Operating Concept for Operating Concept for Integrated Response to Integrated Response to Complex EmergenciesComplex Emergencies

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

ProblemProblem

► Ineffective management of aid and relief programs Ineffective management of aid and relief programs delay recovery, create instability, and undermine delay recovery, create instability, and undermine the legitimacy of the host nation government and the legitimacy of the host nation government and donor nations.donor nations.

Assessments, resources, and response of Humanitarian Assessments, resources, and response of Humanitarian Relief Organizations are rarely coordinated nor sequenced Relief Organizations are rarely coordinated nor sequenced (no Unity of Effort)(no Unity of Effort)

Activities of Non-Governmental Humanitarian Agencies Activities of Non-Governmental Humanitarian Agencies (NGHAs) and Donor Nation pledges create expectations (NGHAs) and Donor Nation pledges create expectations that are not met or are delayedthat are not met or are delayed

Host Nation government at the local and national levels Host Nation government at the local and national levels usually lack the capacity for effective program usually lack the capacity for effective program management or public administrationmanagement or public administration

NGOs frequently lack effective program management NGOs frequently lack effective program management capabilitiescapabilities

Broad Recognition of the ProblemBroad Recognition of the Problem

► Statements by UN EnvoysStatements by UN Envoys► Red Cross Movement Code of Conduct for Red Cross Movement Code of Conduct for

NGOsNGOs► UN Cluster ApproachUN Cluster Approach► National Defense StrategyNational Defense Strategy► Army Universal Task ListArmy Universal Task List► Humanitarian Assistance Coordination CenterHumanitarian Assistance Coordination Center► Professional literatureProfessional literature

Nonetheless, the problem persistsNonetheless, the problem persists

Department of Defense InterestDepartment of Defense Interest

► International disasters and humanitarian crises International disasters and humanitarian crises create conditions that lead to international create conditions that lead to international conflictconflict

► US government sends military forces to respond US government sends military forces to respond to disasters and crisesto disasters and crises

► Effective and cooperative disaster management Effective and cooperative disaster management can reduce burden on US military forcescan reduce burden on US military forces

Focus on serious, imminent, life saving measuresFocus on serious, imminent, life saving measures

Facilitates rapid exit of military forces after initial Facilitates rapid exit of military forces after initial responseresponse

No Military SolutionNo Military Solution

► Military response to disaster can create problemsMilitary response to disaster can create problems

Military lacks situational awareness of NGO and other civilian Military lacks situational awareness of NGO and other civilian activityactivity

Military capabilities displace civilian solutionsMilitary capabilities displace civilian solutions

Can undermine restoration of effective governanceCan undermine restoration of effective governance

Creates dependencies that create gaps when military withdrawsCreates dependencies that create gaps when military withdraws

► Only effective solution is a cooperative approachOnly effective solution is a cooperative approach

Whole of Government: US and partner governmentsWhole of Government: US and partner governments

International and Inter-Governmental AgenciesInternational and Inter-Governmental Agencies

Non-Governmental Humanitarian Relief AgenciesNon-Governmental Humanitarian Relief Agencies

Host Nation GovernmentHost Nation Government

RecommendationRecommendation

► Functioning mechanism associated with each combatant Functioning mechanism associated with each combatant command to coordinate and synchronize private sector and command to coordinate and synchronize private sector and public sector disaster planning, response, recovery, and public sector disaster planning, response, recovery, and mitigationmitigation

Information sharing enhances the quality of information and shared Information sharing enhances the quality of information and shared situational awareness; Shared situational awareness enables situational awareness; Shared situational awareness enables collaboration, self-synchronization, security, and enhances collaboration, self-synchronization, security, and enhances sustainability and speed of implementationsustainability and speed of implementation

Program management to synchronize the delivery of aid, monitor Program management to synchronize the delivery of aid, monitor aid distribution, and assess and report on the impact of disaster aid distribution, and assess and report on the impact of disaster assistanceassistance

Civil-Military Relations de-conflicts military and NGHA activity and Civil-Military Relations de-conflicts military and NGHA activity and enhances security for humanitarian reliefenhances security for humanitarian relief

► The Team: NGHAs; IGOs; US Military and interagency partners; The Team: NGHAs; IGOs; US Military and interagency partners; other donor, and supported government agencies; private other donor, and supported government agencies; private sector donors; and commercial enterprisessector donors; and commercial enterprises

IntentIntent

► Facilitates achieving requirements of Code of Conduct for Red Facilitates achieving requirements of Code of Conduct for Red Cross/Red Crescent Movement and NGOs in Disaster Relief *Cross/Red Crescent Movement and NGOs in Disaster Relief *

► Meets requirements of AUTL tasks 6.14.1 and 6.14.7Meets requirements of AUTL tasks 6.14.1 and 6.14.7(Negotiation and Liaison between US Military, other governmental, (Negotiation and Liaison between US Military, other governmental, local governmental, and non-governmental organizations.)local governmental, and non-governmental organizations.)

► Interoperable with UN Cluster Approach and SPHERE Interoperable with UN Cluster Approach and SPHERE standardsstandards

► Framework for Action consistent with Millennium Framework for Action consistent with Millennium Development ProgramDevelopment Program

► Builds on principles of the National Response FrameworkBuilds on principles of the National Response Framework

SupportsSupports, does not replicate, compete, or parallel other , does not replicate, compete, or parallel other coordination effortscoordination efforts

* : element taken from or directly supports RCM Code of Conduct

FunctionsFunctions

► Situational AwarenessSituational Awareness

► Program Coordination Program Coordination

Project SynchronizationProject Synchronization

Project MonitoringProject Monitoring

Donor AccountabilityDonor Accountability

► Resource Distribution Resource Distribution ManagementManagement

► Capacity BuildingCapacity Building

► Security ManagementSecurity Management

► LiaisonLiaison

► CommunicationsCommunications

► Public OutreachPublic Outreach

Beneficiary Beneficiary AccountabilityAccountability

Donor AppealsDonor Appeals

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

Functional AnalysisFunctional Analysis

► PreparationPreparation

► ResponseResponse

► RecoveryRecovery

► MitigationMitigation

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

Incident Management System ModelIncident Management System Model

► International StandardInternational Standard

► Common Terms and ProceduresCommon Terms and Procedures

► Civilian, rather than Military Civilian, rather than Military OrganizationOrganization

► Staffed by civiliansStaffed by civilians USGUSG

HNGHNG

ContractorsContractors

NGHA representativesNGHA representatives

► Scalable, flexible, adaptableScalable, flexible, adaptable

Necessary CapabilitiesNecessary Capabilities

► Situational Awareness Situational Awareness Capability to collect, analyze and disseminate information about Capability to collect, analyze and disseminate information about

regional and local political, military, social, and environmental regional and local political, military, social, and environmental issuesissues

Knowledge base about aid providers (public, private commercial, Knowledge base about aid providers (public, private commercial, and humanitarian)and humanitarian)

► Program management: Expertise in complex project and Program management: Expertise in complex project and integrated program management with special emphasis on integrated program management with special emphasis on disaster managementdisaster management

► Logistics: Inherent capability for effective supply chain Logistics: Inherent capability for effective supply chain managementmanagement

► SecuritySecurity Capability to analyze situations that impact the safety and Capability to analyze situations that impact the safety and

integrity of aid personnel, equipment and projects. integrity of aid personnel, equipment and projects. Ability to access security related information from multiple Ability to access security related information from multiple

sources and share information with multiple sourcessources and share information with multiple sources Ability to access and contract with security resources to meet the Ability to access and contract with security resources to meet the

needs of particular situationsneeds of particular situations

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

Capabilities (Continued)Capabilities (Continued)

► Civil-Military Relations. Ability to work with military planners Civil-Military Relations. Ability to work with military planners and operators at all levels and the ability to act as credible and operators at all levels and the ability to act as credible liaison between military and NGHAsliaison between military and NGHAs

► IndependenceIndependence Organization must appear as independent from military and Organization must appear as independent from military and

government command structuresgovernment command structures Freedom to operate in accordance with the RCM Code of ConductFreedom to operate in accordance with the RCM Code of Conduct

► Donor access:Donor access: Inherent capabilities to reach out to donors throughout all phasesInherent capabilities to reach out to donors throughout all phases Grant writing capabilityGrant writing capability

► CommunicationsCommunications Ability to generate reportsAbility to generate reports Ability to engage the public through written, electronic, and Ability to engage the public through written, electronic, and

personal contactpersonal contact

Unified Management

Planning LogisticsAdmin/ Finance

LiaisonLegal

Safety/ Security

Public Information

• Accountability• Reports• Fund Raising

Identify, Request, and Track ResourcesSituation Unit

Sector Leads

CMOC Director (JTF)USEMBUSAID/OFDAUNHC/IGOHNGNGO Lead

Notional OrganizationNotional Organization

ChallengesChallenges

► AcceptanceAcceptance Combatant CommandersCombatant Commanders

Other USG AgenciesOther USG Agencies

NGHAsNGHAs

► ParticipationParticipation PlanningPlanning

ExercisesExercises

ResponseResponse

► FundingFunding ““A good idea is one with a fund site attached to A good idea is one with a fund site attached to

it.”it.”

Concept Coherence with Concept Coherence with Humanitarian PrinciplesHumanitarian Principles

► HumanityHumanity: Concept should facilitate NGHA access to : Concept should facilitate NGHA access to populations anywhere in affected region and not just in populations anywhere in affected region and not just in support of mandatesupport of mandate

► ImpartialityImpartiality: NGHA aid will be rendered without consideration : NGHA aid will be rendered without consideration of political, ethnic, or religious basisof political, ethnic, or religious basis

► IndependenceIndependence: Coordination does NOT direct the : Coordination does NOT direct the employment of NGHA resources or operationsemployment of NGHA resources or operations Information sharing and situational awareness will promote self-Information sharing and situational awareness will promote self-

synchronizationsynchronization NGHA accountability is to beneficiaries and donors, not US or NGHA accountability is to beneficiaries and donors, not US or

supported nation militarysupported nation military► NeutralityNeutrality: NGHA aid will not have the direct intent to further : NGHA aid will not have the direct intent to further

government policy or mandategovernment policy or mandate NGHA information will not be used for operational military NGHA information will not be used for operational military

intelligenceintelligence NGHA operations will not be used for government propaganda or NGHA operations will not be used for government propaganda or

publicity campaignspublicity campaigns NGHA aid may work to achieve humanitarian ends that coincide NGHA aid may work to achieve humanitarian ends that coincide

with mandate requirements or policywith mandate requirements or policy

Principles and PerceptionsPrinciples and Perceptions

► Planning center should be separate from JTF Civil-Planning center should be separate from JTF Civil-Military Operations Center (CMOC)Military Operations Center (CMOC)

► Staff should not include military personnelStaff should not include military personnel Mix of USG civilians, contractors, and NGOsMix of USG civilians, contractors, and NGOs

Possibility that Director nominated by an independent Possibility that Director nominated by an independent foundation and approved by Combatant Commander.foundation and approved by Combatant Commander.

► Military personnel should not be used to guard MACS Military personnel should not be used to guard MACS except in extremisexcept in extremis

Despite an operational concept that supports RCM Humanitarian Principles, NGHA participation may still

appear to compromise NGHAs. To mitigate this perception:

Participating NGHA ResponsibilitiesParticipating NGHA Responsibilities

► Commit to the Red Cross movement’s Code of Conduct for Commit to the Red Cross movement’s Code of Conduct for NGOs in Disaster ReliefNGOs in Disaster Relief

► Agree to include their individual projects, requirements, and Agree to include their individual projects, requirements, and needs assessments into an integrated Framework for Actionneeds assessments into an integrated Framework for Action

► Come to agreement among themselves regarding identified Come to agreement among themselves regarding identified needs and requirementsneeds and requirements

► Within their capabilities and organizational mission, assume Within their capabilities and organizational mission, assume sponsorship for on-going or proposed projects to meet sponsorship for on-going or proposed projects to meet those needs those needs

► Participate and cooperate in preparation and distribution of Participate and cooperate in preparation and distribution of project accountability reportsproject accountability reports

► Cooperate with other participating NGHAs on projectsCooperate with other participating NGHAs on projects ► Not encroach upon or undermine other participating NGHAs Not encroach upon or undermine other participating NGHAs

for framework projects or funding.for framework projects or funding.

To participate in this process, Non-Governmental Humanitarian Assistance Agencies must:

Way ForwardWay Forward

► Authorization to ProceedAuthorization to Proceed

► Market ResearchMarket Research

Donor Demand for AccountabilityDonor Demand for Accountability

Commercial Sector CapabilityCommercial Sector Capability

NGHA AcceptabilityNGHA Acceptability

► Refine the ConceptRefine the Concept

► Market the ConceptMarket the Concept

Combatant CommandsCombatant Commands

NGHAsNGHAs

Inter-Governmental Organizations (e.g., UN, EU, Inter-Governmental Organizations (e.g., UN, EU, OAS)OAS)

► Concept ExecutionConcept Execution

ConclusionConclusion

► Work in ProgressWork in Progress► Invite and encourage participation byInvite and encourage participation by

Military commandsMilitary commands USG agenciesUSG agencies Partner governments and Inter-Governmental Partner governments and Inter-Governmental

OrganizationsOrganizations Commercial Private SectorCommercial Private Sector Non-Governmental Humanitarian AgenciesNon-Governmental Humanitarian Agencies

► Colonel Christopher Mayer, USA (OSD/GSA)Colonel Christopher Mayer, USA (OSD/GSA) Christopher.mayer@osd.milChristopher.mayer@osd.mil

► Ms Teresa Gera (Global Reach)Ms Teresa Gera (Global Reach) Teresa.gera@globalreachpartnership.orgTeresa.gera@globalreachpartnership.org

Back-Up SlidesBack-Up Slides

TermsTerms

► Framework for Action: Framework for Action: A program management tool based on the UN A program management tool based on the UN Millennium Development Goals. The idea of a framework envisions Millennium Development Goals. The idea of a framework envisions all relief and development activities as interrelated. The framework all relief and development activities as interrelated. The framework places relief and recovery projects in the context of an objective end places relief and recovery projects in the context of an objective end state and serves as a tool for rationalizing and logically sequencing state and serves as a tool for rationalizing and logically sequencing humanitarian aid and economic developmenthumanitarian aid and economic development

► Complex EmergencyComplex Emergency: a humanitarian crisis in a country, region or : a humanitarian crisis in a country, region or society where there is total or considerable breakdown of authority society where there is total or considerable breakdown of authority resulting from internal or external conflict and which requires an resulting from internal or external conflict and which requires an international response that goes beyond the mandate or capacity of international response that goes beyond the mandate or capacity of any single agency and/ or the ongoing United Nations country any single agency and/ or the ongoing United Nations country programprogram

► Multi-Agency Coordination System (MACS).Multi-Agency Coordination System (MACS). MACS consists of a MACS consists of a combination of elements: personnel, procedures, protocols, business combination of elements: personnel, procedures, protocols, business practices, and communications integrated into a common system. practices, and communications integrated into a common system. The primary function of MACS is to coordinate activities above the The primary function of MACS is to coordinate activities above the field level and to prioritize the incident demands for critical or field level and to prioritize the incident demands for critical or competing resources, thereby assisting the coordination of the competing resources, thereby assisting the coordination of the operations in the field. operations in the field. As this concepts develops, this term may be As this concepts develops, this term may be dropped for a more appropriate descriptor of this capabilitydropped for a more appropriate descriptor of this capability ..

TermsTerms

► Non-Governmental Humanitarian Agencies (NGHAs)Non-Governmental Humanitarian Agencies (NGHAs) The components The components of the International Red Cross and Red Crescent Movement and Non-of the International Red Cross and Red Crescent Movement and Non-Governmental Organizations (NGOs) involved in disaster response.Governmental Organizations (NGOs) involved in disaster response.

► Private SectorPrivate Sector: Philanthropists, private foundations, corporate : Philanthropists, private foundations, corporate donors, for-profit emergency management and development donors, for-profit emergency management and development corporations, and non-profit humanitarian assistance and civil-corporations, and non-profit humanitarian assistance and civil-society organizations (NGOs)society organizations (NGOs)

► Public Sector:Public Sector: Department of Defense/military commands, other US Department of Defense/military commands, other US Government Agencies, supported government agencies, other donor Government Agencies, supported government agencies, other donor or assisting governments, and intergovernmental organizations (e.g., or assisting governments, and intergovernmental organizations (e.g., UN, OAS, AU, EU, etc.)UN, OAS, AU, EU, etc.)

► Supported government/nationSupported government/nation: State affected by disaster and the : State affected by disaster and the recipient of emergency aid from the United States and the recipient of emergency aid from the United States and the international communityinternational community

PreparationPreparation

► Regional needs assessmentsRegional needs assessments USG, Supported Nation, NGHA and other sourcesUSG, Supported Nation, NGHA and other sources

► Potential supported nation response frameworkPotential supported nation response framework Build on existing capacitiesBuild on existing capacities Supported nation may needs assistance in developing Supported nation may needs assistance in developing

response frameworkresponse framework► Identifying contingency end states, stakeholders, resources, Identifying contingency end states, stakeholders, resources,

and exit criteriaand exit criteria► Pre-identification of resource requirements, potential Pre-identification of resource requirements, potential

sources of support, deployment aid and redeploymentsources of support, deployment aid and redeployment► Identification of USG assistance objectives that coincide Identification of USG assistance objectives that coincide

with independent NGHA policywith independent NGHA policy► Shared situational awareness of interest areasShared situational awareness of interest areas► Security considerationsSecurity considerations

ResponseResponse

► MACS deploys with or ahead of Humanitarian MACS deploys with or ahead of Humanitarian Assistance/Disaster Relief Task ForceAssistance/Disaster Relief Task Force Dual based, with forward and support elementsDual based, with forward and support elements

► MACS forward element works in direct support of the MACS forward element works in direct support of the supported governmentsupported government

► National Response Framework Tasks: National Response Framework Tasks:

Gain and Maintain Situational Awareness

Activate and Deploy Resources and Capabilities

Coordinate Response Actions

Response ActivitiesResponse Activities

► Situational AwarenessSituational Awareness Identify relief and recovery activity requirements, focused on Identify relief and recovery activity requirements, focused on

lifesaving activities, tracked against end-state objectiveslifesaving activities, tracked against end-state objectives Monitor project initiation, status, completion and effectiveness Monitor project initiation, status, completion and effectiveness Maintain and share information affecting the security of Maintain and share information affecting the security of

response agencies and activitiesresponse agencies and activities► Facilitate the Deployment of Resources and CapabilitiesFacilitate the Deployment of Resources and Capabilities

Liaison with supported government, IGOs, and US military for Liaison with supported government, IGOs, and US military for access to populationaccess to population

Outreach to donors to meet resource gapsOutreach to donors to meet resource gaps Coordinates for delivery and deployment of humanitarian aid Coordinates for delivery and deployment of humanitarian aid

and recovery personnel and materieland recovery personnel and materiel► Facilitate Response ActionsFacilitate Response Actions

Enables self-synchronization among NGHAs, IGOs, military and Enables self-synchronization among NGHAs, IGOs, military and other government organizations other government organizations

Deconflicts “humanitarian space” from military operationsDeconflicts “humanitarian space” from military operations Prepare and distribute reports and other information for Prepare and distribute reports and other information for

general public, beneficiaries, and donorsgeneral public, beneficiaries, and donors

RecoveryRecovery

► Once immediate lifesaving and containment activities are Once immediate lifesaving and containment activities are complete, focus shifts to meeting basic needs and restoring complete, focus shifts to meeting basic needs and restoring infrastructureinfrastructure Public health and safety, essential services, transportation, food and Public health and safety, essential services, transportation, food and

shelter for displaced persons. shelter for displaced persons. ► All activities begun in the Response phase continueAll activities begun in the Response phase continue ► Recovery Planning/Framework of Action identify and orient on Recovery Planning/Framework of Action identify and orient on

an end statean end state Standards based on objective criteria (e.g., SPHERE)Standards based on objective criteria (e.g., SPHERE)

NGHAs, government agencies, and IGOs accept specific projects, NGHAs, government agencies, and IGOs accept specific projects, tasks, activities and functions identified in the Frameworktasks, activities and functions identified in the Framework

Includes identification of criteria for MACS demobilization and Includes identification of criteria for MACS demobilization and transfer of functions to supported government or IGOtransfer of functions to supported government or IGO

► Objectives of emergency military assistance are met and Objectives of emergency military assistance are met and military forces begin preparation for termination of operations military forces begin preparation for termination of operations and redeploymentand redeployment Includes coordination to preclude critical resource gapsIncludes coordination to preclude critical resource gaps

MitigationMitigation

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

► End-state is an environment in which the supported End-state is an environment in which the supported government can be self-sufficient in providing for the government can be self-sufficient in providing for the population’s humanitarian needs, and no longer requires population’s humanitarian needs, and no longer requires external assistanceexternal assistance Relief must not create dependencyRelief must not create dependency

► Framework for action depicts a continuum of relief, Framework for action depicts a continuum of relief, recovery, and developmentrecovery, and development Projects must include activity addressing economic and Projects must include activity addressing economic and

environmental precursors of disasterenvironmental precursors of disaster► Host Nation participation will enable capacity buildingHost Nation participation will enable capacity building

Capacity development for supported governments through Capacity development for supported governments through observation of and participation in MACS program observation of and participation in MACS program managementmanagement

Participation should include pre-disaster activity during Participation should include pre-disaster activity during preparation as well as active engagement in responsepreparation as well as active engagement in response