDURES

5. General. The use of armed force is normally a measure of last resort, in

response to a hostile act or hostile intent. If a confrontation threatens the AMICA military personnel on the scene, the AU aim must be to dissuade the parties concerned from carrying on.

6. Graduation. The following graduated procedures are to be observed:

a. Verbal Negotiation and/or Visual Demonstration. Every effort must be made to warn any potential or actual aggressor before AMICA military personnel respond with force. The aim is to stop hostile activity.

b. Unarmed Force. If the preceding step is unsuccessful, where possible, minimum unarmed force may be employed. If riot control equipment or other non-lethal weapons are possessed by AMICA personnel trained to use those weapons, and where they would be an effective means to bring the threat to an end before having to resort to deadly force, then they may be used if authorized by the on-scene commander.

c. Charge Weapons. An attempt should be made to make use of the visual and audible effect of charging weapons to convince any aggressor that failure to stop the aggressive activity may result in the use of deadly force.

d. Warning Shots. If the threat continues, and subject to the orders of the commander on the scene, warning shots should be fired at a safe point of aim, to avoid causing personal injury or collateral damage.

e. Armed Force. If all the preceding steps, including the use of unarmed force, are unsuccessful and there are no other choices available, the necessary armed force may be used. The decision to open fire will be made only on the order and under the control of the on-scene Commander, unless there is insufficient time. Before opening fire, a final warning is to be given as follows:

i. The warning may be given verbally (in English and in the local language and / or visually by a sign or by illumination (e.g. hand-held red flares, searchlights, etc).

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ii. You are to challenge in English:

iii. “AFRICAN UNION, HALT OR I SHOOT”.

iv. This challenge will be repeated in French as follows:

v. “UNION AFRICAINE, HALTE OU JE TIRE”

vi. The verbal or visual warning should be repeated as many (and at least three) times as necessary to ensure understanding or compliance.

FIRING PROCEDURES

7. Opening Fire Without Warning. The only circumstance, under which it is

permitted to open fire without attempting to follow the warning sequence, would be if an attack by an aggressor comes so unexpectedly that, even a moment’s delay could lead to death of, or grievous injury to oneself, AU personnel and those who are under the protection of AMICA as specified in this ROE.

8. Procedures During Firing. The use of firearms must be controlled, and there should be no indiscriminate firing. Automatic fire should only be used as a last resort. The following points must be kept in mind during fire:

a. Fire must be aimed.

b. Minimum rounds are to be fired to achieve the authorized objective.

c. All necessary precautions are to be taken to avoid collateral damage.

9. Procedures After firing. After any weapon firing, the following actions are to be taken:

a. Medical Assistance. All injured persons should be given first aid as soon as possible, when such aid can be given without endangering lives.

b. Recording. Details of the incident are to be recorded, including:

i. Date, time and place of firing;

ii. Unit and personnel involved;

iii. The events leading up to firing;

iv. Why AMICA personnel opened fire;

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v. Who or what was fired on;

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vi. The weapons fired and the number of rounds discharged;

vii. The apparent results of the firing; and

viii. A diagram of the incident scene.

10. Reporting. Following an immediate report that firing has taken place, the above information and the current situation are to be reported through the AU chain of command, to the Force Commander and AU HQ as rapidly as possible.

SEARCH AND APPREHENSION PROCEDURES

11. See the Force Commander’s Detention and Disarmament Policy issued separately.

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ANNEX D RULES OF ENGAGEMENT FOR AMICA WEAPON STATES

1. General. The weapon states provided below may be authorized by the Force

Commander as he believes operationally appropriate provided the state selected does not exceed the authority given by Peace and Security Council PSC/PR/Comm (DCLX) of 30 August 2011 and all other relevant subsequent resolutions and as defined in the Numbered ROE for AMICA.

2. In urgent circumstances, a commander or individual soldier may increase weapon readiness. As soon as the immediate danger has passed, weapon readiness status will be returned to that ordered by higher authority.

3. Graduated Weapon States:

State 1 — Personal Weapons (Rifles, carbines, light machine guns and pistols); 1.1 Personal weapons should be carried in a non-offensive manner.

1.2 Personal weapons may be carried by all military personnel serving in

formed AMICA military units, but ammunition is to be carried separately from the weapon.

1.3 Personal weapons may be carried and have a loaded magazine or

belted ammunition inserted in or attached to the weapon. However, the weapon may not be cocked and no ammunition may be inserted into the breech or chamber.

1.4 Personal weapons may have a loaded magazine or belted ammunition

inserted in or attached to the weapon. The weapon may be cocked and ammunition may be inserted into the breech or chamber.

State 2 – Anti-tank weapons;

2.1 Anti-tank weapons / RPG may be carried covertly by designated AMICA military personnel.

2.2 Anti-tank weapons / RPG may be carried overtly by designated AMICA

military personnel State 3 — Riot Control Weapons;

3.1 No riot control weapons may be carried. 3.2 Riot control weapons may be issued to AMICA patrols, but are to be

carried in patrol vehicles and must remain out of sight of non-AU

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personnel.

3.3 Riot control weapons may be carried openly. State 4 — Laser Equipment;

4.1 Ground / vehicle laser sources may only be used in the "Passive" state.

4.2 Ground / vehicle laser sources may be used in the "Active" mode. All

reasonable precautions are to be taken to ensure that no injuries are inflicted as a result of the use of laser.

State 5 — Mortars;

5.1 Mortars may be carried covertly by AMICA patrols and in AMICA vehicles.

5.2 Mortars may be carried overtly by AMICA patrols and in AMICA vehicles.

State 6 — Ground, Vehicle and Aircraft- Mounted Weapons (Crew served weapons); 6.1 Ground, vehicle, vessel and aircraft-mounted weapons may be

deployed, but not loaded with missiles or shells. Where the weapon system contains ammunition integral to the system, the weapon is not to be prepared for firing i.e. not “charged”.

6.2 Ground, vehicle, vessel and aircraft mounted weapon systems may be

prepared for firing i.e. “charged”.

State 7 — Helicopter- Mounted Weapons;

7.1 Helicopter-mounted missiles may not be deployed.

7.2 Helicopter-mounted guns and missiles may be deployed. Guns may have a loaded magazine or belted ammunition inserted in or attached to the weapon, but they may not be cocked, and no ammunition may be inserted into the breech or chamber. Missiles may not be prepared for immediate firing.

7.3 Helicopter mounted guns and missiles may be deployed. Guns may

have a loaded magazine or belted ammunition inserted in or attached to the weapon and may be cocked and ammunition inserted into the breech or chamber. Missiles may be prepared for immediate firing.

NB: Instructions for armoured-fighting vehicles (AFV), artillery\howitzer guns, anti-aircraft systems and any additional weapon systems authorized by the African Union will be issued separately.

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AMICA MISSION HEADQUARTERS

JOB DESCRIPTIONS

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CIVILIAN COMPONENT

SRCC Roles and responsibilities

The SRCC is the senior AU representative and has overall authority over AU activates in the Carana. He is responsible for implementing the AU Nations Mission plan and developing strategies to achieve these goals using the political, operational and financial resources available. In consultation with Mission Leadership Team, SRCC directs use of mission resources in the most effective manner possible. During the early months of a mission, SRCC establishes the mission’s political presence by, among other things, reaching out to the parties to the conflict, concerned governments, civil society, etc., and ensuring the mission is fully engaged in any ongoing political processes concerned with the peace process that the mission is mandated to support. Office of the SRCC drives the start-up of the new mission through the formation of key managerial forums and by guiding and monitoring mission progress in critical early areas of start-up such as planning, budgeting and recruitment.

Initial operating capability:- The following are key levels of IOC that, once achieved, would indicate that start-up phase has been completed:

• Initial contact networks established with parties, UNCT, key foreign and regional governments, CSO and international non-governmental organizations (NGOs).

• MLT (SRCC/HOM, DSRCC, Head of Mission Support) positions recruited and offices functional.

• Designated official duties being executed and SMG is meeting regularly.

• Mission command and control and reporting arrangements in place and clearly communicated, along with any specific delegations of authority by SRCC/HOM.

• DSRCC designated to cover SRCC/HOM absences from mission area.

• AU Mission Plan finalized and being monitored.

• First budget submissions complete and defended in budget committees.

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• Peace process monitoring and capacity for mandate implementation reporting in place.

• Reporting system to AU HQ established, including secure communications.

• Military and police components deploying on schedule, if not completely deployed.

• Field office structure deploying on schedule to complement military sector structure.

Programme of senior management visits of field offices agreed to.

• Relations with UNCT are properly managed through regular meetings and joint activates.

• Public information strategy under way.

• SOMA/SOFA complete or in final stages.

Implementation of the AU Mission Plan

In Preparation to begin mission operations, SRC/HOM should:

• Initiate contact with key political leaders, including presentation of credentials as required, as well as with diplomatic and donor community.

• Advocate mission’s mandate to political leaders and wider community. Ensure Spokesperson develops a mission-wide communications plan.

• Consider mechanisms to bring parties, the United Nations, other institutions, groups of Member States, etc. together to discuss and assess implementation of peace agreement.

• Task DSRCC, Force Commander and COS with organizing mission to interact appropriately with any external joint bodies/structures (e.g. joint monitoring commission) that may be created to help oversee peace process.

• Provide priorities and senior management direction for substantive mission components that have highly subjective mandates (e.g. Political Affairs/Civil Affairs, etc.) to ensure coherent mission approach

Critical Managerial Tasks and Issues:

Following are SRCC/HOM critical tasks for managing mission start-up

Planning

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• Articulate strategic vision for new mission and issue directives to begin mission planning process. Task day-to-day development and coordination responsibility to DSRCC or COS.

• Encourage all members of senior management to review assumptions in planning materials handed over by AU HQ in preparing mission planning inputs.

• Task DSRCC to engage in planning processes through mechanisms such as joint planning cell or regular planning coordination that maximizes buy-in among mission staff and takes into account pre-existing AU resources on the ground.

• Once AU Mission plan and unit work plans approved and adopted, task COS to establish and maintain mechanism for monitoring implementation process and identifying necessary adjustments to mission plan in the face of changing circumstances or wrong assumptions.

• Develop work plan and provide clear ToR to all staff.

Budgeting

• Designate COS as mission-wide focal point for process and instruct COS to begin staff training on budgeting as soon as possible.

• Task COS, Head of Mission support, CAS and Budget Officer to use budgeting process to devise budget based on mission plan and individual unit work plans. Ensure resource requests reflect mission’s strategic and operational priorities as set out by senior management AU Mission plan.

Recruitment

• Ensure AU HQ recruits and deploys quality Head of Mission Support and Human Resources officer as priority posts.

• Ensure COS and identify key mission vacancies and recruitment plan devised to fill priority vacancies on urgent basis.

• Encourage all senior management members to recruit qualified women, especially in upper management and substantive posts.

Other Issues

• Security. When appointed as designated official (DO) for security convene and chair senior management team meeting as priority and establish regular meeting format. Task head of Mission Support, Security Adviser and COS to ensure security requirements and rules

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communicated to all staff and factored into all mission planning and budgets.

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• Task COS to establish CMT and detail its position within authority, command and control structure.

• Governance arrangements. Institute clear authority, command and control, and managerial arrangements for mission through clear directive. Chair regular senior mission leadership meetings. Task COS to act as secretary to MLT and convene regular MLT meetings to discuss administrative and substantive issues.

• Reporting. Task COS to establish clear reporting requirements from mission components to O/HOM and follow mission-to-AU HQ reporting requirements. Ensure flow of information downward from SRCC/HOM and MLT to section chiefs, field offices, liaison offices, etc. (e.g. distribution lists for outgoing/incoming code cables)

• Joint structures. Ensure joint bodies (e.g. JMAC, JOC) established as fully integrated structure as quickly as possible. Ensure they have proper resources and mandates, and fully incorporated as key components of mission’s information flow. Give priority guidance to JOC and JMAC on information and analytical needs of MLT.

• SOMA/SOFA. Seek early agreement with host government on SOMA/SOFA, including through high-level demarches, to have these signed and in place (ideally before large numbers of staff and troops arrive).

• Support arrangements. Consult with Head of Mission Support t identify key issues facing support elements vis-à-vis host government that could be best addressed through FSRSG/HOM contacts with Ministry of Foreign Affairs.

DSRCC

• The DSRCC of a multi-dimensional peacekeeping operation is the AU representative in the mission area who directly report to the SRCC and the DSRCC represents the SRCC and speaks on his behalf within the mission area. The DSRCC is working within the framework established by the SRCC that guides the activities of the mission. The DRSCC directly supports and coordinates the work of Human Rights, political Affairs/Civil Affairs, Gender Adviser and Humanitarian Affairs. The DSRCC reports directly to the SRCC.

• The DSRCC will be responsible for establishing and supervising appropriate management arrangements and procedures to ensure effective coordination between the military, police, political, human rights, humanitarian and mission support components of the mission.

• The DSRCC will uphold human rights law and humanitarian principle in the implementation of the mission’s mandate and support the creation of an effective humanitarian operating environment.

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• The DSRCC will engage – as per SRCC directive-with the AU Team/Au Agencies, to ensure that mission planning and operations management are compatible with long-term national development goals and that mission exit strategies clearly articulate the hand-over of ongoing activities to the other AU Agencies/Teams and other relevant actors.

• The DSRCC in the framework of the humanitarian or development response, such as community assistance campaigns, Quick Impact projects (QIPs) or Disarmament Demobilization and Reintegration (DDR) activities, the DSRCC, will establish effective approval and coordination mechanisms to ensure maximum coherence and prevent any adverse impact on humanitarian and development operations.

• The DSRCC may supervise strategic planning, if the SRCC establishes a strategic planning cell in the mission to engage the AU agencies non-governmental organizations (NGOs), and other relevant actors.

• The DSRCC will supervise Human Rights activities which are a cross-cutting concern for both the mission and the AU agencies and they need to be fully integrated into peace operations. All human rights functions will be co-coordinated by on component of the mission.

HEAD OF MISSION SUPPORT

• Oversees the work of the Mission Support section reporting to AMICA SRCC. Oversee annual budget and all aspects of administrative planning and reporting to AU HQ. Member of the AMICA senior management Team (SMT).

• To define and address the global administrative requirements of the mission including, inter alia, finance and budgetary requirements, human resources and procurement.

• To assist and advise on all administrative, personnel and financial issues.

• To initiate and provide administrative support of the mission including, inter alia, the establishment of systems for financial management, force generation and recruitment of international and local staff and procurement of goods and services.

• To provide training and assistance to the mission members related with all administrative, personnel and finance matters

• To develop suitable induction training packages on administrative matters for new members.

• To be able to study and propose operational and management decisions that have the objective to increase the efficiency of the mission service.

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• To assist the Head of mission support to set-up adequate internal control environment thus ensuring sound administrative management.

• To lead and coordinate the work by setting goals and deadlines and defining procedures and responsibilities.

• To lead the process to define and address the global administrative requirements of the mission including, inter alia, finance and budgetary requirements, human resources and procurement.

• To lead the staff responsible for the financial management of designated funds allocated to the mission.

CHIEF ADMINISTRATIVE SERVICES

• To monitor and direct day-to-day personnel, financial and administrative activates of the mission, as well as to lead the preparation of all necessary reports.

• To lead the process of developing suitable induction training packages on administrative matters for new members.

• Financial and budgetary management and development of essential policies for accounting.

• To supervise and coordinate activates related to budget, cash and banks, accountancy reports, and relations with the commission.

• To be responsible for the sound financial management of accounts payments, treasury, payroll, financial system and claims.

• To carry out measures to limit potential financial risk by taking relevant action i.e., evaluation the banking infrastructure and physical/electronic security of founds.

• Plan, analyze, design, program and implement all aspects of logistical needs of the Mission.

• Develop the logistical systems necessary for the Mission, with the adequate logistical support related to computers, vehicles, furniture, telecommunications, etc., suitable for the needs of al personnel.

• Establish a transport management system which incorporates controls of speed and mileage, fuel consumption, damages in the vehicles, road accidents and insurance cover.

• Coordinate and manage the distribution and reallocation of all logistical resources provide for the Mission, ensuring systems in pace for replacement and repair.

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• Coordinate and supervise storage, allocation and distribution, consumption and assessment of future needs as concerns fuel, vehicles and related equipment.

• Provide advice, support and training on logistics and transport related matters.

• Ensure the effective management of logistics databases, inventories and lists of equipment on the items related to his/her field of expertise.

• Produce reports concerning logistical issues; propose/recommend changes and improvements ensure accuracy and comprehensive policies and guidelines to the logistics aspects.

• Identify needs of goods and/or services specifically required for logistics area of responsibility and technically define the appropriate requirements of the means required to cover these needs.

• Participate in the procurement process by evaluating the technical features of the goods and services.

• Ensure the efficient execution of contracts relating to acquisition and maintenance/services contracts, including car insurance issues.

• Assist and support the General services by managing, coordinating or supporting in all general logistics-related issues, implementing policies in accordance with Standard Operating Procedures.

• Providing advice and support to managers and staff on logistics-related matters.

• Assisting in drafting logistics reports.

CHIEF INTEGRATED SUPPORT SERVICES

• Chief-JLOC reports to Chief integrated Services CISS.

• Coordinates the work of all elements in the Integrated Support services in consultation with the CISS.

• Assumes responsibility for all logistical activity including maintenance and repair, transport, movement control supplies, accommodation and medical issues

• Keeps abreast of the logistical situation in the mission.

• Ensures the accurate and timely submission of logistics reports and returns Chief ISS

• Disseminates information and coordinates with other military, police and civilian staff on pertinent issues.

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• Works closely with the CISS in the preparation of the budget

• Controls the joint tasking of all logistics unit

GENERAL SERVICE OFFICER

The Head of General Services will report to the Chief of Administration Services and will be responsible the performance of the following duties:

• Responsible for management of a self-accounting organization in accordance with the African union Financial Rules and Regulations.

• Direct work of subsidiary budgets and units, lead personnel and provide support services for mission’s components and staff through the following Units: MOVCON/travel that manages individual travel and shipments and monitor travelling agency performance.

• Mail and Records Management Unit that operates mail and registry, reproduction and records management’s functions.

• Property control and inventory unit which manages the mission’s assets verification program, monitors asset accountability and control procedures; reviews inventory ad discrepancy reports, advises other Self-counting Units on asset management policy and procedures and maintain the Assets Control database.

• Receiving and Inspection Unit which receives, inspects and accepts items before being segregated or assigned to inventory. Facilities and Camp Management Unit that provides Grounds maintenance, Sanitation, Accommodation, cleaning and Garbage collection services to mission’s installations. Claims and property Survey Unit that provides support for claims Review and Local property Survey Boards by drafting, presenting and following up claims and write of cases.

• Incumbent may also direct activities of Supply Unit that provides support to mission’s staff with a variety of office and general purpose commodities. Carry out other duties as required.

LEGAL ADVISOR

• Reporting to the SRCC, monitor mission planning and operations and provide legal advice to the mission leadership on the legal implications of any intended actions and their consequences, including matters pertaining to AMICA SOMA and RoE, Use of Force.

• To assess, prepare and propose conceptual, operational and management decisions from a legal point of view relating to AU mission planning, build-up and conduct.

• To advise the Mission on all legal aspects relating to AU mission.

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PRESS INFORMATION OFFICER/SPOKESMAN

• Act as Spokesperson for the SRCC and mission

• Develop and implement an effective public information campaign to keep the general public, mission members, stakeholders and partners informed of developments in support of the Yudifa Comprehensive Peace Agreement, mandate and activities of the AMICA

• Develop a media Strategy, proactively gather and generate mission information and conduct regular press briefings

• Develop regular public information guidelines that will assist mission staff with sharing a coherent mission view with all stakeholders and the media.

JOINT MISSION ANALYSIS CENTER (JMAC)

POLICE STAFF OFFICER

• Reports directly to head MAC and keeps Mission HQ police COS informed at the same time of any activity pertaining to his/her duties;

• Works in coordination and interacts with the staff officers of the police component of the MOC;

• With regard to specific police aspects, is in charge of;

i. Planning and supervising information gathering activities;

ii. Giving guidance for the gathering of information during all kind of operations (especially patrolling and contacts with local population);

iii. Receiving, processing, analyzing and disseminating information gathered through the chain of command;

• Maintains and updates the database concerning public order and security, Hot spots (HSs) and areas of Interest (AI), local police/Security Forces, criminal organization and terrorist threats;

• Plans investigations to be conducted by the police assets deployed in the AMICA police sectors by initiative or in support to local police/security agencies;

• Deals with security related matters including information security;

• Undertakes any other pertinent task required.

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MILITARY STAFF OFFICER

• Reports directly to head MAC and keeps Mission HQ Police COS informed at the same time of any activity pertaining to his/her duties;

• Works in coordination and interacts with the staff officers of the military and civilian component of the MOC;

• Works in coordination and interacts with the staff officers of the police component of the MAC;

• With regard to specific police aspects, is in charge of;

i. Planning and supervising information gathering activities;

ii. Giving guidance for the gathering of information during all kind of operation (especially patrolling and contacts with local population);

iii. Receiving, processing, analyzing and disseminating information gathered through the chain of command;

• Maintains and updates the database concerning public order and security, Hot Spots (HSs) and Areas of Interest (AI), local police/Security Forces, criminal organization and terrorist threats;

• Plans investigations to be conducted by the police assets deployed in the AMICA police sectors by initiative or in support to local police/security agencies;

• Deals with security related matters including information security;

• Undertakes any other pertinent task required.

JOINT OPERATIONS CENTER (JOC)

POLICE STAFF OFFICER

• Reports directly to head MOC and keeps Mission HQ Police COS informed at the same time of any activity pertaining to his/her duties;

• Works in coordination and interacts with the staff officers of the police component of the MAC;

• As police representative within the integrated nature of AMICA, is in charge of:

i. Following the current operations;

ii. Planning all routine operations;

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iii. Planning future operations;

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• With regard to specific police aspects, is in charge of:

i. Following investigations planned by the police component of the Mission Analysis Centre (MAC) for the possible implications on current and future operations;

ii. Promoting contacts with local law – enforcement agencies where applicable;

iii. Elaborating and issuing specific orders during operations and control their execution by means of mobile command posts or others, where appropriate;

• Contributes in the planning and organization of in-mission exercises and training activates;

• Elaborates lesson learned;

• Undertakes any other tasks required.

CIVILIAN REPORTING OFFICER

• Reporting to the Chief JOC, the reporting officer is responsible for covering civilian related issues in the JOC.

• Provide the senior mission leadership with a 24-hour situational awareness through timely and accurate monitoring and reporting on civilian related issues;

• Monitor implementation of mission operational activities;

• Request and collect situation updates from relevant entities in a timely manner;

• Collate and disseminate information of immediate operational interest;

• Provide consolidated daily operational reports;

• Support senior decision-making through effective and uninterrupted crisis communications information management and as a centralized location for crisis decision-making;

• Formulation and recommendation of all operational policies and concepts for AMICA;

• Responsible for the planning and scheduling of operational training programme for the Mission;

• Keep and maintain records of AMICA operational capability and recommend any change better operational capability;

• Assist in the joint preparation security plan for the mission headquarters, sectors and designated geographic area;

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• Facilitates coordination between mission, internal and external stakeholders and partners on civilian issues

• Facilitates mission coordination processes and mechanisms, between JOC and other civilian components on civilian issues

MILITARY STAFF OFFICER

As directed by Senior JOC/Current Operations Officer:

• Maintains the operational situation map.

• Supervises the operations filing system including all classified paper

• Performs as Duty Officer at the Joint Operations Center.

• Distributes messages to all concerned offices.

• Conducts briefings on current operations and prepares presentations.

• Prepares special cables on incidents.

• Liaises with personnel Branch on notification of casualties.

SUBSTANTIVE CIVILIAN FUNCTIONS

POLITICAL AFFAIRS

• Reporting to Deputy SRCC.

• Monitor and analyze the political aspects of the peace process and provide the mission leadership and headquarters with advice and reports on short, medium and long term developments and prospects

• Undertake conflict prevention and peacemaking initiatives and partake fully in the implementation of any ceasefire and peace agreements as may be required

• Draft the Reports of the SRCC to the Chairperson of the AU Commission

• Facilitate the work of the Joint Mission Analysis Cell (JMAC)

PLANNING & COORDINATION

• Facilitate the mission planning process (multi-year, annual, phase transitions, special events, drawing down, etc.)

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• Analyze and evaluate mission progress and provide periodic reports to mission leadership on progress against plans, problem areas and unintended consequences

• Facilitate coordination between mission, internal and external stakeholders and partners

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• Facilitate mission coordination processes and mechanisms, including the Mission Operations Centre (MOC) and the Mission Planning and Evaluation and Cell (MPEC)

HUMANITARIAN LIAISON


• Facilitate the establishment of a positive relationship between the humanitarian community and the various mission components, based on recognition and respect for humanitarian principles, including independence

• Explore ways in which the mission can support the humanitarian community and coordinate mission support to the humanitarian community, in coordination with the Civil-Military Coordination (CIMIC) section of the military component, where relevant.

HUMAN RIGHTS


• Facilitate the promotion and protection of human rights, with particular attention to women, children and other vulnerable persons, through: human rights monitoring and reporting, advise and education to the parties to the conflict, monitor and advice new institutions on human rights issues

• Coordination human rights issues with stakeholders and partners

GENDER


• Provide policy and technical advice to the senior mission leadership, the host government and partners on strategies for advancing gender equality and women’s rights in accordance with the African Union instruments on gender equality and women’s rights and the provisions of UN Security Council Resolution 1325 on women, peace and security;

• Provide expert technical advice to inform policy and operational activities of Mission components and ensure the delivery of appropriate training for all levels of personnel;

• Strengthen and expand partnerships including with the national machinery for the advancement of women’s rights and gender equality;

• Document and disseminate good practices and lessons learned to inform policy decisions.

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CHILD PROTECTION

• Facilitate and promote child protection in the peace process through advice, education and coordinating the child protection efforts among stakeholders internally and networking with external stakeholders and partners.

CONDUCT AND DISCIPLINE

• Disseminate, promote and familiarize AU staff with the AU PSO Code of Conduct;

• Monitor compliance with the Code of Conduct and the AU PSO Conduct and Discipline policies, and investigate all complaints according to the AU PSO Conduct and Discipline policies;

• Undertake proactive training and monitoring to prevent cases of sexual abuse and exploitation (SEA).

RULE OF LAW (ROL)

Judicial

• Monitor the judicial process and provide advice and assistance to promote the independence of the judiciary, highlight any improper pressure on judges, prosecutors and courts

• Provide expertise to improve the quality of justice and access to justice through reform of criminal law, policy and practice

• Collect, analyze and disseminate criminal justice data

• Assist the government to re-establish the authority of the judiciary and the rule of law throughout the territory

• Coordinate closely with the police and other state security services to ensure a coherent and system wide rule of law approach.

ELECTORAL AFFAIRS

• Provide technical and logistical advice and support to the Independent Electoral Commission (IEC)

• Facilitate and participate in the monitoring of elections

DISARMAMENT, DEMOBILIZATION AND REINTEGRATION (DDR)

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• Assist the parties to the conflict, in consultation with all stakeholders and partners, with the design and implementation of the national DDR programme

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CIVIL AFFAIRS

• Facilitate liaison between the mission and national, provincial and local authorities and civil society to assist with the recovery, rehabilitation and reconstruction of social services and the extension of state authority

• Coordinate with other stakeholders and partners active in this area

• Facilitate inter-communal dialogue and consultations as a confidence building measure

SECURITY SECTOR REFORM (SSR)

• Advice SRCC, Force Commander, Commissioner of Police and other relevant components on issues or initiatives associated with Security Sector Reform.

MISSION SUPPORT FUNCTIONS

HUMAN RESOURCES

• Human resources services, including recruitment and contract management of local and international personnel, managing staff conduct and behaviour

• Provision of staff welfare and counseling services

• Provide insurance and medical services including emergency medical evacuation

FINANCIAL

• Financial management services, including budgeting, accounting, cash management, payments and contractor management

PROCUREMENT

• The procurement of all aspects of logistical support, including life cycle management, for the mission including provision of: mission assets to all mission components, fleet management, provision of an integrated communications infrastructure system (CIS) including design, installation, etc.

LOGISTICS

• Logistics and integrated support, including distribution of mission assets to all mission components, including vehicles, computers and stationery and

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provide bulk supplies of water, fuel products and foodstuffs

ENGINEERING

• Provide accommodation, building management and civil engineering services

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GEOGRAPHICAL INFORMATION SERVICES (GIS)

• Geographical information and mapping services

INFORMATION, TECHNOLOGY AND COMMUNICATIONS (ITC)

• Design, install, operate and maintain mission-wide communications, including telephone, radio and data systems, proprietary information management systems; internet; intra-mission mail and diplomatic pouch service

TRANSPORT

• Fleet management and maintenance services

CONTINGENCY OWNED EQUIPMENT (COE)

• Monitoring, database management and inspection of Contingency Owned Equipment

SECURITY

• Provide security services to protect mission staff and assets

INTEGRATED TRAINING SERVICES

• Provide induction briefings for all military, police and civilian staff

• Support pre-deployment training by providing TCCs/PCCs with mission specific information

• Identify training needs and facilitate in-mission training; and

• Act as a clearing house for out-of-mission training opportunities offered to mission staff.

POLICE COMPONENT

AMICA POLICE COMMISSIONER

The Commissioner of Police (COMPOL) is responsible to the SRCC /HoM. He/She exercises final and complete command and control of all operational, personnel and administrative matters according to the degree of authority granted him. The COMPOL, when deemed necessary may delegate authority utilising the approved

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chain of command structure of the mission. The COMPOL is accountable and responsible to the SRCC/HoM for the supervision and operational management of the police component with particular responsibility to ensure effective and efficient mandate implementation and strict compliance with AU policies. The COMPOL must undertake prior consultation with the SRCC/HoM, with respect to any decisions regarding the police component that may have political implications.

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The COMPOL is responsible for the management, supervision, development, welfare and the discipline of the AMICA Police officers. The COMPOL is required to maintain the closest possible working Relationship with SRCC/HoM and other senior representatives of the Mission. These officials and others that may from time to time report to the SRCC/HoM should be kept fully informed about the organisation, deployment and Operations of the Police Component.

The COMPOL may assign particular police component duties to selected AMICA Police officers, following a consideration of the officers background and experience. The assignment of any contracted posts will be processed by AU Headquarters (HQ) in consultation with the mission. All assignment to senior posts in the police component must be made in close consultation with Strategic Headquarters (SHQ). Capabilities, special skills, national diversity and gender balance should be taken into account for the assignment of AMICA Police Officers.

The COMPOL is to hold regular interactive meetings with senior national police officers in order to discuss professional and welfare matters. An official record of these meetings must be prepared and kept in the archives of the COMPOL office and shared with the SHQ. The COMPOL exercises operational control over all AMICA Police officers. Police commanders at the regional/sector/team site levels are directly accountable to the COMPOL for the conduct and performance of their individual and team tasks. The COMPOL in consultation with the Strategic HQ, will establish the police component organizational structure, including a chain of command and control. Any amendment to the police component organization structure, including the chain of command and control, must be made in consultation with SHQ.

DEPUTY POLICE COMMISSIONER (D/COMPOL)

The D/COMPOL is responsible to the COMPOL. He/she assists him in the fulfillment of his duties and ensures the sound management of the physical and human resources of the Police organization in the performance of its tasks and mandate. In doing so, the D/COMPOL:

a. Liaises with local political and administrative authorities, and with military contingents when deemed appropriate, in order to ensure that a sound working relationship exists between Police officers and these various resource groups.

b. Supervises the Operations and Staff Sections of Police HQ and ensures that all operational matters are expeditiously processed.

c. Makes field visits to the Regions and stations on a regular basis to obtain an overall understanding of the working problems confronting Police and to provide advice in accordance with the COMPOL's policy and the goals of the Police addressed in this SOP Manual.

d. Through managerial review, ensures that the unit commanders are fulfilling their obligations, with reports to the COMPOL.

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e. Provides senior liaison with listed government officials, Civilian Administration, and other governmental agencies and NGO’s.

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f. Assumes the duties and responsibilities of the COMPOL in his absence.

g. Performs any other duties assigned to him by the COMPOL.

CHIEF OF STAFF OF AMICA POLICE COMPONENT (CoS).

The CoS is responsible to the D/COMPOL. He/she is responsible for the logistical, personnel and administration functions of the Police through delegation in the chain of command. He/she ensures that the organizational components work as a team to meet the Police and mission mandates. He/she also ensures that all tasks are performed effectively, efficiently and economically. The CoS also:

a. Coordinates the activities of those headquarters sections designated under his/her command.

b. Scrutinizes and evaluates the incoming and outgoing reports and messages for all sections under his/her command.

c. Conducts research and analysis of the written work of major staff, updates and issues policy directives, plans and orders of the COMPOL in his/her field of jurisdiction.

d. Prepares plans, orders, briefings and reports on Police matters as required.

e. Reviews and amends Police directives for approval by the COMPOL.

f. Supervises human resource levels and assists in the determination of the appropriate assignments and, by forecast planning, provides recommendations to the COMPOL on the timely appointment of suitable personnel to key command positions as they fall vacant.

g. Represents the COMPOL at meetings and briefings when the latter and D/COMPOL are absent.

h. Conducts visits to team sites to verify that morale is high, and work is being done in a fair and equitable manner and in accordance with sound and progressive management principles.

i. Ensures that newly arriving Police officers receive appropriate training and are expeditiously deployed to their field assignments.

j. Prepares reports and performs any other tasks assigned by the COMPOL.

k. Represents Police on Boards of Inquiries on mission level. He may chair

internal boards of inquiry.

CHIEF OF OPERATIONS (CoO)

The CoO is responsible to the D/COM for all operational matters among the following:

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a. Collates all messages and reports on operational matters and ensures that appropriate action is taken.

b. In consultation with D/COM, drafts operational guidelines and issues instructions relative to investigations and procedures to the field through the Chain of Command.

c. Conducts analysis of the workload of Police officers in the field and carries out inspections of records and investigation files to make sure that the work is being done, and that Police officers are performing their tasks in accordance with the directives of the COMPOL.

d. Prepares reports on the results of field visits in the appropriate format for the information of the management staff.

e. Performs any other duties assigned to him by his supervisors.

FORMED POLICE UNIT (FPU) COORDINATOR

The AMICA Formed Police Unit (FPU) Coordinator shall perform the following functions:

a. Designated by COMPOL (in accordance with predefined job description) in situations where more than one FPU is deployed.

b. Serve as adviser to the COMPOL in formulating Directives with regards to FPU operations.

c. Report to the COMPOL through the designated D/COMPOL, Chief Ops or another designated officer.

d. Coordinate the operational activities of deployed national FPU commanders and units.

e. Formulate operational directives with regards to FPU operations.

f. May perform temporary operational tasks by specific assignment of COMPOL.

g. Liaise with Regional/Sector Police Commanders with regards to FPU operational activities within the respective areas.

h. Serve as focal point for all AUPOL FPU administrative matters in the mission.

i. Responsible in mission training coordination for all FPUs.

j. Organize in mission FPUs regular Testing.

k. Assist with the verification of FPU equipment.

l. Through appropriate channels, liaise closely with the FPU Adviser at the strategic level.

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m. Liaise with National FPU Contingent Commanders with regards to the performance and welfare of members of the respective FPUs.

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n. Provide periodic reports and other updates as required by the COMPOL.

o. Follow-up on all disciplinary investigations related to personnel of FPUs.

NATIONAL FPU COMMANDER

The AMICA Formed Police Unit (FPU) Commander (national) shall perform the following functions:

a. Appointed by the contributing national authority.

b. S/he shall not receive any order from his/her government regarding AUPOL operations.

c. Responsible to COMPOL, through established chain of command, for the overall professional performance of his/her formed unit(s).This chain includes responsibility to Sector FPU Commander, as and when designated.

d. Attach one or more subordinate unit(s) to regional and/sector tactical commands, subject to approval of COMPOL.

e. Responsible for tactical control over his/her FPU(s).

f. Responsible for in mission training.

g. Ensure that directives and procedures are given, adequately communicated, and properly executed.

h. Attend meetings and briefings with counterparts in areas and Coordinate with other agencies to achieve the mission mandate.

i. Prepare and submit reports to the Police HQ as required.

j. Forward minutes of meetings with local authorities to Police HQ.

k. Perform any other duties assigned by Police HQ, for the efficient and professional operation of their regions, sectors, stations and team sites.

l. Coordinate the management and development of unit personnel and hold units accountable for achieving mission mandates.

CHIEF LIAISON OFFICER (CLO)

The CLO is responsible to the CoO and performs the following duties:

a. Maintains liaison with the military authorities and other components of the PSO, the United Nations and other international organisations, NGOs, the local Police/communities and National agencies.

b. Performs other duties assigned to him on day to day operations.

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CHIEF OF PERSONNEL AND ADMINISTRATION (CPA).

The CPA is responsible to the CoS, for the efficient and effective control, allocation and delivery of Police personnel to various sections, regions and stations. The CPA shall:

a. Maintain up to date personnel and administrative records.

b. Liaises with the civilian Chief Financial Officer, Chief Administrative Officer (CAO) and staff, and field service officers on a regular basis to facilitate the administration of Police personnel.

c. Conduct inspections of all Police units to ensure that personnel are adequately allocated in accordance with AU standards (to be determined) and the Police Component's SOP’s.

d. Continuously update the COMPOL, D/COM and CoS on the personnel situation through daily meetings.

e. Represent Police at regular meetings with the CAO and his staff.

f. Represent the Police at Boards of Inquiry in the absence of the CoS.

g. Perform other duties as assigned.

POLICE COMMANDERS.

They are responsible to the COMPOL through the established chain of command for the overall professional performance of the requirements of the Police mandate in their respective areas of command. In doing this they:

a. Ensure that directives and procedures are given, adequately communicated, and properly executed.

b. Attend meetings and briefings with all their counterparts in their areas and coordinate with other agencies to achieve the mission mandate.

c. Prepare and submit reports to the Police HQ as required.

d. Forward minutes of meetings with local authorities.

e. Perform any other duties as the Police HQ deems necessary for the efficient and professional operation of their regions.

f Manage and develop personnel assigned to their respective units and hold personnel accountable for achieving mission mandates.

DUTIES AND RESPONSIBILITIES OF THE CONTINGENT COMMANDER.

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Usually, the most senior of the Police officers from a particular country, is appointed Contingent Commander by his/her national Government. The Contingent Commander is considered responsible for the welfare of his/her contingent members

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and is not considered to be within the Police chain of command for this purpose. The primary responsibilities of the Contingent Commander in the mission are as follows:

a. To care for the mental and physical health, as well as the general welfare of the Police personnel of his/her contingent.

b. To ensure that the members of his contingent are treated fairly and in accordance with the PSO mandate and in compliance with international human rights law.

c. To recognize that in relation to administration and operational matters, Police in the mission are under the sole command of the COMPOL.

d. To be informed about every disciplinary action taken against a member of his contingent.

e. To recommend Police personnel transfers within the mission area subject to the prior approval of the CoS. Cross-transfers between Police personnel from the same contingent at the request of the Contingent Commander will not be made without the prior approval of the CPA in consultation with the CoS.

f. To ensure that, during his/her absence, all contingent duties are performed by a designated substitute.

MILITARY COMPONENT

1. FORCE COMMANDER AMICA

• Commanding the peace Support Operations Force.

• Advising the SRCC in the daily conduct of military operations.

• Assisting the SRCC in developing military and recommending coordination between the AU Mission and the AU peace Support Operations Divisions

• Provides political advice on all aspects of Mission policy and offers guidance on African Union rules and procedures.

• Responsible for coordination of policy and implementation among the various components of the Mission.

• Ensures that advice and information is coordinated with all relevant components of the Mission prior to submission to the SRCC.

• Planning and execution of military operations.

• Advising the AU HQ, through the SRCC, on all military matters pertaining to the mission.

• Provide military guidance on suggested measures to assist in consolidation of confidence building measures.

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2. CHIEF OF STAFF, AMICA MILITARY COMPONENT

• Directs, supervise and coordinates the work of the military staff in the Force Headquarters.

• Coordinates military and civilian staff effort.

• Responsible for the production and issue of all major written policy and staff work in the Force Headquarters. (SOPs, orders, Plans, Directives etc.)

• Coordinates briefings in the Force Headquarters.

• Updates the FC on the progress of military operations in the mission area.

• Focal point for all sensitive personnel and management issues.

3. STAFF OFFICER J1/PERSONNEL

• Plan, organize, manage and supervise the work of the Military Personnel Section.

• Directs, coordinates and supervises the implementation of the force policy on personnel.

• Develops plans and policies for operation of personnel, social actions, and education. Monitors and directs activates.

• Translates program policies into directives, publications, and training manuals

• Supervisory and technical responsibilities for developing and maintaining manpower standards.

• Determines functional responsibilities, manning requirements, assignment of personnel, facilities, and services according to program management and resource capabilities.

• Implementation of amendments to the establishments of the Force Headquarters and contingents.

• Preparation of estimates for military personnel office budget. Assists with preparation and formulation of costs estimates for submission to AU Headquarters and reviews the final budget proposals.

• Implements policies on matters such as utilization, effectiveness ratings of personnel, personnel accountability and reporting during contingency and emergency operations.

• Responsible for maintaining the Military Mission’s staffing table.

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• Rotations and repatriations, discipline, records, strength returns, staff lists, injuries, death and leave.

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• Coordinates and directs where necessary, personnel oriented activities (Operations of the Military Police and Welfare)

• Liaison with the AU peace Support operations Division and contingent commanders on personnel matters.

4. MILITARY STAFF OFFICER INTELLEGENCE J2

• Advise the COS of the Military Component on all matters pertaining to military information deputizes for Chief G2 in his absence.

• Participates in all-source current intelligence indications and warnings, threat analysis general intelligence activates focusing on the intentions, geography, and military capable belligerents, with primary focus on the ground forces.

• Produces threat estimates.

• Prepares plans and orders, requests for surveillance and other military information gather activities.

• Develops collection and production requirements, and the acquisition of information in targeting of strategic collection resources.

• Evaluates, interprets, analyzes and produces general information products in support a mission requirements.

• Supervises the processing of data into useful information including the recording, integrating, correlating, evaluating and interpreting of information.

• Coordinates the dissemination of military information.

• Supervises and coordinates the contingent’s military information collecting activities.

• Updates the operational maps.

• Prepares timely situational briefing notes for the FC.

5. MILITARY STAFF OFFICER J3

• Command the Military Component of AMICA Advance Mission

• Advises the Head of mission, through the FC, on military operational matters in the mission area.

• Planning and execution of military task.

• Assisting the FC and the Head of Mission with the establishment of coordination mechanisms to liaise with relevant lateral partners.

• Providing clear direction, guidance and leadership to the military component

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• Maintaining a close working relationship with the other components of the advance mission.

• Establishing plans for information gathering, collating and analyses using available sources

• Monitoring the security situation and report accordingly to Head of Mission.

• Disseminates information to and coordinates with other civilian staff branches/sections on pertinent maters.

• Coordinates all military activity and deployment of units in the mission area.

• Defines the responsibilities of subordinate staff officers.

• Reviews all operational documentation (Code cables to AU HQ, special reports, operation orders, instructions, SOPs etc)

• Supervises the preparation of contingency operations plans.


• Advise FC on all logistic related matters.

• Keeps acquainted of the logistical situation in the mission and updates the FC.

• Monitor and evaluate and prepare reports to FC about the efficiency of the logistics operation in the mission area.

• Coordinates with CISS and other civilian sections in meeting the daily logistical requirements of the Military component.

• Coordinates with operations Branch (plans), JLOC and JOC/JMAC to meet future mission requirements.

• Keep updated about and provide inputs if required for logistics documentation such as orders directives, instructions and SOPs.

• Assist in revising the logistics directives to meet the requirements of the mission.

• Reviews the Logistics concept and recommends adjustments.


• Prepare and update operational orders.

• Prepare maintain and update contingency operational plans.

• Propose redeployment of units to meet mission requirements.

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• Review plans for subordinate units (to include evacuation, redeployment, reinforcement etc).

• Prepares quarterly and half-yearly deployment details.

• Checks and confirm deployment boundaries. Prepares and updates operational orders.


• Advises the FC and Chief CITS on all matters regarding operational and communications matters

• Formulates operational communication plans to ensure adequate services.

• Coordinates operational communications plans with the civilian CITS to ensure efficient communications within the mission area or/ and with UN New York.

• Coordinates with the civilian CITS in the preparation of the mission communication budget in order to ensure adequate services.

• Maintains the frequency master file and is responsible for liaison with local authorities in respect of frequencies, electricity and telephones.

• Provides the required information for the drafting of the communications directive and SOPs.

• Publishes the telephone directory for the mission, and instructions regarding the proper use of communication services.


• Advises the FC on the entire military interface with the entities in the mission area.

• Plans and supervises military interface with humanitarian actors.

• Plans and coordinates military assistance programs in support of the humanitarian community.

• Supervises, researches, coordinates, conducts, and participates in analysis, planning, and production of civil affairs related documents and actions encompassing both strategic and tactical civil affairs operations FHQ and SHQ.

• Plans and holds regular meetings with humanitarian organizations.

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• Assists in routine coordination, conducts research, analysis and production of civil affairs related products and actions supporting functional specialty missions.

7A-1

MISSION SUPPORT

MILITARY STAFF OFFICER JLOC

• Under the supervision and tasked by the Chief-JLOC.

• Coordinates the work of all military elements in the integrated support services in consultation with Chief-JOC.

• Assumes responsibility for all logistical activity including maintenance and repair, transport, movement control supplies, accommodation and medical issues, as authorized by Chief-JOC.


• Ensures the accurate and timely submission of logistics reports, as authorized by Chief-JLOC.

• Disseminates information and coordinate with other military and civilian staff on pertinent issues.

• Works closely with the CISS in the preparation of the budget, as authorized by Chief-JLOC.

• Controls the joint tasking of military logistics units, as authorities by Chief-JLOC

MILITARY STAFF OFFICER – JLOC

• Under the supervision and tasked by the Chief-JLOC.

• Coordinates the work of all military elements in the integrated Support Services in consultation with Chief – JLOC.

• Assumes responsibility for all logistical activity including maintenance and repair, transport movement control supplies, accommodation and medical issues, as authorized by Chief-JLOC


• Ensures the accurate and timely submission of logistics reports and returns, as authorized by chief-JLOC.

7A-2

• Disseminates information and coordinates with other military and civilian staff on pertinent issues.

• Works closely with the CISS in the preparation of the budget, as authorized by Chief-JLOC.

• Controls the joint tasking of military logistics units, as authorized by Chief-JLOC

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Exercise NJIWA, AU Police and Civilian Focused

Exercise Plan

Final Draft, Version 2, 2 March 2012.

Reference: Exercise NJIWA Map Exercise Specification Scope 1. Building on the lessons learned from Exercise AMANI AFRICA I, Exercise NJIWA 2012

will focus on the strengthening of police and civilian capacities for the African Standby Force (ASF) in the planning and execution of African Union (AU) Peace Support Operations (PSO). The exercise will be within the framework of the AU Peace Support Operations Division’s (PSOD) functions in the planning and conduct of a Scenario Five PSO4. The Carana scenario will be used, building on the existing scenario framework used for AMANI AFRICA I. The exercise will be controlled using the Main Event List-Master Event List (MEL-MIL) methodology.

Objectives 2. Overall Objective. The overall objective of this exercise is to enhance the Police and

Civilian capacities of the African Standby Force (ASF) in planning and conducting peace support operations mandated by the African Union.

3. Exercise Objectives. The primary exercise objectives are as follows:

3.1. Strategic-Level Objectives (for the Pre-Course, held at the IPSTC in March 2012):

3.1.1. AU Crisis Response Mechanism and Decision Making Processes

3.1.2. Mission Planning Process

3.1.3. Component Planning

3.1.3.1. Police-Specific Planning

3.1.3.2. Civilian-Specific Planning

3.1.4. Strategic Level management of the mission

3.1.4.1. Act as HICON for a mission HQ

3.2. Operational Level Objectives (For the MAPEX): 4Scenario Five PSO: “AU Peacekeeping force for complex and multi-dimensional peacekeeping operations, including those involved in low-level operations.” Peace Support Operations Doctrine, The Africa Standby Force


7A-4

3.2.1. Practice Mission Coordination Mechanisms

3.2.1.1. Mission Operations Centre (MOC)

3.2.1.2. Mission Analysis Centre (MAC)

3.2.1.3. Mission Logistics Operations Centre (MLOC)

3.2.2. Mandate Execution (MIP)

3.2.2.1. Execution of mission key tasks

3.2.2.2. Police Specific Tasks

3.2.2.3. Civilian Specific Tasks

Exercise Control (EXCON) 4. The Exercise Director (EXDIR) is the senior officer responsible for achieving the aim and

meeting the objectives of the exercise. The EXDIR is the head of the EXCON and directs all aspects of execution of the exercise. For Exercise NJIWA, the EXDIR is Maj Gen (rtd) Samaila Iliya. The EXCON Organization is depicted at Annex A and the EXCON Manning List is at Annex B. In order to support the role of exercise direction, the EXDIR is supported by the EXCON Team, which is comprised of the following: 4.1. Joint Exercise Centre (JEC), a Higher Control (HICON) Response Cell and a Lower

Control (LOCON) Response Cell (RC);

4.2. Visitors and Observers Bureau (VOB);

4.3. Evaluation and Lessons Learned Cell (Eval); and,

4.4. Real Life Support (RLS).

5. Joint Exercise Centre 5.1. General. The JECis the main body responsible for the conduct of the exercise. It

consists of the Situation Centre (SITCEN), MEL/MIL, Scenario, and the RCs.

5.1.1. SITCEN.SITCEN is the ‘nerve centre’ for all exercise activity, and serves as the central coordination point for the progress of the exercise as well as the group responsible for identifying any required adjustments. The SITCEN maintains the current exercise operational picture and situational awareness and supervises the scenario and MEL/MIL management. The SITCEN also monitors the current situation of the incident list, tracks incidents sent by the response cells, identifies the reaction of the playing HQs and displays a common picture of the current situation.

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5.1.2. Scenario Cell. The Scenario Cell develops and manages the scenario upon

which the exercise is based. Scenario Cell will produce (or coordinate the production of) all required scenario documentation to support the exercise, as well as during the exercise itself.

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5.1.3. MEL/MIL Cell.The MEL is based on the Exercise Objectives as defined in the Exercise Specification. At the Scenario Working Group Conference, Main and Minor Event Storyboards were developed, which was later refined and used as the basis of the MIL. During the course of the exercise itself the MEL/MIL cell develops, manages and coordinates the plan for scripted and dynamic exercise play that is input (i.e. ‘injected’) to the Training Audience (TA). Chief MEL/MIL will also assist with the developing of storylines.

5.1.4. Members of the EXCON, normally the RC Coordinators, are assigned the responsibility for the coordination and oversight of executing the MEL/MIL during the course of the exercise. Adjustments to the MEL/MIL are done on an as-required basis and coordinated from the JEC.

5.1.5. Response Cells (RCs)

5.1.5.1. General. RCs represent subordinate, higher or flanking units and formations, plus other agencies and characters that may operate within, around or even beyond the Theatre of Operations. RCs provide the continual, direct and realistic interface with the TA through injects, simulation play, reports and returns, press releases, media stories, telephone calls, radio calls and so forth. RCs representing units and formations subordinate to the TA are known as Lower Control (LOCON). RC representing higher or flanking units, formations and headquarters are known as Higher Control (HICON). They may have to provide role players for key individuals as required (such as representatives of PSC, Chairperson and Commissioner).

5.1.5.2. HICON. HICON represents the strategic/political level in the chain of

command linking the Chairperson with the Head of the AU HQ. It is organised in number of domains: Political, Humanitarian, Legal, Human Rights, Intelligence/Security, Logistics, Administration (Finance, Contracts, Procurement, and Personnel), and Public Information:

5.1.5.2.1. Political: Represents the Commissioner and the CMD level and

issues directives and guidance at strategic level. Works with Host Nations (HNs) Nations and Grey cell representatives.

5.1.5.2.2. Humanitarian: Prepares appropriate injects and documentation according to the Ex plan. Provides policy and guidance to players. Works together with Grey Cell representatives on humanitarian,

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5.1.5.2.3. IDP/refugee and protection of civilians issues. Provides the HICON civil-military coordination function.

5.1.5.2.4. Legal: Act as an expert for ROE, SOMA and the rules of armed conflict. They provide expertise to the players in these domains and advises EXCON based on the evolution of the political situation.

5.1.5.2.5. Human Rights: Prepares appropriate injects and documentation according to the Ex plan. Provides policy and guidance to players on human rights, child protection and gender-based violence related issues. Works together with Grey Cell representatives on human rights and protection of civilians issues.

5.1.5.2.6. Intelligence/Security: Prepares intelligence/security reports and analysis for the players according to the situation, direction given by the Future Ops cell and based on the Exercise documentation.

5.1.5.2.7. Logistics: Represents logistics at the strategic level. Prepares and injects logistic play in accordance with the MEL/MIL. Prepares appropriate specialist replies to RFIs from the players. Works in co-ordination with the Host Nations representative as necessary.

5.1.5.2.8. Administration/ Support: Represents the Finance, Contracts, Budget and Personnel and the Code of conduct at the strategic level. Prepares and injects administrative play in accordance with the MEL/MIL. Prepares appropriate specialist replies to RFIs from the players. Works in co-ordination with the HNs representative as necessary.

5.1.5.2.9. Public Information (PI): Deals with issues related to PI policy and provides guidance to the mission.

5.1.5.3. LOCON.As stated previously, LOCON represents any organization that is subordinate to the training audience. The common LOCON tasks are:

5.1.5.3.1. Ensuring timely and proper implementation of the MEL/MIL play.

5.1.5.3.2. Provide realistic responses to player actions.

5.1.5.3.3. Develop and produce appropriate reports and returns and forward those to playing HQs to facilitate a current situation assessment.

5.1.5.3.4. Discuss and / or request approval of injects / responses by the SITCEN, to ensure that actions conform properly to exercise aims and

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objectives. 5.1.5.3.5. Provide a co-ordinated report of each incident to the

appropriate MEL/MIL Staff and other involved EXCON cells.

5.1.5.3.6. Participate in EXCON meetings with appropriate representatives as required.

5.1.5.4. Grey Cell. The Grey Cell represents agencies, organisations, institutions and individuals outside of the AU force structure and outside of the opposing forces structure. The composition of the GC must be tailored for each exercise; but typically it includes IO/NGO and agencies, local governments, local authorities at federal/provincial/municipal levels, local police forces, local civilians, local military and media. A specific breakdown is as follows:

5.1.5.4.1. IOs. Represents IOs and particularly the Carana UNCT and UN HQ, where needed, at all levels of the exercise. In case of ICRC, their area of responsibility is much more orientated towards International Humanitarian Law, ROE, protection of civilians, prisoners of war (POWs) (monitoring of the evolving situation, management of problems/crisis). Works with HICON Humanitarian and Human Rights Advisers.

5.1.5.4.2. NGOs. In close co-operation with the Carana UNCT, they represent all NGOs involved in the operation. In close co-operation with the other EXCON Human Rights and Humanitarian advisers, they play the NGOs at all co-ordination meetings at all levels. They reports on all issues discussed during the different meetings. They act as a key function in all areas/issues related to liaison and co-ordination of the HICON and LOCON actions.

5.1.5.4.3. MEDIA. Represents all local and international media.

5.1.5.4.4. HNs/Nations. Represents the Government of Carana at all levels, Friends of Carana, Sumora, Rimosa, Katasi and the Regional ECOK and consequently deals with all political, economic, development, administration/support aspects involved in the Ex play. They work in co-ordination with HICON Political and Legal Advisers or with administration/ support representatives.

5.1.5.4.5. OPFOR. Represents any belligerent groups in the mission area.

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6. Visitors and Observers Cell. 6.1. General. This cell will be responsible for coordinating any visits by distinguished

visitors throughout the exercise.

7. Real Life Support (RLS). 7.1. General. The Real Life Support team is responsible for carrying out all functions

required for the smooth functioning of the exercise. This encompasses (but is not limited to) details regarding accommodations, transportation, finance/budget issues, Communications and Information Systems (CIS), catering, and site security.

8. Evaluation. 8.1. General. The Evaluation Teamis responsible to observe the activities and evaluate

the performance against the chosen criteria derived from relevant AU doctrinal references and in accordance with the Evaluation Objectives and TOs. Each team collects, collates and records its findings throughout the exercise. This group coordinates closely with the JEC leadership in order to ensure that the scenario is sufficiently challenging to the training audience, as well as to take ensure that maximum training value is provided. Adjustments to the MEL/MIL are a coordinated effort between the evaluators and the JEC.

Execution 9. Locations. The EXCONwill have a requirement for a facility that is close to (ideally, co-located

with) the Training Audience. A location has not been confirmed at this time, but should be confirmed by the Final Planning Conference.

10. Exercise Time. Exercise time is local time in Addis Ababa.

11. EXCON Terms of Reference (TORs). The EXCON TORs outlining the tasks and responsibilities of the various EXCON elements are at Annex B.

12. EXCON Manning. See Annex C.

13. EXCON Location Plan. A detailed layout of EXCON facilities will be completed by the FPC once a location for the MAPEX is confirmed.

14. EXCON Timeline. A graphical layout of the timeline can be found at Annex E.

15. EXCON Training. The EXCON training programme to be run prior to the MAPEX is outlined at Annex F.

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16. EXCON Working Schedule. A graphical layout of the EXCON work schedule, adapted to the AU HQ Decision Cycle can be found at Annex G.

17. EXCON Co-ordination Meetings. Overviews of the scheduled EXCON meetings, including time, aims, attendees, location, agenda, etc. are at Annex H.

Coordinating Instructions 18. Dress for EXCON. Dress for EXCON will be battle dress / field uniform or working dress

for civilians.

19. Overall Exercise Schedule/Dates

19.1. D-6 to D-5: arrival of exercise staff and in-processing (24-25 Oct) 19.2. D-4 to D-1: EXCON Preparation and training (25-28 Oct) 19.3. D-4 to D-3: Arrival of participants, orientation, and in-processing (29 Oct-1

Nov) 19.4. D-2: Warming up period (2 Nov) 19.5. D-1: Stand Down Day (3 Nov) 19.6. D-D+4:MAPEX (4-8 Nov) 19.7. D+3: Visitors day (8 Nov) 19.8. D+5: Post-Exercise discussions and EXCON departure (main) (10 Nov)

LIST OF ANNEXES

Annex A EXCON Structure Annex B Manning List and Terms of References Annex C Location Plan Annex D MAPEX Timelines Annex E EXCON Training Annex F Working Schedule Annex G Meeting Schedule

SIGNED MAJ GEN (RTD) SAMAILA ILIYA EXERCISE DIRECTOR

8A-1

EXERCISE CONTROL (EXCON) STRUCTURE


8B-4

8D-1

MANNING LIST AND TERMS OF REFERENCE

Note: The below list is a generic manning list, with the exception of including EXCON positions for the SRCC and Mission HQ Chief of Staff. Based on manning constraints, positions will have to be amalgamated where feasible.

Serial Department/Position Name Ex MANAGEMENT 1 Exercise Director (EXDIR)

The Exercise Director is responsible for: - the overall conduct of the exercise in order to achieve exercise aims and objectives in accordance with the Exercise Specification; - monitoring and adjusting the development of the exercise play in accordance with the scenario; and, - considering major adjustments requested by the playing authorities (AU HQ and Mission HQ). The EXDIR relies on the EXCON to perform day-to-day direction of the exercise and to implement necessary adjustments to the pre-scripted exercise play. In order to have an accurate picture, the EXDIR may choose to attend the daily AU HQ up-date briefing

2 Deputy EXDIR

The Deputy EXDIR acts on behalf of the EXDIR. He is responsible for the day-to-day direction of the exercise play in order to achieve the exercise aims and objectives. He provides the EXDIR with the necessary information and advice in order for him to manage the scenario and conduct the exercise. Deputy EXDIR manages the central control facility within EXCON, which may include a situation centre, response cells, and functional area cells.

Joint Exercise Centre (JEC) SITCEN 3 Chief SITCEN

Reporting to the Deputy EXDIR, Chief SITCEN maintains the current exercise operational picture and situational awareness and supervises the scenario and MEL/MIL management. CHIEF SITCEN is the central coordinator of EXCEN activity on behalf of the JEC Chief while monitoring the injects made to the TA and their subsequent reactions. The SITCEN Chief will also coordinate the vetting, approval and control of scripted or impromptu (i.e. ‘dynamic’) play, input information and activity (i.e. ‘injects’) to the TA with a view to provoking a desired reaction. The SITCEN itself monitors the current situation of the incident list, tracks incidents sent by the response cells, identifies the reaction of the playing HQs


8B-4

Serial Department/Position Name and displays a common picture of the current situation.

4 Co-Chief SITCEN

Assists the Chief SITCEN with coordinating all EXCEN activity.

5 Information Manager

The Info Manager is responsible for reception, filing and distribution of all documents, messages, e-mails, etc. to and from the JEC.

RFI and Scenario Management 6 Chief of Scenario

Reporting to the Deputy EXDIR, CHIEF SCENARIO develops and manages the scenario upon which the exercise is based. CHIEF SCENARIO will produce (or coordinate the production of) all required scenario documentation to support the exercise, as well as during the exercise itself. CHIEF SCENARIO develops the portrayal of the Theatre Parties, governments, belligerents and so forth.

7 RFI Scripter

Coordinate Requests for Information from with the training audience though the relevant response cells. Ensure responses are consistent with the Carana Scenario as well as with current AU best practices.

MEL/MIL 8 Chief MEL/MIL

Reporting to the Deputy EXDIR, CHIEF MEL/MIL develops, manages and coordinates the plan for scripted and impromptu (i.e. ‘dynamic’) exercise play that is input (i.e. ‘injected’) to the Training Audience (TA). Chief MEL/MIL will also assist with the developing of storylines, gathering scripting expertise from the TA, building the MEL/MIL database and executing the plan. CHIEF MEL/MIL works closely with the Functional Area Cells who provide subject matter expertise in operational areas to ensure that storylines and incidents make operational and practical sense.

9 SO MEL/MIL Assist Chief MEL/MIL where required. HICON 10 Chief HICON

Reporting to the Deputy EXDIR, Acts on behalf of AU POL/MIL and strategic levels. Co-ordinates the work of the HICON cells , responsible for ensuring that the relevant portions of the MEL/MIL are executed. Is in charge of the strategic inputs to be sent to the players.

11 Legal Advisor

Issues responses to the players in the field of ROE/SOMA and rights of armed conflicts.

12 SO POL-MIL

8C-15

Serial Department/Position Name

Issues responses to the players in the field of political and military liaison matters. Interacts with the training audience as the mission Chief of Staff. In that role, ensure that the Training Audience is on track with the aims and goals of the exercise, monitor their progress, and provide mentoring and guidance where required. Coordinate extensively with the EXCON Staff and Evaluation.

13 SO Intelligence/ Security

Prepares intelligence reports and analysis for the players according to the situation, the exercise documentation, and the guidance issued by the future ops cell. Prepares reports, guidance and analysis for the players on issues related to Mission Security (Force protection)

14 SO Finance Contracts and Procurement

Prepares and injects specialist play in accordance with the MEL/MIL. Prepares appropriate specialist replies to RFIs from the players. Works in co-ordination with the HNS representative as necessary.

15 SO Personnel

Prepares and injects specialist play in accordance with the MEL/MIL. Prepares appropriate specialist replies to RFIs from the players. Works in co-ordination with the HNS representative as necessary. Gives guidance on issues related to Code of Conduct where needed

16 SO Humanitarian

Prepares and injects specialist play in accordance with the MEL/MIL. Provides policy and guidance to players. Works together with Grey Cell representatives on humanitarian, IDP/refugee and protection of civilians issues. Provides the HICON civil-military coordination functions.

17 SO Logistics

Represents the strategic level. Prepares and sends the inputs at his level of responsibility, according to the approved incident list. Prepares responses for the players.

18 SO Human Rights

Prepares and injects specialist play in accordance with the MEL/MIL Provides policy and guidance to players on human rights, child protection and gender-based violence related issues. Works together with Grey Cell representatives on human rights and protection of civilians issues.

19 SO Public Information

Deals with issues related to PI policies and guidance to mission. Represents all local and international media related aspects. Prepares and sends inputs according to incident list. Prepares and sends media releases to create a media environment for the players. Participate in the HQs’ press conferences.

GREY CELL 22 Grey Cell chief

8B-4


Reporting to the Deputy EXDIR, Co-ordinates the work of the HICON cells , Responsible for ensuring that the relevant portions of the MEL/MIL are executed. Reports on all issues discussed during the various meetings. Acts as a key advisor in all areas / issues related to liaison and co-ordination of HICON and LOCON actions.

23 Press Info Officer

Represents all local and international media related aspects. Prepares and sends inputs according to incident list. Prepares and sends media releases to create a media environment for the players. Participate in the HQs’ press conferences.

24 SO IOs representative

Represents the IOs/UNCT at all levels in the exercise: international, in the theatre, in the field. Prepares the daily UNCT SITREP every morning to be sent to the HICON.Represents the UNCT in Carana. Represents ICRC and therefore deals with International Humanitarian Law, protection of civilians, POWs and POW camps related issues (monitoring of the evolving situation, management of problems / crisis).He reports on all issues discussed during the various meetings. Acts as a key advisor in all areas / issues related to liaison and co-ordination of HICON and LOCON actions.

25 SO NGOs representative

Participates and plays roles in all coordination meetings on humanitarian/human rights issues at Mission HQ or sector level. Represents all NGOs in the area of operations in close co-operation with the IOs representative. Reports on all issues discussed during the various meetings. Acts as a key advisor in all areas / issues related to liaison and co-ordination of HICON and LOCON actions.

26 HN Officer CARANA/ RIMOSA

Represents the Government of Carana and Rimosa at all levels. Works in close cooperation with HICON Political and Legal adviser and Admin/support.

27 Regional Nations representative Officer

Represents the Friends of Carana, Katasi, Sumora and the ECOK.

LOCON 28 CHIEF LOCON

Reporting to the Deputy EXDIR, Co-ordinates the work of the LOCON cells , Responsible for ensuring that the relevant portions of the MEL/MIL are executed. Reports on all issues discussed during the various meetings. Acts as a key advisor in all areas / issues related to liaison and co-ordination of LOCON actions.

29 Sector HQ Civilian representative

Represent all civilian aspects of a sector HQ, in accordance with the MEL/MIL and the scenario. Execute relevant portions

8C-17

Serial Department/Position Name of the MEL/MIL as directed.

30 Sector HQ Police SO

Represent all police aspects of a sector HQ, in accordance with the MEL/MIL and the scenario. Execute relevant portions of the MEL/MIL as directed.

31 Sector HQ Military SO

Represent all military aspects of a sector HQ, in accordance with the MEL/MIL and the scenario. Execute relevant portions of the MEL/MIL as directed.

AMICA HQ Cell 32 Mission SRCC

Roleplays the mission Special Representative of the Chairman of the Commission. Provide mentorship and guidance to the Mission HQ planning staff. *Mentor Position

33 Mission Chief of Staff

Roleplays the Mission Chief of Staff. Acting in that capacity, ensure that all work within the training audience is conducted in a manner that is consistent with relevant doctrine and policies. Liaise closely with the Evaluation cell and the SITCEN to adjust the MEL/MIL where required. *Mentor position

34 Deputy Mission Deputy Mission Chief of Staff

Roleplays the Mission Deputy Chief of Staff. Acting in that capacity, ensure that all work within the training audience is conducted in a manner that is consistent with relevant doctrine and policies. Liaise closely with the Evaluation cell and the SITCEN to adjust the MEL/MIL where required. *Mentor position

35 Mission Deputy SRCC *Mentor position 36 Mission Police Commissioner *Mentor position 37 Mission Force Commander *Mentor position 38 Mission Head of Mission Support *Mentor position 39 Mission Analysis Cell Chief Roleplay the functions of the MAC for AMICA HQ 40 Mission AnalysisCell – Staff Officer 41 Mission Analysis Cell – Staff Officer Provide support to the MAC Chief as required 42 Mission Operations Cell Chief Roleplay the Mission Operations Cell functions for AMICA HQ. Real Life Support 43 Chief, RLS

8B-4


Responsible to the EXDIR for the smooth functioning of all real life support aspects of EX NJIWA.

44 SO Personnel

Responsible for maintaining the list of exercise participants, and act as the point of contact for exercise questions and concerns. Send all participants exercise-related information, as required.

45 SO Accommodations

Responsible for developing the accommodations plan for the exercise. Make hotel bookings for all exercise participants, and develop a list detailing which hotel and room each participant is staying. Act as the point of contact between the exercise staff/participants and the hotels.

46 SO Transportation

Responsible for developing the exercise transportation plan. Ensure that ample transportation is available for all participants to travel between accommodations and the exercise site.

47 SO Finance/Budget

Responsible to manage any financial/budget concerns for all aspects of the exercise.

48 SO EXCON Support Cell

Responsible to be the point of contact for EXCON (and participants) for any real life support issues during the exercise.

49 SO Communications and Information Systems (CIS)

Responsible for developing the CIS plan for the exercise, with input from the exercise core planning team. Ensure that all CIS requirements are identified and met with before and during the exercise. Act as the point of contact for all CIS-related issues during the exercise.

50 SO Catering

Responsible for ensuring that all exercise participants are fed during the course of the exercise.

51 SO Sites Security

Responsible for developing the site security plan for the exercise. Liaise with AU security offices and determine requirements for site security for the exercise, as well as determine any escort requirements for travel between accommodations and the exercise location.

8G-1

EXCON TRAINING

General

1. EXERCISE NJIWA will incorporate elements from different levels of the AUC and RECs/RMs, to fill all posts related to the control of the exercise (EXCON). As required, experts could be provided by Partners. The correct management of each position within the exercise structure will require proper training and the practicing of all developing tasks.

Concept

2. The EXCON training is aimed at providing pre-exercise training to the EXCON staffs, in order to ensure that the exercise is run smoothly and in accordance with established aims and objectives.

3. The EXCON training is to be conducted through a building block approach. It will include specific training and final exercise preparations.

Specific Training

4. This training will ensure that all EXCON participants are familiar with the exercise base documentation, the scenario and use of various systems and the management of the different tasks. This will create an efficient interface with the other members and organisations and enable the EXCON to directly influence the exercise play. Specific training sessions must be organised prior to the MAPEX on Planning and AU organisation.

Timetable Date Event Lead

In-processing RLS Welcome address EXDIR Presentation of the MAPEX objectives Deputy EXDIR Presentation of the EXCON manning, tasks of individual cellsand their working areas.

Deputy EXDIR

Scenario and base documents presentation PPC

D-4

Presentation of the tools (CIS) CIS

Familiarisation with the CIS tool within the cells. Cell Chiefs D-3 to STARTEX Familiarisation with the basic documents and the scenario. Cell Chiefs

ANNEX E TO SERIAL 8 TO EXERCISE NJIWA MANUAL

8B-4

Cell Preparation Cell Chiefs

Final Exercise Preparations

5. On D-2 a “warming up” phase for the participants will be conducted. This is intended for the participants to organize themselves under the direction and guidance of the Mission Chief of Staff. This “warming up” phase will have the following objectives:

5.1. To check the communications and exercise C2 systems.

5.2. To check the information flow between the EXCON, AU and Mission HQs.

5.3. To validate the daily battle rhythm.

5.4. To check the players understanding of the Startex Data.

6. The STARTEX data will be presented to the Training Audiences (TA) on D-3.

7. Incidents will progressively be injected in order to “play the game”.

Documents

ii - European External Action Service · D Civilian Component Concept of operations 3D-1 to 3D-5 ... validate the African Union processes for the employment of the African Standby