The security plan is country specific and takes into consideration the particular political, geographical and other circumstances of the duty station concerned. The United Nations utilizes a world-wide five-phase security management system. The five Phases are:
a) Phase One - Precautionary
b) Phase Two - Restricted Movement
c) Phase Three - Relocation
d) Phase Four - Emergency Operations
e) Phase Five - Evacuation
The Designated Official can implement measures under Phases One and two at his/her own discretion, following consultation with the Security Management Team, and notify the Secretary-General accordingly through the Under-Secretary-General for Safety and Security. Phases Three, Four and Five will be declared by the Designated Official only when the authorization of the Secretary-General has been obtained through the Under- Secretary-General for Safety and Security. If an imminent breakdown of communications is likely, the Designated Official is authorized to use his/her best judgment in implementing Phases Three to Five, reporting such action to the Secretary- General, through the Under-Secretary-General for Safety and Security, immediately thereafter.
The Phases may be implemented in chronological order, or as the situation dictates (e.g. in a quickly developing situation, Phase Two -- Restricted Movement may be the initial phase ordered). It should be noted that situations may occur where one part of the country is under a different phase than the remainder of the country. A "return to normal" may be implemented by the Designated Official with respect to Phases One and Two following consultation with the Security Management Team. The appropriateness of the Phase must be reviewed by the Designated Official and Security Management Team on a regular basis but at least every three months to ensure its applicability. If Phases Three to Four have been implemented, the decision to return to a lower phase will be taken by the Secretary-General on the advice of the Under-Secretary-General for Safety and Security. After a Phase Five evacuation, before a decision to return to a lower phase is taken, the Under-Secretary-General for Safety and Security will deploy a security assessment mission to report on the situation. All changes in security phase require a review and updating of the security plan and list of staff and eligible dependants at the duty station.
In order for the Designated Official and Security Management Team to be aware of who is at the duty station at any given time, all travel to the duty station in any declared security phase requires clearance from the Designated Official. Travel to Phase V areas requires clearance from DSS on the recommendation of the Designated Official. The same requirements will apply for travel within the duty station. It will be the responsibility of each organization of the United Nations system to ensure that their respective staff members are informed of and comply with security clearance procedures.
a) Phase One – Precautionary
The Designated Official may declare Phase One -- Precautionary to warn staff members that the security situation in the country, or in a portion of it, is such that caution must be exercised, and they should take action as outlined for this phase, as well as be prepared to take action as outlined for subsequent phases.
Following notification to the Secretary-General, through the Under-Secretary-General for Safety and Security, of the declaration of Phase One, the Designated Official will convene an urgent meeting of the Security Management Team to take the following actions:
a) Notify the Designated Official in the designated country of relocation, as well as in nearby countries, of the implementation of Phase One;
b) Ensure that the measures relative to nationally-recruited staff and their eligible dependants have been fully implemented;
c) Convene a meeting of wardens;
d) Review and update the security plan;
e) Check and update lists of all staff members and their eligible dependants and locations within the country;
f) Ensure that the staff members have been briefed and are prepared to move to the next phase, as required;
g) Identify staff members for specific security-related tasks;
h) Ensure that Area Coordinators are advised of the situation and requested to maintain regular contact with the Designated Official;
i) identify with the Security Management Team any particular medical conditions amongst the staff, which might require attention, should relocation/evacuation be ordered; and,
j) Notify all staff members of the implementation of Phase One.
b) Phase Two – Restricted Movement
Phase Two -- Restricted Movement will be declared to signify that the situation warrants a much higher level of awareness and preparedness than the precautionary phase and to impose major restrictions on the movement of staff members and their eligible dependants who may be directed to remain at home unless otherwise instructed. However, implementation of Phase Two should be used as a transition measure.
Following the notification to the Secretary-General, through the Under-Secretary-General for Safety and Security, of the declaration of Phase Two, the Designated Official, in consultation with the Security Management Team will take the following actions:
a) Notify the Designated Official in the country of relocation and nearby countries that Phase Two has been implemented;
b) Determine, in consultation with the Security Management Team, which staff members are most essential in the event that Phase Three is implemented;
c) Ensure that wardens and area coordinators have been notified of the change of phase; and,
d) As circumstances dictate, instruct appropriate staff members and all dependants to remain at home.
c) Phase Three – Relocation
The authorization by the Secretary-General for the declaration of Phase Three enables the Designated Official and Security Management Team to initiate the implementation of any or all of the following actions:
a) Temporary concentration of all internationally-recruited staff members and/or their spouses and eligible dependants in one or more concentration points; or,
b) Relocation of all internationally-recruited staff members and/or their spouses and eligible dependants to alternative locations within the country; and/or
c) Evacuation outside the country of all eligible dependants of internationally-recruited staff members and/or non-essential internationally-recruited staff members, together with their spouses and eligible dependants. The determination of essential staff members for security purposes will be made by the Designated Official, and the Security Management Team; however, any staff member who is unable to effectively carry out his/her assigned tasks due to the deteriorating security situation should be considered non-essential. Subject to the approval of the Under-Secretary-General for Safety and Security, based on the recommendation of the Designated Official and Security Management Team, spouses of internationally-recruited staff members who are considered essential may be authorized to remain at the duty station under Phase III. This only applies to spouses and there are no exceptions;
d) Temporary concentration and/or internal relocation of all nationally-recruited staff and eligible dependants, if they wish to avail themselves of this option.
With the declaration of Phase Three, the Designated Official will take all of the following mandatory actions:
a) Notify the Designated Official in the designated country of relocation, as well as in nearby countries, of the implementation of Phase Three;
b) Notify Area Coordinators and wardens to instruct all staff members and their eligible dependants regarding actions to be taken;
c) Brief Area Coordinators and wardens, as necessary, on further steps that may be required;
d) Review arrangements which must be implemented under Phases Three through Five, for the payment of salaries and allowances of nationally-recruited staff members, and other essential payments;
e) Review other arrangements to be implemented under Phases Four and Five, in accordance with the agreed upon Minimum Operating Security Standards, including modification of the Security Plan to take into account the departure of some staff members;
f) Notify staff members in other parts of the country, unaffected by the declaration of Phase Three, of these developments through the Area Security Coordinator; and
g) If possible, complete the checklist: Follow up after Evacuation of Staff Member in respect of those who have departed.
d) Phase Four – Emergency Operations
The authorization by the Secretary-General to declare Phase Four enables the Designated Official, in consultation with the Security Management Team, to recommend to the Secretary-General, through the Under-Secretary-General for Safety and Security, the evacuation outside the country of additional internationally-recruited staff members. The purpose of Phase IV is to limit the numbers of international staff members at the duty station to those vital for emergency, humanitarian relief, security operations or any other operation deemed essential by the Secretary-General. All other internationally-recruited staff members who heretofore were involved in the maintenance of programme activities will be relocated at this time.
With the declaration of Phase Four, the Designated Official and Security Management Team will take all of the following actions:
a) Notify the Designated Official in the designated country of relocation, as well as in nearby countries, of the implementation of Phase Four;
b) Notify the host government and local authorities and request assistance as necessary;
c) Meet with internationally and nationally-recruited wardens instructing them on actions to be taken, including necessary adjustments to warden lists;
d) Prepare to implement continuity of operations plan to the extent possible by ensuring implementation of the agreed upon Minimum Operating Security Standards and by identifying the senior nationally-recruited officer (SNRO) and requesting each organization to designate its own Officer-in-Charge;
e) Instruct the SNRO to be prepared for the transition from the Designated Official and Security Management Team to the SNRO and the Officers-in-Charge of each organization;
f) Meet with remaining internationally and nationally-recruited staff to advice on the current situation and actions being taken;
g) Instruct that all spouses of internationally-recruited staff members authorized to be at the duty station in Phase Three must depart;
h) Continue the relocation of nationally-recruited staff and their dependants within the country, as applicable; and
i) If possible, complete the check-list: follow up after evacuation of staff member in respect of those who have departed.
e) Phase Five – Evacuation
The authorization by the Secretary-General for the declaration of Phase Five signifies that the situation has deteriorated to such a point that all remaining internationally-recruited staff members are required to leave, without exception. With the declaration of Phase Five, normally by the Secretary-General, the Designated Official will take all of the following actions:
a) Notify the Designated Official in the designated country of evacuation, as well as in nearby countries, of the implementation of Phase Five;
b) Notify the host government and local authorities and request assistance as necessary;
c) Ensure the orderly transition from the Designated Official and Security Management Team to the Senior Nationally-recruited Officer (SNRO) as officer-in-charge and
d) Establish an office in the country of relocation/evacuation from where the Designated Official and Security Management Team, who are required to remain, must continue to support the SNRO and national Security Management Team.