CARE INTERNATIONAL
SAFETY AND SECURITY
PRINCIPLES
This document details the essential elements of CARE International responsibility for
staff safety and security. It also provides the operating principles for the CARE
International Safety and Security Unit (CISSU)
Care International Safety and Security Principles
March 2007
TABLE OF CONTENTS
1. Introduction ........................................................................................................................................... 3
2. The six principles of Safety and Security management for CARE International... ……………5
2.1
Principle 1................................................................................................................................... 5
2.2
Principle 2................................................................................................................................... 6
2.3
Principle 3................................................................................................................................... 7
2.4
Principle 4.................................................................................................................................... 7
2.5
Principle 5................................................................................................................................... 8
2.6
Principle 6................................................................................................................................... 9
3. Roles, Responsibilities and Statement of Accountability within the CARE International
Safety and Security Framework………………………………………………………...….…10Error!
Bookmark not defined.
3.1
CISSU............................................................................................................................... ……10
3.2
CI Governance ......................................................................................................................... 12
3.3
Operating Members ................................................................................................................ 12
3.4
Security Directors/Managers ................................................................................................ 13
3.5
Country Office Directors or Temporary Coordinators………………………………13
3.6
Country Office Safety and Security Officers…………………………………………13
3.7
Country Office Safety and Security Focal Points……………………………….…….14
3.8
Country Office Safety and Security Committees………………………………….…..14
3.9
Individual Staff Member…………………………………………………………….14
Annex A CARE International Minimum Operating Security Standards………………………..16
Annex B Modifying CARE Operations due to Security Conditions………………………….....22
Annex C Addressing Security and Safety in Project Proposals………………………………….31
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Care International Safety and Security Principles
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1. Introduction
CARE INTERNATIONAL SAFETY AND SECURITY PRINCIPLES
During the past decade, CARE International has invested considerable effort to improve the safety and security
conditions and practices of our staff who are increasingly exposed to more violence and personal danger in the
conduct of their work.
CARE is dedicated to enhancing staff and program preservation in adverse circumstances through the design
and dissemination of several tools for security training (CARE Academy), best practices (Safety and Security
Handbook), incident reporting and analysis (Security Information Management System) and policy and
procedures frameworks and assistance (Security Management Guide). The CARE International Minimum
Operating Security Standards (MOSS, Annex A) are standards that cover the primary elements of good safety
and security management for the INGO community.
The CARE International Safety and Security Unit (CISSU) is accountable to all federation members and CARE
staff to assist in establishing awareness and best practices through guiding principles, resources, policy and best
practices. Nonetheless, safety and security mainstreaming needs to be encouraged and achieved with the
collaboration of all federation members and staff through professional competence, sound practices and the
delivery of quality programs and assistance. All staff have a responsibility in the development of CARE’s safety
and security culture.
This evolving culture of safety and security management is not based on risk aversion. It supports CARE’s
institutional approach to safety and security by enhancing the well being of all staff who are more frequently
exposed to threats and danger while assisting others.
There will always be varying degrees of risk to staff given the nature of CARE’s mandate and missions. CARE
can however, promote and institute risk mitigation and reduction by establishing guiding principles, minimum
standards and definitive policies. To define the criteria for mitigation and threat reduction, the CISSU has
established six principles for Safety and Security Management in CARE International.
The Six Principles of Safety and Security Management for CARE International
1. Safety and Security is everyone’s responsibility within the CARE federation through due
diligence and accountability.
2. Program and Program Support decisions will always be informed by safety and security
considerations.
3. Clear lines of authority and procedures for decision making are maintained at all times.
4. All CARE International members will comply with the CI Minimal Operating Security
Standards.
5. All CARE International staff will be adequately trained and supported in the area of safety and
security.
6. All members of the CARE International federation will hold themselves accountable for
maintaining the CARE International Security Principles.
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While the humanitarian imperative is at the foundation of CARE’s mandate, it must also be exercised in
conjunction with the determination of levels of acceptable risk to staff and assets. The guiding principle for
CARE International operations is “the safety and security of CARE staff is the primary consideration.”
Program design to include advocacy initiatives, finance decisions, human resource matters, management and
program delivery will include an analysis as to the effect of the proposal on the well being of staff and in
particular national staff.
Programming and security are integrated and interdependent. This is the foundation for CARE to continue
working in complex situations while providing assistance to those in need.
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2. The Six Principles of Safety and Security Management for
CARE International
CARE International Safety and Security Principles are designed to capture the most essential elements of the
federation’s responsibility toward staff safety and security. They are also a simple guide to ensure minimum
standards for staff well being are addressed in operational planning and execution.
Principle 1
Safety and Security is everyone’s responsibility within the CARE International Federation through due
diligence and accountability.
All federation members are responsible for ensuring safety and security best practices. Although each staff
member bears responsibility for their own safety and security, Senior Management will exercise the leadership
and guidance to require the highest level of due diligence from all staff.
CARE International Secretary General: The Secretary General provides the appropriate support and
leadership to ensure the highest possible conditions of safety and security. The Secretary General facilitates the
security appeals mechanism.1
CARE International Safety and Security Unit (CISSU): The CISSU leads the development of policies and
standards required to support good safety and security practices throughout CARE International, including a
risk management framework, which applies to all members and country offices. It supports operational
members to ensure that country offices or temporary presence missions are equipped to implement CARE
International safety and security policies and standards. The unit acts on recommendations emerging from
evaluations which will keep CARE International’s practices current and support safety and security in the field.
And, as resources allow, lead training and development initiatives in the area of safety and security; also ensuring
that federation members’ training resources are effectively coordinated.
Designated Members: Each federation member will have at least one person in their headquarters who is
responsible for staff safety and security. In addition, a member(s) of each representative Board of Directors will
be designated with the responsibility for staff safety and security oversight. Designated members will be aware
of the security situations of their respective COs and temporary presence activities while providing leadership,
support and diligent monitoring of security practices and standards.
Country Office Management: Both country offices and temporary presence coordinators will designate a
person responsible for monitoring and analyzing the security context in their areas of operation which affect
programs and presence. This individual will be identified as the safety and security focal point or officer.
1
Security Appeals Mechanism: The Secretary General is assigned responsibility for coordinating specific functions and activities
of the CARE International Safety and Security Unit as they relate to matters deemed essential to the safety and security of all
CARE staff regardless of national membership affiliation. In these matters, the Secretary General has the authority to require
consultation between involved members, but does not have the authority to compel agreement. In the event that essential
agreement cannot be obtained, the matter shall be referred to the appointing authority. In this case, the authority is the
chairperson of the CARE International Board of Directors. The decision of the chairperson is binding.
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She/he must exercise leadership through the establishment of communicated, understood and accepted
procedures while monitoring, training and modifying operations if the situation becomes too dangerous to the
point that risk outweighs the benefit. Country Directors and Temporary Presence Coordinators are responsible
for maintaining a reporting system which is efficient, simple and understood to the operating member’s line of
authority.
Individual: Every staff member is accountable for their personal and professional actions and conduct. Their
actions impact not only their personal security, but the security of others to include the entire presence of the
mission and the reputation of CARE.
Principle 2
Program and Program Support decisions will be informed by safety and security considerations.
In order to fulfill CARE’s vision and mission, all of CARE’s work must conform to the CARE International
Code of Conduct, CARE’s Programming Principles, and all gender and diversity policies. Incorporating Safety
and Security practices from program inception and within budget planning will perpetuate a culture of safety
and security while providing resources and mechanisms to ensure its sustainability. Safety and security is a
dimension which requires ongoing monitoring and auditing at each level within the applicable line of authority.
1. Program Design, Implementation and Delivery. Security and programming needs to be considered as
interdependent. The context of programming is constantly changing. Thus, the dynamics of a security plan are
variable. CARE programs and staff need to be flexible in adapting procedures and program delivery
mechanisms which ensure the provision of assistance in a manner which supports staff safety and security.
2. Building Safety and Security within budgets. Safety and security will be built into new project proposals
and into program/operational budgets. The four main components to consider for funding are:
 Training (security, safety, first aid, etc...)
 Site enhancements (Perimeters – fences, Blast film…)
 Security and safety resources (ex: HF/VHF/Satellite radios, First Aid materials…)
 Human Resources (Safety and Security Officers/Focal Points, Guards, consultants...)
3. Monitoring and Evaluation. Donors will support security for programming initiatives. Donors look
favorably on elements within proposals which contain safety and security line items and, where possible, these
must be reflected within the proposal. Such line items inclusions will not negatively reflect on the proposal and
in most circumstances is required. As such, donors will monitor and evaluate the application of staff safety and
security practices.
4. Resources and Practice Considerations:
- Ongoing contextual analysis and risk assessment
- Updating Standard Operating Procedures and Policies
- Donor guidelines and requirements
- CARE International Minimum Operating Security Standards (Annex A)
- Modifying CARE Operations due to Security Conditions (Annex B)
- Addressing Security and Safety in Project Proposals and Budgets (Annex C)
- CARE Safety and Security Handbook
- Security Management Audit
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Principle 3
Clear lines of authority and procedures for decision making are established and maintained at all
times.
In order to increase attentiveness and accountability with regard to staff safety and security, systems for
addressing unacceptable behavior, incidents and accidents must be established to analyze and revise actions to
ensure amendments to HR and safety and security practices are addressed. Clear lines of authority enable
proper dissemination of information and decision making during crisis or normal operations.
1. Ensure compliance




Frequent security discussions for staff awareness
Staff evaluations include how well members comply with security procedures and policies
Evaluating management and their ability to facilitate a culture of safety and security awareness and
acceptance
Procedures in place to address the disregard of established safety and security policies and procedures.
2. Ensure proper decision making lines and Crisis Management systems


Reporting lines for authority and decision making are clearly established and staff understand to whom they
are accountable.
Creation, rehearsal of crisis management team protocols, with back up plans and lines of authority.
3. Resources and Practice Considerations:
-
CARE International Code of Conduct
Risk Management through situational awareness and analysis
Risk Management through standard operating procedures, contingency planning and CARE security
policies.
Crisis Management Teams and procedures are established and rehearsed
Evacuation, Relocation and Hibernation procedures and policies are established and rehearsed
Modifying Operations Due to Security Conditions (Annex B)
Periodic review of line management systems and reporting lines for staff safety and security.
Principle 4
CARE International members will comply with the CI Minimal Operating Security Standards. (MOSS)
Through the development of CARE International MOSS and CARE specific safety and security policies, CARE
Human Resources policies and minimum operating standards, all security planning, response mechanisms and
resources will be included in the planning and conduct of all CARE operations.
1. Security Management Documents





SOP and Policies (with distribution lists)
Contingency Planning (with distribution lists)
Safety and Security Handbook
CI principles
Personnel training lists
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2. Resources and coverage


Adequate insurance coverage for location(s)
Contingency funds
3. Resources and Practice Considerations:
-
CARE International MOSS – Annex A
Telecommunications Minimum Standards
Media Considerations
CARE Safety and Security Handbook – Annex C
CARE Security Management Planning (Country specific Policies and Procedures)
Principle 5
All staff will be trained and supported in the area of safety and security.
All staff will have a specified degree of mandatory safety and security training before they are deployed to their
areas of operations. This includes both national and international staff. They must have the awareness and
skills commensurate to the degree of threat to which they will be exposed. Although some procedures and
processes may be unique to either national or international staff, the requirement to ensure the adequate
preparation of CARE staff is a corporate responsibility and imperative to CARE’s mission.
1. Primacy of life over assets: No asset is more important than a life. No staff member will risk her/his life
to protect a CARE asset. CARE has a responsibility to provide proper training and good Human Resource
practices to ensure staff members are adequately prepared and supported in their work.
2. Human Resources: Human Resources are an important dimension to safety and security management.
Sound recruiting and hiring practices; appropriate staff orientations and preparation for the field; the provision
of rest and recreation opportunities; post crisis or assignment support outlets; establishing consequence
measures in cases of violations to policies and codes of conduct and sensitivity to local labor laws and mitigating
disaffected staff problems will directly affect the safety and security posture of the unit or organization. Also, it
is important to build safety and security roles and responsibilities into job descriptions for key individuals.
3. Training: Many training modules and opportunities are available to CARE staff either through courses,
visits by trainers or on-line electronically. Minimum standards have been established to ensure staff are
adequately prepared and ready for their working environment and awareness as to how to mitigate risks to
which they may be exposed. It is also in CARE’s values system to provide safe spaces for staff to provide input,
and thus ownership, over certain safety and security measures and processes for information collecting and
transference to procedures and policy.
Minimum Training Requirements for all staff:
 First Aid/CPR
 Fire Safety
 Standard Operating Procedures and Contingency Plans
 CARE Academy Personal Security Awareness Learning Module
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4. Resources and Practice Considerations:
-
Training, Instruction, Supervision and Performance Reviews
Security Manuals, Standard Operating Procedures and Policies: All staff will receive respective and
relative sections to SOPs and contingency responses.
Teams are established for security committees and for acute crises.
Stress management and Critical Response mechanisms are in place or accessible
Principle 6
All CARE International members are accountable to maintain CI Security Principles.
Every federation member is responsible to inculcate a culture of safety and security awareness and responsibility
within its staff. Individual accountability must be viewed as the foundation for organizational safety and
security standards. Enforcement of safety and security standards must be exercised at each level of line
management. The Safety and Security Principles are the foundation for CARE’s ability to exercise its mandate.
Resources and Practice Considerations:
-
Appeals Mechanism
Internal audits and self-assessments
Practice review by Designated Members
9
3. Roles, Responsibilities and Statement of
Accountability within the CARE International
Safety and Security Framework
3.1 CARE International Safety and Security Unit (CISSU).
CARE International Safety and Security Unit Composition:
CISSU Director
CISSU Analyst
Safety and Security Advisors on retainer (2)
Responsibility: The Director of the CISSU is responsible for the development,
coordination and monitoring of CARE International’s policy and strategy for safety and
security. In addition, the position is responsible for ensuring CI’s Secretary General and
governance is able to oversee effectively the implementation of staff safety and security
across CI. Specifically, the Director will:
a. Advise the CI Secretary General on all matters pertaining to safety and security.
b. Stay current on developments in security practice and thinking within the sector, and
also in respect of security crises in areas where CI is operational.
c. Develop and maintain CI safety and security policy and standards.
d. Support and guide CI members in their implementation of safety and security policy,
including planning and training.
e. Monitor CI member and country office compliance with safety and security policy.
f. Directly support members’ safety and security operations in the field during periods
of crisis. Consistent with the earlier decision of the National Directors and CI
Board, when deployed in the field in support of an operational member, CISSU
personnel would come under the day-to-day management of that member.
g. Keep CI’s Secretary General and governance advised of staff safety and security
developments.
h. Activate the proposed appeal mechanism when required (see below).
Discussion
A. CISSU Relationship with Operational Members: Operational members of CI
(including non-lead members with employees assigned to country offices) are unable to
delegate entirely their responsibility for the safety and security of their staff. Ultimately,
the operational member is responsible for decisions affecting the safety and security of
its staff. Therefore, all operational members will maintain a security function, which
allows a direct line of oversight of safety and security by the members’ CEOs and boards.
These member-based safety and security functions will however be coordinated within
CI’s wider operational and policy contexts by the CISSU, described above.
For CI members with limited operations, the security function is folded into the
responsibilities of an existing management position. However, some larger operational
members will employ one or more safety and security officers who have specific
responsibility for staff safety and security in the COs managed by their respective CI
Care International Safety and Security Principles
March 2007
members. Although the officers will be managed by the employing CI members, their
job descriptions will focus on the implementation of CI policy (developed by the
CISSU), and will require them to work in support of other members’ safety and security
requirements, as requested by the Director CISSU. This close relationship with the
CISSU will require member-based safety and security officers to report on a bi-weekly
basis to the CISSU Director. The CISSU Director will also input to their annual work
plans and performance appraisals.
In a formal definition of mandate, the Director of the CISSU has coordinating authority
within the federation on all matters associated with staff safety and security.
Coordinating Authority is defined as the ability to require consultation between the
member(s) involved to include Temporary Presence Coordinators. However, this does
not incorporate the authorization to compel agreement. In the event that essential
agreement cannot be obtained, the matter shall be referred to the CARE International
Secretary General for resolution. If it cannot be resolved at this level, it will be presented
to the Chairperson CARE International Board of Directors for a determination. The
decision of the Chairperson CI Board of Directors is binding. Coordinating authority is a
consultation relationship, not an authority through which line management is exercised.
B. Policy and Development: The CISSU leads the development of policies and
standards in support of good safety and security practices within CI and which apply to
all members and country offices. It will support operational members in ensuring that
country offices are equipped to implement safety and security policies and standards and
will act on recommendations emerging from evaluations that would keep CI’s practice
current and that would support safety and security in the field. As resources allow, the
CISSU will lead training and development initiatives in the area of safety and security
while also ensuring that other members’ training resources are effectively coordinated.
C. Operations: The CISSU will maintain an overview of CI’s operating environments,
in particular situations in which safety and security issues are acute or escalating, (country
offices at risk). It will advise operational members of developments, whether in general
or country specific, that impact on staff safety and security. It will monitor the
deployment of CI member safety and security resources in relation to country office
needs, recommending additional coordination as needed. If appropriate, it can
participate in CI emergency assessments and/or participate in, or otherwise support, CI
member led security assessments. The director of the CISSU may initiate such
assessments if his/her judgment indicates the need. As an advisory entity, the CISSU
may support CI member and country office personnel in their response to dramatic
escalations in insecurity and deploy, as appropriate, security consultants or directly
provide support in the field to CI members and country offices during these situations.
D. Oversight.: The CISSU will coordinate the preparation of annual operating plans, or
annual work plans, by CI member safety and security units/functions. It will monitor the
implementation of these work plans and provide feedback as appropriate. It will also
provide input to annual performance appraisals of CI member safety and security
personnel.
E. Monitoring: The CISSU will establish and implement a system for monitoring CI
members and CO compliance with CI’s safety and security policies and standards. It will
report the findings of the monitoring system to the CI Board safety and security
oversight committee on a quarterly basis and provide guidance to CI members and COs in
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situations where CI policy or standards are not being met. In the event of persistent
non-compliance by a CI member or country office, the CISSU will refer the matter for
consideration by the Secretary General and CI Board. As appropriate, it will initiate or
participate in evaluations of CI safety and security responses and ensure that the results
of monitoring and evaluation are fed into CI’s policies and standards on safety and
security.
F. Secretariat: The CISSU will serve as a member of the CI Secretariat team by
supporting colleagues and participating in joint planning events and home weeks.
3.2 CISSU Governance
The CISSU forms a part of the CI Secretariat, and is accountable to the Secretary General of
CARE International. The CISSU Director makes periodic reports to a security oversight
committee consisting of the CI Chairperson, the CI Secretary General, and two CI Board
members from the three main operational members of CI (Australia, Canada and USA),
selected on a rotational basis. It is the job of the oversight committee to keep the CI
membership briefed and informed to the maximum extent allowed by safety and security
considerations.
If at any time the CISSU Director considers a country office or temporary presence has not
made sufficient provision for staff safety and security (i.e. is not compliant with CI policy),
and/or has not acted on CISSU advice and recommendations in an agreed time frame , then
the Secretary General shall request the CI member concerned to take corrective action. If
improvement remains unforthcoming, the Secretary General may refer the matter to the CI
Chairperson and Board for final arbitration and decision.
This “appeals mechanism” will almost certainly work in practice – after all, the membership
shares common safety and security concerns and objectives. In principle, however, it needs
to be recognized that, so long as it is the legal custodian of CI’s operations in a given
country, the lead member will be able to exercise its rights as the party responsible for
human and material assets in that country. Likewise, the non-lead member employer of a
staff member assigned to a country office is free to exercise its right as an employer. In
other words, this proposed “appeal mechanism” will be applied within the limits of law
bearing on the individual CI members.
3.3 Operating Members to include the CARE Emergency
Group and Temporary Presence Coordinators
Responsibility: Authority and accountability for safety and security begins with the
National Headquarters and/or the CARE Emergency Group. Specifically, Designated
Members to include temporary presence coordinators are responsible for promoting
acceptable work environments and are accountable for safety and security procedures which
reflect CARE International standards. Headquarters will monitor risk levels in operational
areas and can suspend programs or evacuate/relocate staff. The National Headquarters is
the senior authority during hostage and kidnap situations. (SSH1.4)
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3.4 Security Directors / Manager
Responsibility: Operational CARE Members will have a dedicated Security
Manager/Director to monitor program operations compliant with Safety and Security
standards and policies which have been set and approved by the CISSU on behalf of the CI
Secretary General.
 Provides guidance and advice to respective Country Offices and assists Regional
and/or Country Directors to implement the highest standards of safety and security.
 Responsible for keeping Core Program Teams and/or Executive Teams informed of
security issues and/or non compliance by Country Offices or Temporary Presence
Missions.
 Demonstrate a high level of socio-cultural, political and economic understanding of
the many contexts where CARE works.
 Develop a solid working knowledge of CARE's program framework in order to
provide guidance and direction for safety and security which supports CARE's vision
and mission. This requires incorporating strategic program goals with operational and
tactical security requirements.
 Will be required to travel to CARE's operational areas, including volatile and
dangerous locations to assist CO's or temporary presence missions in addressing
deteriorating security, develop security plans and provide technical assistance to
defuse incidents.
 Consult with CISSU, Country Directors or Regional Security Officers for any
background information or resources for security management.
 Oversee transparency from COs and Country Directors about security situation for
ongoing updating.
3.5 Country Director or Temporary Presence Coordinator
CDs/TPCs are responsible for implementing organizational policies and security measures at
the field level. This includes new hire orientation, visitor briefing, incident reporting,
inoculation policy, appropriate management of personnel data, etc. (SSH1.2, 3.4)
Responsibility:




Final decisions in all crisis situations.
Disciplinary or dismissive action when lapses occur in security management
Decisions based on his/her assessment of the operational context
Ensure the fundamental elements of safety and security management are fulfilled,
including a basic level of training for all staff. (SSH1.2)
Keeps National Headquarters aware of the current security situation, possible
scenarios and any potentially anticipated concerns for safety and security.

3.6 Country Offices or Temporary Presence Mission Safety and
Security Officers
Responsibility:


Responsible for security information management and incident reporting
Monitoring of operational contexts and updating SOP and contingency planning
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
March 2007
Responsible for training or mobilizing training for CARE personnel including
rehearsing procedures.
May have other security-related responsibilities as designated by the CD, Country
Rep, or Temporary Presence Coordinator
3.7 Country Offices Safety and Security Focal Points (Each office
and Sub office)
Responsibility: All CARE COs or emergency responses will have an identified SSFP. This
can be the existing Security Officer. She/he is responsible for security information
management and incident reporting. In addition:
 Monitoring of operational contexts
 Facilitates Security Committee meetings and considers input from all staff regarding
security needs and issues.
 May have other security-related responsibilities as designated by the CD, Country
Rep, or Temporary Presence Coordinator.
3.8 Country Offices Safety and Security Committees (Each office
and Sub office)
Responsibility:





Meet regularly to review all reported security incidents to identify trends and ensure
all incidents have been reported, analysed and appropriate action taken
Share security concerns and determine if procedural or policy changes are needed
Discuss how upcoming events or changes locally may affect the security environment
and how it might affect CARE staff and programs directly or indirectly
Be prepared to respond to any safety or security incident that requires support
including supporting the Crisis Management Team if needed.
Review and Support Security Officer or SSFP security recommendations and
procedures.
3.9 Individual Staff Member
As a member of CARE International, it is important to understand the realities of your
association with CARE’s work, particularly with regard to personal safety and welfare.
Because CARE International works in some of the least developed countries and in some of
the most remote areas in the world, health, safety, and security risks are an unavoidable part
of this association. It is important to realize that work with CARE International involves
certain risks, including road accidents, natural disasters, crime and civil unrest. CARE
International devotes significant resources to minimize safety risks to staff and to ensure that
they are given the training, support, and information they need for a safe experience.
However, there are many variables beyond CARE's control that impact the staff member’s
welfare and it is not possible to eliminate all the risks linked with an association with CARE.
Responsibility: Working with CARE in an operational setting requires changes in lifestyle
and habits in deference to host country or regions cultural expectations in order to minimize
security risks. Choices in dress, living arrangements, and means of travel, entertainment, and
companionship may have a direct impact on how CARE staff are viewed and treated by
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their communities. Navigating the differences in gender relations may be one of the most
sensitive and difficult lessons to learn, but one which could have a direct impact on the staff
member’s safety and the protection provided by the local community. Mature behavior and
the exercise of sound judgment will enhance personal safety. As such, every staff member
(national and international) has an obligation to learn and understand the context and
security issues where they are located. Each CARE staff member must adhere to all
pertinent policies concerning safety and security and is accountable for his/her own actions.
(SSH1.1, 3.1)
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Annex A
CARE International Minimum Operating Security
Standards2
Guidance for Implementing CARE International Minimum
Operating Security Standards3
Standard 1: Organizational Security Policy and Plans
CARE International Federation members shall have policies addressing key security issues and formal
plans at both field and headquarters levels to address these issues.
Suggested Guidance
1. Establishing appropriate security policies.
Security policies should be reasonable in relationship to the organization’s mission, mandate,
commitments, and mode of operation which impact on security. They should clearly articulate the
expectations the organization has of its employees and the responsibilities the organization assumes on
behalf of its employees. Below are some issues that should be considered in developing security
policies:
 Policy defining employees’ rights, if any, to withdraw or remain due to security concerns.
 Definition of a framework for determining acceptable and unacceptable risks to staff, assets,
and image of the organization.
 Guidance on the incorporation of acceptance, protection, and/or deterrence strategies. 4
 Agency response to employee being taken hostage and to demands for ransom or protection
money.
 Position on offering or accepting gratuities, gifts, or bribes.
 Security incident reporting requirements.
 Use of weapons by employees.
 Use of armed security.
 Use of alcohol where prohibited.
 Use of drugs.
 Speaking with the media.
 Consequences for violation of security policies.
 Civil-military relations.
 Distinctions between policies regarding national and international staff.
2
The CARE International Minimum Operating Security Standards were adopted by InterAction as the
collective standards for InterAction’s membership.
3
This document seeks to assist CARE International members in the incorporation of Minimum Operating
Security Standards (MOSS) into their respective approaches to security. It is recognized that each
federation member has differing security requirements. Thus, these standards represent best practices for
members as they implement their respective security programs. Obviously, not every point is necessarily
appropriate for every member or for every situation.
4
Van Brabant, K: Operational Security Management in Violent Environments, Overseas Development
Institute, London, 2000.
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2. Establishing appropriate and specific security plans at all levels of the organization.
Specific security plans should be reasonably related to the organization’s mission, mandate,
commitments, and mode of operation which impact on security and address the identified
vulnerabilities and threats that facing staff.
Consider including the following items, as appropriate, in a headquarters security plans:
 A crisis management plan that describes the crisis management team and members’
responsibilities.
 List of emergency contacts and the channels to reach them outside business hours.
 Procedures for contacting and maintaining communications with the next of kin of employees
in emergency situations.
The following “Security Planning Guidelines” should be reviewed and considered in developing
security plans for particular countries, regions and posts:
CARE International Security Planning Guidelines
Importance of Security Plans
Each agency operating in an area should develop and implement a security plan. A
security plan is a single document containing information, standard operating procedures
and contingency plans relating to the security of NGO staff and property. The purpose of
a plan is to enable staff to act effectively to prevent and mitigate the effects of security
problems in a manner appropriate to the agency.
Need for Individualized Security Plans
A security plan is based upon an individual agency’s security strategy that reflects its
overall approach to security. Each agency is likely to take a different approach based
upon the agency mission, mandate (if applicable), principles, policies and programs, as
well as on their understanding of the context.
Planning Process
The process of developing, implementing and updating a plan is as important as the plan
itself. An individual should be designated responsibility for leading the development of
the plan as well as for the periodic review and updating of the plan. Staff expected to
implement the plan should be involved its development. This helps to foster consistent
implementation through ensuring that (1) the plan is realistic in its assumption about the
situation, threats, and staff willingness and ability to implement it, (2) the staff
understands all aspects of the plan, and (3) the staff feels ownership of the plan, thereby
promoting adherence to the plan. All new staff members should be given a briefing on
the situation and threats, a copy of the plan, and any training required to implement the
plan.
The plan should be tested and updated at regular intervals and whenever there is a change
in the situation or threats faced by the NGO.
Components of a Security Plan
I.
Introduction:
 Purpose of the plan
 Identification of the person(s) responsible for security and for leading the
development, review and updating of the plan
 Intended users of the plan (which staff, locations, etc. are covered)
 Location of master plan and distribution list
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II. Background:
 Articulation of agency mission, mandate (if applicable), principles and policies
related to security.
 Summary of the situation (political, economic, historical, military, etc.)
 Threat assessment (indicating most likely types of threats NGOs will face)
III. Standard Operating Procedures:
Outline procedures for daily operations and routines as well as individual responses to incidents.
For all procedures include (1) what to do/what not to do, (2) how to do it, as appropriate, (3)
who does it/with whom, (4) when it is to be done; frequency and sequence, and (5) where it is to
be done.
Site selection and management (offices, residences, etc.)
Movement and transport (vehicles, convoys, etc.)
Telecommunications (regular use and during emergencies)
Post incident actions (reporting, analysis, etc.)
IV.
Contingency Plans:
Outline procedures for incidents requiring complex, multi-personnel responses. Include the
same information as for standard operating procedures. Include also lines of communication
and of authority. Articulate alternative options.
Evacuation
Medical evacuation
Death of staff
Other high risk, foreseeable events
V.
Supporting Information:
 Warden system with contact information and instructions to locations
 Cooperating agencies, contact persons and information (phone numbers, radio
frequencies, etc.)
 Contact information for government officials, airport, hospital, etc.
 Maps with assembly points, routes, borders
 Emergency supply inventory
 Incident reporting forms
Standard 2: Resources to Address Security
CARE International Federation members shall make available appropriate resources to meet these
Minimum Operating Security Standards.
Suggested Guidance
Relevant resources that should be considered include, but may not be limited to: personnel, corporate will,
funding, information, and material. Resources that may support security plans include: project design,
specific line items in grants, inclusion of security expenses in negotiated overhead rates, or an
organization’s own unrestricted funding. CARE International CISSU will help the membership implement
MOSS by facilitating sharing of information among its members, publishing security training opportunities,
collecting and distributing security training materials, providing the advice of its security coordinator, and
referral to specialized experts.
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Standard 3: Human Resource Management
CARE International federation members shall implement reasonable hiring policies and personnel
procedures to prepare staff to cope with the security issues at their post of assignment, support them
during their service, and address post assignment issues.
Suggested Guidance
1. All staff are provided with an orientation appropriate to the context of the area of
assignment prior to, or immediately after, filling their position.
Specific components of orientations might include, but are not limited to:
 Description of the organization’s general mission and mandate as well as of its security
policies
 Identification of specific threats individuals may face. Among such threats would be:
o Potential natural phenomena such as earthquakes and hurricanes.
o Potential technological accidents (CBRNE).
o Potential or ongoing political instability, war, or insurgency.
o Unstable or declining economic situation.
o Targeted and/or random crime.
o Potential hostage situations and kidnapping.
o Existence of landmines, unexploded ordinance, and booby traps.
o Ongoing or emerging persecution, violence, or harassment based on race, gender,
ethnicity, religion, or nationality.
o Unfamiliar cultural standards, norms, or laws in the country(s) of service.
 A copy of the security plan for the country(s) of service.
 Explanation of employee responsibilities and benefits during evacuation, relocation,
hibernation, and suspension of operation.
 Description of operation and usage policy for communications and transport equipment at
post.
2. Consider options for obtaining appropriate insurance coverage for staff and provide
a general explanation to staff describing what is and is not covered with
opportunities for staff to inquire into coverage in greater detail at their request .5
Some elements commonly included in insurance coverage and benefits for staff working in insecure
environments are:
 Life, workers’ compensation for work-related injuries, and health insurance.
 Medical evacuation.
 War risk supplemental coverage when country(s) of service are excluded from standard
insurance company plan(s).
3. CARE International Members shall be guided and informed by the InterAction
document, "The Security of National Staff: Essential Steps".
The following steps are recommended by The Security of National Staff: Essential Steps 2002:
 Encourage the involvement of national staff in the formulation, review and implementation of
security policies and plans.
 Identify threats to national staff and act to reduce their vulnerability to these threats.
5
At a minimum, if available, insurance coverage should comply with any applicable legal requirements e.g.,
workers compensation for work related injuries.
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 Establish clarity on security procedures and benefits, especially with regard to evacuation and
relocation options.
 Integrate national staff security into preparedness, training, and human resource management
procedures.
4. Consider incorporating an employee’s specific security responsibilities, if any, into
their job descriptions or comparable documents,
The following suggestions may be helpful in developing appropriate job descriptions:
 Employees charged with specific security responsibilities have job descriptions with explicit
descriptions of security duties.
 General references to security awareness may be appropriate in the job descriptions of other
employees.
 Strive to make every effort to anticipate eventual or emergent security threats and
vulnerabilities that could warrant additional duties.
 In circumstances where responsibilities are delegated after an employee’s job description is
established, amend the job description to reflect the new responsibilities.
5. All employees charged with security responsibilities receive adequate training to
fulfill their obligations prior to or immediately after assuming their post.
The security training provided matches the security responsibilities described in the employee’s job
description and any reasonably anticipated responsibilities that the individual(s) may be expected to
assume.
6. Resources permitting, consider providing all staff with the opportunity to receive
appropriate post-incident counseling in a manner that promotes confidentiality and
cultural sensitivity.
Appropriately trained individuals are available in a reasonable amount of time after a traumatic incident
to provide counseling to all staff that require or request it. Where possible, allowances are made for
counselors that can carry out this duty in a culturally sensitive and appropriate manner.
Standard 4: Accountability
CARE International federation members shall incorporate accountability for security into their
management systems at both field and headquarters levels.
Suggested Guidance
CARE International members should develop clear lines of responsibility for staff
security and delegate to employees charged with those responsibilities the authority
to ensure compliance.
Establishing clear lines of responsibility and authority, as well as systems and structures for implementation
of the organization’s security policies, plans, and procedures helps ensure that these are observed. The
following elements, may contribute to accountability:
 Periodic security briefings and drills which enhance knowledge of lines of responsibility and
authority.
 Organizational security reviews include evaluation of effectiveness of management systems
and structures as they relate to security (human resources, technology, procurement, etc.).
 Organizational security reviews include evaluations of employee fulfillment of their security
responsibilities as individuals and, where appropriate, as supervisors.
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 Personnel evaluations include assessments of how well employees comply with the security
policies and practices of the organization.
 Violations of security policies and procedures have consequences for the violator (though
always consistent with applicable labor laws).
Standard 5: Sense of Community
CARE International Federation members shall work in a collaborative manner with other members
of the humanitarian and development community to advance their common security interests.
Suggested Guidance
1. Regular participation in security forums when possible.
The security of the staff of CARE International is based on the designated member’s policy and
practice, the actions of other humanitarian and development actors, and the perceptions of local
communities. Participation in regular and/or ad-hoc security forums provides opportunities to share
mutually useful information, exchange good practices, and consider the larger picture of security in the
operating environment.
2. When appropriate, work with UN coordination structures
When, in an agency’s view it is appropriate, it will take advantage of the Menu of Options endorsed by
the UN Inter-Agency Standing Committee enabling NGOs to obtain security assistance available from
United Nations security personnel.
3. Sharing of significant security information with other humanitarian actors when
appropriate.
Information is the foundation of security. Sharing of significant information has many benefits from
corroboration and verification to increasing the organization’s knowledge base. Examples of useful
information that might be shared include: incident reports and analysis, situation reports, threat
assessments, and security training. While there is certainly some security information that cannot and
will not be shared, members may consider whether significant security information might be shared in
a format that is “scrubbed” of identifying information.
4. Maintain awareness of, and when possible mitigate, any negative impact operations
or conduct have on the security of other humanitarian actors.
It is well known that the operations and / or conduct of one organization can impact the security of
other members of the humanitarian community, if not the whole community. While it may never be
possible to eliminate all the negative impacts one organization’s operations have on others, actively
seeking to minimize them will certainly make a difference.
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Annex B
Modifying CARE International Operations
due to Security Conditions
Table of Contents
Table of Contents .............................................................................................................................. 22
Modifying CARE International Operations due to Security Conditions .................................. 23
Background ..................................................................................................................................... 23
Defining Risk Levels ..................................................................................................................... 24
Criteria to Elevate or Lower a Threat Level .............................................................................. 25
When do we consider closure, suspension, or modification of program delivery? ......... 26
When do we commence evacuation measures? .................................................................... 27
Criteria for evacuation .............................................................................................................. 27
When do we evacuate non-essentials ..................................................................................... 27
When do we review the status for accompanied or unaccompanied posts...................... 27
Planned Responses ........................................................................................................................ 28
Abnormal conditions ................................................................................................................ 28
Crisis events ............................................................................................................................... 29
Predictive events ....................................................................................................................... 29
Mirroring Other Organizations ................................................................................................... 29
Conclusion ...................................................................................................................................... 30
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Modifying CARE International Operations
due to Security Conditions
The guiding principle for all CARE International (CI) security policies, programming, and the CARE
International Safety and Security Unit (CISSU) is that the “safety and security of CARE staff always take
precedence over all other factors.” This standard serves as the foundation for the common understanding of
staff welfare, defining security actions, and actively involving CARE staff in safety and security initiatives. With
this foundation, organizational decisions regarding presence issues have to be taken anew in each situation.
Balancing a threat to staff with the humanitarian imperative. In defining levels of presence and
engagement, a tendency exists to look for definitive criteria that will
generate an automatic response. While we can define the threats with
In preparing this paper, a number of
a degree of certainty, the humanitarian requirement, training, and
senior managers throughout CI asked
awareness of CARE staff; presence of well trained armed forces such
the CISSU to “build a set of triggers
which will evoke a closure of a country
as NATO or military personnel associated with the United Nations;
office or lead member presence.” We
and other factors mitigate a number of the threats and vulnerabilities.
began this initiative with that focus.
Consequently, the CISSU has designed criteria that require a dialogue
However, it soon became apparent that
within line management to examine conditions and to set
every situation is context specific.
accountability when security becomes a consideration in a country
office or presence.
Background
In response to the request to formalize a mechanism to examine presence issues,
the CISSU designed a set of criteria, which, when adopted by CARE International
Risk:
as policy, will serve as the basis for examining conditions and determining whether
or not to modify operations. In building these measures, we focused on the
The possibility of
fundamentals of risk. From a security standpoint, risk is associated with conditions
suffering harm or
that increase the likelihood of harm or loss occurring to CARE staff members,
loss
property, or the organization’s operations. Clearly defining CARE International’s
risk tolerance is a critical first step in making good decisions about modifying
operations. What is the amount of risk CARE is willing to accept and what costs and losses can be tolerated that
are associated with the risk? Quite literally, what is the potential cost of doing business? This applies to people,
property, and organizational reputation.
This is a difficult topic to address.
However, to make the best decisions on
whether to modify operations, risktolerance levels and acceptable costs must
be established.
Note: A single level of risk tolerance cannot be uniformly applied
to all CARE operations. For example a higher level of risk may be
acceptable in a food distribution operation that directly saves
lives in the short term, compared to a micro-finance program
that, while important, doesn’t have the same immediate lifesaving characteristics.
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Defining Risk Levels
To make effective decisions on whether to modify operations because of security conditions, we must define
our risk levels. The inability to articulate “conditions” elevates risk because the probability of harm or loss may
go unrecognized. Considering this, CISSU established a baseline that defines security conditions. Throughout
CARE International, we define risk by four categories, as shown in the table below.
Categories of Risk
LOW: Normal security precautions
 Countries, regions, or cities that are essentially stable and free of political, economic and
social unrest.
 Crime is generally low and organized anti-government or terrorist groups, if present,
exhibit limited operational capabilities.
 Threats of natural disasters and disease still exist.
MODERATE: Increased safety and security precautions
 Countries or regions where low-level political, economic, and social unrest is present
and/or where safety and security infrastructure is poorly developed.
 Organized anti-government or terrorist groups may be active but not strong enough to
threaten government stability.
 The country may be involved in a regional dispute, exhibit high crime rates, or prone to
natural disasters or disease epidemic.
HIGH:
Stringent security precautions
 Countries or regions where organized anti-government or terrorist groups are very active
and pose a serious threat to the country’s political or economic stability.
 A civil war may be in progress and a paramilitary or guerrilla forces may be in control of a
significant area.
 May be near or in the process of a military coup, be involved in violent disputes with its
neighbours, or exhibit a breakdown in social infrastructure, especially police and judiciary.
 There may be prejudicial treatment of foreigners or specific threats to NGOs and/or CARE.
 Civil unrest and crime are present but these may also reflect increased threats from
disease epidemics or natural disaster.
SEVERE: Temporary suspension of operations, relocation of international staff, and/or additional
precautions for national staff
 Levels of violence present a direct threat to the safety and well-being of humanitarian aid
workers.
 Operations are usually not possible without military support and security cannot be
reasonably assured.
 There may be temporary suspension of operation, evacuation of international staff, and/or
additional precautions for national staff.
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Criteria to Elevate or Lower a Threat Level
The Designated Member or Regional Director is responsible for monitoring the situations in all Country
Offices (COs) or temporary presence activities and recommending a change of risk level (up or down). This
should be done quarterly or as needed when significant activity is occurring in the country (elections,
demonstrations, abnormal actions by government authorities, etc.). The CO can also recommend to line
management that a risk level be raised or lowered according to the changing situation.
Upon observation of any of the above change-of-risk-level thresholds, a security assessment of the situation
should be conducted. In addition, indicators must be monitored for signs that a change of risk-level in a
downward direction can be implemented.
Criteria to Elevate a Threat Level
LOW to MODERATE
 The country starts to see a slow or rapid increase in political, economic, or social
unrest
 Obvious increase in personal and property crime or governmental reports of
significant increases in crime
MODERATE: Increased safety and security precautions
 Anti-government or terrorist groups have begun to emerge and have threatened
the government or infrastructure
 Outbreak of conflict, internal or external, between two or more actors to include
criminal, clan, insurgent or national or paramilitary elements
 Deterioration of governmental control within its borders
 Possibility of coup d’etat
 CARE must limit/prohibit travel occasionally until the situation becomes secure
(once a month or more)
 Verified targeted harassment and threats against foreigners, members of
international organizations or any CARE staff by known or unknown entities
 Increased security measures (physical and/or policy) needed in order to operate
safely
HIGH: Stringent security precautions
The potential for violence toward CARE staff is of such a nature that prudent measures for
personal safety and security cannot be effectively employed. Therefore, CARE must consider
suspension of operations for conditions such as:
 Areas in which CARE works see an increase in violence to the point that
programming is frequently suspended (i.e., more than three times a month)
 Frequent relocations from program areas occur
 CARE must use armed escorts in order to move.
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When do we consider closure, suspension, or modification of program delivery?

When the true risk level is unclear, consideration must be given to temporary suspension of programming
until a security assessment can be conducted (e.g., on rumors of fighting in a program area, programming
may be halted until confirmation of the situation)

Direct threats against CARE may necessitate temporary suspension of programming until a security
assessment or negotiations can be conducted

Risk to CARE partners (as a result of being involved in the CARE program) exceeds the benefits of the
program. Risk of working for an international organization elevates the potential of life-threatening risks to
CARE national staff and beneficiaries

Continued operations may lead to due diligence/negligence/liability claims against CARE

Security risk to CARE personnel temporarily outweighs the benefits of that program (e.g., there are lifethreatening risks for CARE personnel in an area where programming does not include life-saving measures)

Direct targeting of CARE programs/assets/personnel

Direct targeting of the programs/assets/personnel of other agencies

Secure operations in the environment are cost prohibitive (e.g., in high-risk areas an extensive
communications network would be necessary for the security of staff, but funding is not available)

Operating in the environment requires violation of humanitarian principles (e.g., in a conflict area where the
government insists that aid can only go to a certain sector of the population)

When it is deemed unacceptable to continue working in an area where the government or local authority is
either unwilling or unable to provide NGOs with the same level of security/protection as is provided to
citizens (e.g., the authority is unwilling to prosecute those accused of attacking NGOs)

Phase IV evacuation indicators have been observed in the area of programming (see the evacuation plan
portion of the Security Management Plan template)

To be used as a tool for advocacy (with careful consideration—CARE must maintain its primary
responsibility to those in need)

Continued operations may pose enough potential damage to CARE’s reputation that it may affect CARE
operations worldwide

National government or other powerful actor demands/requests our immediate departure
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When do we commence evacuation measures?
Circumstances that might require evacuation of staff and/or their families to a site outside the country or area
include mounting terrorist activities and threats, insurrection and other civil disorder, or a sudden crisis such as
a natural disaster. Evacuation should be considered as a last resort after efforts to resolve or mitigate potential
threats are unsuccessful.
In most cases, the designated member, in consultation with the Country Director, CISSU, CEG and RMU, will
make the final decision to evacuate. In the event time or communication difficulties make coordination
impossible, the Country Director or temporary presence coordinator has the authority to order and conduct an
evacuation.
Criteria for evacuation
There are a variety of indicators for evacuation, including:

Are staff members exposed to increasing and unreasonable risk?

Have other agencies (UN, Red Cross, etc.) or the government recommended departure? What actions are
other international NGOs taking?

Have the embassies advised foreign nationals to leave?

In lieu of evacuation, what measures can be taken to ensure staff safety, such as curtailing operations or
relocation in-country?

What is the impact on the safety of national staff if international staff depart?

Is there a requirement to evacuate or relocate national staff members and their immediate family?

What is the possibility of meeting current project objectives safely?
When do we evacuate non-essentials
In any designated high-risk country, the presence of dependents and/or non-essential staff will be evaluated and
justified by the Designated Member. For example, if the country is designated as high risk, but dependents are
located in a moderate-risk location, consideration may be given for their continued presence. However, the
norm for a high-risk environment is the exclusion of dependents.
When do we review the status for accompanied
or unaccompanied posts

When the country has been rated as high risk and there is no potential for improvement in the foreseeable
future

When the status quo includes the presence of at least three Phase III evacuation indicators:
–
Countries or regions where organized anti-government or terrorist groups are very active and pose a
serious threat to the country’s political or economic stability.
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–
A civil war may be in progress and a paramilitary or guerrilla forces may be in control of a significant
area.
–
May be near or in the process of a military coup, involved in violent disputes with its neighbours, or
exhibit a breakdown in social infrastructure.
–
There may be prejudicial treatment of foreigners or specific threats to NGOs and/or CARE.
–
Civil unrest and crime are present, but there may also be increased threats from disease epidemics or
natural disaster.
Planned Responses
A planned and structured response in deciding whether to modify operations is the most effective and efficient
approach to handling potential change. A standardized decision-making process that uses both objective and
subjective information eliminates many of the problems associated with unplanned reactions to crisis events.
Planned responses rely on trigger events. A trigger event is a set of conditions or
incident(s) that, when present, prompts discussion and decisions, in this case
whether or not to modify operations. Three types of trigger events—abnormal
conditions, crisis events, and predicted events—can be used in making
modification-related decisions: These types of trigger events could be used
individually or together as part of a decision-making system.
Trigger Events
 Abnormal conditions
 Crisis events
 Predicted events
Abnormal conditions
Once baselines for security conditions and operational status have been established, normal conditions can be
compared against current conditions to determine if a modification is warranted. For a security conditions
baseline, the ratings associated with various factors (terrorism, criminal activity, political instability) can be
quantitatively examined to determine the variation from normal. If certain thresholds are reached or there is a
significant amount change, these may be trigger events for modifying operations.
For an operational status baseline, if security conditions cause the office capacity to fall below a certain level for
a sustained period, it is prudent to have a discussion about modifying presence or operations.
When using abnormal conditions as trigger events, in addition to knowing the amount of change from normal,
it is also important to consider five other factors, as shown below. Asking these questions helps to put the
abnormal conditions in better context so informed decisions can be made regarding the level or status of
operations. In addition, these five factors can be used to form very specific decision-making criteria. The table
below suggests theoretical examples for suspending operations using operational status as a trigger event.
Context for Abnormal Conditions
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Factor
Impact
Definition
March 2007
Theoretical Decision-making Criteria
The impact the abnormal conditions
Normal operations are at 50 percent or
currently have on CARE operations (or
less of capacity
other humanitarian organizations)
Duration
Location
How long abnormal conditions have been
Abnormal conditions have been ongoing
occurring
for a period of three continuous weeks
The distance away from the operating
Abnormal conditions exist within a 50-
area where the abnormal conditions are
mile radius of the operations area
present
Trend
Whether abnormal conditions have been
Conditions are degrading or unchanged
improving, degrading or are unchanged
Response
The actions CARE has taken to respond
Appropriate security measures have been
to abnormal conditions (whether risk is
applied based on the threat(s) but are
being effectively mitigated)
unable to raise operations above a 50percent capacity level
Crisis events
Crisis events are predetermined security events or conditions that immediately trigger discussions and decisions
on whether to modify operations. An example would be the violent death of a staff member or a World Health
Organization Phase VI pandemic alert. Using agreed-upon crisis events as triggers for suspension discussions
and decisions (with linked response plans) is a simpler approach than using the abnormal conditions method
since not as much monitoring is required.
Predictive events
Predictive modeling involves using quantitative data to forecast an outcome. Based on previously collected data
from situations involving program or presence modifications, trends and patterns may emerge that predict the
likelihood of modification. Predictive events can serve as an early warning system for reducing the chances of a
crisis event occurring.
At the present, there is an inadequate amount of quantitative data to use predictive modeling as a decisionmaking tool for suspensions. However, as the CARE Security Incident Monitoring System (SIMS) is deployed
to the field and a sufficient amount of analysis data becomes available, predictive modeling data should be
incorporated as part of the decision-making process.
Mirroring Other Organizations
Mirroring other humanitarian organizations’ decisions on modifying operations because of security conditions is
common. However, this can produce a cascading effect, with other organizations quickly following
modification, suspension, or withdrawal. Alternatively, donor pressure, public relations issues, or institutional
culture may compel an organization to continue operations while others have withdrawn.
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Because unilateral modifications can jeopardize relationships with other
humanitarian organizations, CARE should consider entering into
cooperative agreements with other organizations in the area of operation
for collective security engagement. All cooperating organizations would be
using the same objective criteria for security-related decisions.
If a joint decision strategy is pursued, all of the cooperating organizations
need to have similar levels of risk tolerance. Too much variation in risk
tolerance means that organizations will not be able to come to a consensus
agreement on suspension. Organizations should be compared with CARE
at the field level and classified accordingly (see box).
March 2007
Classification of Risk Tolerance
Compared to CI
 Significantly More Risk Tolerant
 More Risk Tolerant
 Slightly More Risk Tolerant
 Same Risk Tolerant Level
 Slightly Less Risk Tolerant
 Less Risk Tolerant
 Significantly Less Risk Tolerant
Conclusion
In today’s world, CARE faces the challenge of balancing threats to staff with its humanitarian imperative and
has thus charged the CISSU with formalizing a mechanism to examine presence issues. The original focus on
creating definitive criteria from which to generate an automatic response was quickly eclipsed by the fact that
context-specific factors can mitigate a number of threats and vulnerabilities.
Focused on the fundamentals of risk, CISSU has designed baseline criteria against which line management can
conduct a dialogue, examine conditions, and determine accountability. These criteria address how to establish
risk-tolerance levels and acceptable costs so as to make the best decisions on whether and how to modify
operations when security becomes a consideration in a country office or presence.
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Annex C
Guidance for Security Considerations in
Proposal Writing and Budget Preparation6
It is important to continue to develop throughout CARE International that security and program initiatives
are mutually supporting and interrelated. As such, it is essential to incorporate security considerations from
the initial stages of program assessment and project proposal development to ensure the fundamental
principles and values of CARE’s attention to the high standards for safety and security are maintained.
These standards must be integrated into programmatic decisions which include logistics, budgeting and
capacity building. Security and safety are not inhibitors. The purpose is to render programs more effective
in areas of increase risk to all CARE staff.
Preparing Proposals
While preparing a proposal, it is important to consider the security implications and costs in real terms so
they can be adequately funded. In order to enhance the S & S of all staff, it is imperative to be attentive and
aware to all security considerations which have an impact on program implementation. For example, the
presence of conflict, geographic remoteness, and vulnerability to natural disaster are all circumstances which
have both programmatic and security implications. If one does not adequately account for these conditions,
the country office or temporary presence mission will under-fund the program initiative and the response
will be jeopardized.
In discussions with donors from north America, Australia and Europe, the CARE International Safety and
Security Unit has found unwavering consensus that security is essential to successful programming, and
donors are not only willing to pay for these costs, but expect to pay.
Please find guidance below on when, where and how to include security considerations in the proposal
process.
1. Project Identification and Assessment Phase:
Situational awareness: As soon as one becomes aware of a new program opportunity, note any relative
security implications for the project activity. Most proposals for project funding need specific information
about the operational environment and the security conditions.. To identify the security phase level, please
consult CARE’s Security Phase Table from the Security Management Planning Guide, the CARE
International Safety and Security Unit, the Security Manager of the responsible Designated Member and also
other agencies such as other reputable International NGOs, the ICRC or UN agencies. The general security
situation needs to be considered because it directly impacts the safety of CARE personnel and project
implementation.
The following guidance on how to build security costs into budgets and project proposals is adapted from
Save the Children’s existing framework conceptualized by Michael O’Neil.
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Care International Safety and Security Principles
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Do a pre-assessment: Provide Field Office Safety and Security Focal Point(s) the support they need to
conduct a pre-assessment of the procedural, budgetary, and program implications of expanded programs in
current locations and/or expansion to new geographic locations. They should base their assumptions on
the CO’s security management standards for operations. In addition to noting the implications, they should
create a preliminary budget for any extra expenses which will be incurred to support the proposed program
(see below).
2. Project Proposal Writing Phase:
Read the funding requirements carefully: There are often special implications addressed in the proposal
document. For example, a CIDA proposal may require the applicant to elaborate on the potential risks and
sustainability of the proposed project as related to the expansion of personnel, facilities, program activities
or geographic area. Consider all of these in relation to CARE’s capacity and an increased exposure to
threat(s).
Include security considerations in the proposal: There are a number of places in a technical and cost
proposal where references to security considerations should appear. These sections include:
3. Context and Background
Understanding CARE’s mandate and mission in relation to the purpose of our operational initiative, allows
us to prepare and anticipate any potential threat which may jeopardize the program’s success. Security
planning is determined by the country office or emergency response plan in relation to the threat
environment.. However, there is also a need to anticipate how the operational environment can change to
put personnel and assets at the risk of intentional violence, accidents or/and natural disasters.
Best practices for proposal writing should include a paragraph on the following:
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A summary of the security situation in the operational region of the proposed program(s). This is based
on an assessment and analysis and includes listing potential threats to CARE staff and assets and
CARE’s vulnerabilities in relation to the threats. (pages 9-18) of the CARE International Safety and
Security Handbook)
Provide insight on how CARE can mitigate these risks. Include contingency planning in case of a
deterioration of security in the operational environment. (CARE has a Security Management Planning
Guide which provides guidance on how to identify and mitigate risk. The use of his guide and its
planning framework is mandatory for all country offices and temporary presence missions.
If the proposed program involves expanding operations to a new geographic location, explain how
existing procedures will be applied and add any extraordinary procedures specific to the program area
(convoys, travel restrictions, staffing, etc.).
Confirm that security management and planning is ongoing and includes revision of risk and security
phase levels, prevention strategies and retroactive strategies to minimize the impact of security incidents.
Security planning includes policies, standard operating procedures, contingency plans and evacuation
planning.
Provide specific measures which will be implemented if the situation deteriorates e.g. travel restrictions,
reduction in warehouse stock, facility upgrades etc…..
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4. Management Plan
Devote a paragraph to the following:
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CARE’s minimum standards include having one Safety and Security Focal person and a security
committee in all COs and sub offices. All CARE staff are required to complete a basic personal security
course provided by the CARE Academy (Module 1) and that the SSFPs are provided with
supplementary training and support.
Note that security considerations are fully integrated into program functions.
Identify indicators which will be used to assess when program objectives cannot be met, and when the
program should be suspended due to security concerns. (The threat alert indicators and response
actions, revised for the proposed program areas, should address this point).
Mention that CARE and its Board of Directors have an established Minimum Operating Standards for
Security (MOSS)
5. Budgets
Understanding the context and scope of proposed operations and programs enable a more precise and
appropriate estimate of safety and security costs for program implementation and a blanket for contingency
needs. Available with this guide is a template that addresses the main components which need to be
considered for funding security.
The main components for security costs include:
1. Security Training (ex: CARE retainer consultants for security and safety, RedR Security Management,
personal security, drivers and guards…)
2. Protection Equipment (HF, VHF Equipment, Visibility logos, helmets…)
3. Personnel (Radio Operator, security guards, consultancies…)
4. Facility Upgrades (Blast film on windows, strengthening perimeter, lighting….)
Primary donors clearly express they want agencies to build into their budget submissions the cost for safety
and security management. Donors will monitor and evaluate the level and efficiency of security
management within the agencies they fund.
The cost proposal should accurately reflect the added costs of maintaining CARE’s MOSS. Security-related
costs must be included in direct costs for the program, preferably in a separate section with its own line
items. In this way, if cost is an issue at the evaluation stage, we will be able to negotiate the security
spending separate from the program’s other direct costs.
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