Annex IV: Security Management Plan Objective of the SMP: to provide and maintain a safe physical environment and manage staff activities to reduce the risk of personal injury and property loss during the implementation of the Emergency Locust Response Project. This Security Management Plan covers both Component 1, 2, 3and 4 of the Project activities. A. Security Approach The Project Coordinator (ELRP) will ensure that security procedures and criteria are fully designed and updated, and the means fully available to ensure the security for project operations. The security plan describes how security is organized to face identified threats and how security is continuously reassessed and reorganized in correlation with security situations and operations being undertaken. The project security manager in consultation with the Project Coordinator (National Project Coordinator) will leverage in using the existing national and local security infrastructure to access and share conflict related information and encouraging local police leaders to specifically address conflict risks in community engagement activities in timely manner. A specific security organization will be contracted / hired to provide a secure operating environment to MoALFC operations of the Emergency Locusts Control, and its contractors while undertaking operations throughout the desert locust infested areas and / throughout the country. In the case of National Youth Service (NYS) who are involved in the desert locust control teams out there in the field in the six ground control Bases and Control Camps which shall be mainly involved in control of the desert locusts by ground sprays. The NYS officers participating on the desert locust control activities are unarmed. With regard to Materials Storage and Control - Materials Storage and Control on over transport, inventory, and maintenance of storage areas for raw materials, equipment, etc. as per national laws and regulations and relevant good international industry practice, including the World Bank Group Environmental, Health and Safety Guidelines. Materials Storage and Control: All pesticides used for spraying locust shall be stored in a lockable controlled access within the six Locust Control Bases. The store facilities will be located away from water sources to avoid contamination by accidental spills. Storage building construction will comply with local codes laws and regulations and relevant good international industry practice, including the World Bank Group Environmental, Health and Safety Guidelines. The areas where the stores are sited will not be prone to floods and will be lifted from the ground level to avoid storm run-off passing through the store. The store will be adequately ventilated either mechanically or naturally to ensure there are no dead-air spaces in the store. The strict procedures and controls over the transport, inventory, and maintenance of storage areas for the pesticide shall be adhered to in line with the ELRP Integrated Pest Management Plan. There shall be a designated security personnel responsible for overseeing storage or transport of hazardous materials (e.g., flammable materials such as pesticides in this project). The person will be trained to be aware of the following mitigation measures and to respond to the following risks, both for their own safety and security and the safety and security of project workers and the local community: i. site design and planning to minimize the potential EHS risks (e.g., the type, quantity and method of hazardous or flammable materials stored at a site, the type and quantity of materials stored on site that would be locally of value for theft) and could include the need for backup power, communication or other equipment to allow for proper response actions by security personnel and/or minimize environmental risks/releases; and 1 ii. development of emergency response plans (including emergency contact points) given the potential security risks and associated indirect consequences, a) Banditry: site could be taken over for purposes of extorting money or other reasons, which indirectly could lead to vandalism and release of hazardous materials, chemicals or petroleum products or wastes. b) There are potential risks associated with the storage and transfer of bulk cash for the “Cash transfer”, community storage of crops harvested from the Farmers investment Groups, storage and distribution of the climate-smart packets of seedlings as well as the Cattle rustling due to the restocking of animals by the pastoralist communities (refer to Table 13-2 for the proposed mitigation measures). c) Accidental releases may occur during transportation, storage, handling and application of pesticides hence categorized as unplanned events. If such spillage occurs, this may result in a fire (pesticides are flammable), injury to humans and livestock (exposure), contamination of (receptors like water, flora, soils) and risks to fauna (exposure). Prompt informed and rapid action must follow the accident to contain and minimize any adverse effects. B. STANDARDS and GOOD INTERNATIONAL PRACTICE This security management plan is anchored on World Bank Environmental and Social Standard 4 (ESS4) that covers Community Health and Safety on sub section (b) Personnel Security in line with the World Bank Good Practice Note on Assessing and Managing Risks and Impacts of the Use of Security and the Guidelines for Implementation of the UN Basic Principles on the Use of Force and Firearms by law Enforcement Officials. The standard role of the public security will be to maintain the rule of law, including safeguarding human rights and deterring act that threaten the project personnel and facilities. The public security forces to be deployed shall be competent, appropriate and proportional to the threat. Government of Kenya shall abide by the World Bank Good Practice Note on Assessing and Managing Risks and Impacts of the Use of Security to comply with the commitments on human rights extended throughout the emergency locust response management activities and bolstered by its compliance with:  World Bank Good Practice Note on Assessing and Managing Risks and Impacts of the Use of Security Personnel, 2018,  Voluntary Principles on Security and Human Rights Toolkit Version 3, 2008,  Guidelines for Implementation of the UN Basic Principles on the Use of Force and Firearms by law Enforcement Officials, 2016,  The Penal Code 2016,  Prevention of Terrorism Act 2012,  Prevention of Organized crime Act 2012,  Counter Trafficking in Persons Acts 2012,  Independent Policy Oversight Act 2011,  Kenya Police Service, Service Delivery Charter, 2015, and  The Universal Declaration of Human Rights, 1948. C. SECURITY MANAGEMENT Security Management for the project lies under the oversight and responsibility of the Project Coordinator at National and the County directly under the MoALFC. MoALFC will work closely with the Ministry of Interior and Coordination of National Government in the deployment of the security officers to the project. The command and communication structure of the National Police Service will be adopted. The police service shall perform its functions under the overall direction, supervision and control of the 2 Inspector General of Police at National Level and County Commissioner at County level and Officer Commanding Station at Local Level. The management of security for ELRP operations will comply with the four basic pillars of security management: • DETECT an adversary. • DETER an adversary if possible. • DELAY the adversary until appropriate authorities can intervene. • RESPOND to the adversary’s actions. D. OVERVIEW OF THE SECURITY SITUATION Different security risks exist in the selected 15 counties and may impact the project, whether new or changing, these must be communicated without delay through the chain of Security Team Leader to the designated project Site Officers and be recorded in the security log. The security risks can be categorized into: a. Internal Risks may include but not limited to: illegal, unethical, or inappropriate behaviour of project personnel or those directly affiliated with it, such as employee theft, workplace violence, and labor unrest, potentially with associated sabotage). Other risks include the risks emanating from security personnel and associated arrangements (NB National Youth Service shall not be employed at any point for security duties). b. External Risks are those caused by the actions of people outside the project who seek to take advantage of opportunities presented by the development and operation of the project, such as common criminal activity; disruption of the project for economic, political, or social objectives; and other deliberate actions that have a negative impact on the effective, efficient, and safe operation of the project. In extreme cases, these could include terrorism, banditry, inter/intra community conflicts, armed insurgency, coups, or war. The main security risks within the 15 Counties include: I. Criminal offences; II. Terrorism; III. Cattle rustling / Inter-tribal or communal violence which could pose a threat to project personnel; IV. Industrial Action leading to strike or disruption of work, social conflict, civil unrest; V. Breakdown of relationships with Community groups and Committees; VI. Reaction of community to an incident or accident involving project personnel or asset; VII. Threat of armed attack; VIII. Theft/ Larceny; and IX. Kidnapping The project has adopted a systematic and careful examination of the workplace, work activity, working environment and those people who may be at any security risk. Risk assessments shall identify what might go wrong and how, with an evaluation of any security hazards undertaken, this will determine the control measures needed to prevent or minimize the potential security risks. A 5x5 impact and likelihood risk matrix has been adopted as the most appropriate security risk Likelihood verses Consequences 5x5 Risk Assessment Matrix have been adopted. The matrix works by selecting the appropriate consequences from across the bottom, and then cross referencing against the row containing the likelihood, to read off the estimated risk rating. Likelihood verses Consequences 5x5 Risk Assessment Matrix See Table 13-1: 3 4 Table 13-1: Likelihood verses Consequences 5x5 Risk Assessment Matrix High 5 5 10 15 20 25 RISK 4 4 8 12 16 20 HIGH 3 3 6 9 12 15 MEDIUM LIKELIHOOD 2 2 4 6 8 10 LOW 1 1 2 3 4 5 Low 1 1 2 3 4 5 CONSEQUENCES Low High Likelihood verses Consequences 5x5 Risk Assessment Matrix has been supported with a table which ties together the risks with the mitigations, roles and responsibilities and timelines and the security situation analysis for the 15 Counties see Table 13-2: 5 Table 13-2: Project Security Risks and Mitigation Measures ID Risk description Likelihood Impact if Severity Responsibility Mitigating action Contingent action Progress on actions Useful resources of the risk the risk Rating based Person who will Actions to mitigate the risk e.g. reduce the likelihood. Action to be taken if the risk happens. occurring occurs on impact & manage the likelihood. risk. 1 Criminal offences: Medium Medium Medium National Use of physical security personnel, Escalate to the Project Coordinator VPSHR Toolkit Theft/ Larceny Project Staff crime security awareness, Undertake joint risk assessment process https://www.miga.org/sit Coordinator including representatives of public es/default/files/archive/D Permanently etching on equipment (spray paint and initials on a security forces in use ocuments/VPSHR_Toolkit piece of equipment does not qualify as being “positively” _v3.pdf identified). Maintain close contact with Installation CCTV and Alarm Systems: either standalone or representatives of public security forces at integrated combined with wireless communication to an off-site, different levels Establish formal and consistent reporting and communications mechanisms with public security forces and other stakeholders Adequate lighting, Perimeter fencing especially materials areas, storage areas and camp(s). 2 Terrorism High High High National Enhance intra / intra agency cooperation within the project area, Conduct effective risk analysis VPSHR Toolkit Project Enhance international cooperation assessments, and https://www.miga.org/sit Coordinator SWOT analyses and Force-Field Analyses es/default/files/archive/D Engage with and empower border communities as key contributors related to gaps and needs assessments. ocuments/VPSHR_Toolkit in border security and management, _v3.pdf Implement Border Community Policing programs, Implement BSM information exchange programs and mechanisms1. 3 Cattle rustling Medium Medium Medium National Initiate peace building process among the affected project Strengthening of surveillance within the Project counties, County boundaries and develop protocols Coordinator Use Traditional institutions in creating peace, security, law and for cross border use, order in community policing and conflict management, Initiate “List of Shame” among the Carry out civic education by use of the local Civil Society Groups, politicians and prominent pastoralists and who incite youth to engage in cattle rustling Offer vocational and technical skills to the youths and or initiate income generating project to engage youths2. Armed attack / Medium High High National Use of physical security personnel, Never fight back when apprehended with VPSHR Toolkit Kidnapping Project Project staff crime security awareness, armed people, https://www.miga.org/sit Coordinator Listen carefully to instructions and do as es/default/files/archive/D Permanently etching on equipment (spray paint and initials on a you are told (if instructions are difficult to ocuments/VPSHR_Toolkit piece of equipment does not qualify as being “positively” hear, ask politely but firmly for them to be _v3.pdf identified). repeated), Installation CCTV and Alarm Systems: either standalone or integrated combined with wireless communication to an off-site, Inform the victim’s family timely manner, Crisis management Do not make any sudden movements that corporate guidelines Establish formal and consistent reporting and communications mechanisms with public security forces and other stakeholders might startle the criminals or be interpreted as an attempt to resist or Adequate lighting escape, Perimeter fencing especially materials areas and camp(s). 1 Good Practices in the Area of Border Security and Management in the Context of Counterterrorism and Stemming the Flow of “For eign Terrorist Fighters” 2 Social and Economic Costs of Cattle rustling in Kenya. IGAD Policy Brief Series No ICPALD 20/CLE/I/20-17 6 ID Risk description Likelihood Impact if Severity Responsibility Mitigating action Contingent action Progress on actions Useful resources of the risk the risk Rating based Person who will Actions to mitigate the risk e.g. reduce the likelihood. Action to be taken if the risk happens. occurring occurs on impact & manage the likelihood. risk. Do not hesitate if told to move and do so in a controlled manner. Do not try to argue or make provocative comments. Do not stare or make eye contact with the criminals. Industrial Action Low Medium Medium National Adhere to all provisions in the Project Labour Management Use the alternative dispute resolution: ELRP Labour Management Project Procedures, Conciliation, mediation and or arbitration, Procedures Coordinator Understand the nature of the dispute the stated reasons, the Identify the legal strategy to be pursued underlying reasons and any “hidden agenda”, and associated consequences. Community Low Medium Medium National Adhere to all provisions in the Project Stakeholder Engagement Set some ground rules within the ELRP Stakeholder Hostility Project Plan, community groups, and Engagement Plan Coordinator Revisit the group’s purpose. SEA/GBV, and Low Low Low National Adhere to all provisions in the Project Grievance Redress Continuous SEA/GBV awareness creation ELRP Grievance Redress incident response Project Mechanism the hired firm. Mechanism Coordinator Abide by the requirements of SEA/GBV Action Plan for the project ELRP SEA/GBV Action Plan being prepared, Situation Analysis Matrix for the security within the project counties has been capture on Table 13-3: Table 13-3: Situation Analysis Matrix for the security within the project counties # SECURITY THREATS Criminal offences Theft/ Larceny Terrorism Cattle rustling Armed attack / Industrial Action Community Hostility SEA/GBV, and Kidnapping incident response PROJECT COUNTIES 1. Mandera Medium Low High High High Low Medium Medium 2. Marsabit Medium Low High High High Low Medium Medium 3. Wajir Medium Low High High High Low Medium Medium 4. Garissa Medium Low High High High Low Medium Medium 5. Kitui Medium Medium Medium High Medium Low Low Medium 6. Machakos Low Medium Medium High Medium Low Low Medium 7. Tharaka Nithi Medium Low Medium High High Low Low Medium 8. Isiolo Medium Low Medium High High Low Medium Medium 9. Samburu Medium Low Medium High High Low Medium Medium 10. Baringo Medium Low Medium High High Low Medium Medium 11. Turkana Medium Low High High High Low Medium Medium 12. Embu Medium Low Medium High Medium Low Low Medium 13. Meru Medium Low Medium High Medium Low Low Medium 14. West Pokot Medium Low Medium High High Low Medium Medium 15. Elgeyo Marakwet Medium Low Medium High High Low Medium Medium 7 From the geographical risk assessment on Table 13-3: the project security manager shall leverage this process to determine which locations require National Police Service, armed security support and, importantly, which do not. In the Counties with lower risk areas, the project could consider deploying private security unarmed guards to undertake basic security duties such as access control and perimeter security management; if deemed necessary the police may be engaged on a reactive basis. This approach will alleviate undue pressure on local policing resources and reduce the risks of engaging armed officers. An appropriate, formal agreement shall be developed to support service delivery and mitigate the identified risks and respond to stakeholder concerns. NB: Care will be taken to ensure that security response or presence of security forces will not result in additional risks to communities or individuals within the project implementation areas. 1. Social Conflits and Civil Unrest The main risk is the general population including the local communities, who presume to have been aggrieved that can easily and quickly mobilize for a demonstration. Compensation and environmental as well as social concerns can create this kind of scenario. The crowds will usually include villagers. Most of the time, negotiations can resolve the situation but in some cases an escalation can occur, leading to violent actions. Any indications of such a threat must be communicated through the project local liaison officers to the designated field police officers and complaints may be made to the officer-in-charge of a Police Station County Officer Commanding Station and be recorded in an occurrence book for future reference. This will be communicated to the Officer Commanding Police Division (OCPD) in-charge of the Division, and to the County Commander in- charge and use the existing channels. These kinds of demonstrations can be handled by negotiation through the area local leaders and government entities. National, county and local workers could also demonstrate, if there is a perceived discrimination and unfair working conditions in terms of wages, overtime and welfare. It is the responsibility of Ministry of Agriculture, Livestock, Fisheries and Cooperatives (MoALFC) and the National Emergency Locusts Response project coordinating team to ensure that working conditions for all workers / employees are in line with the National Legal framework. 2. Criminal Offenses The main risk remains small scale thefts of light equipment, fuel and personal effects which can involve aggressions. The project may be exposed to this kind of criminality. 3. Terrorism There is the ever-imminent threat of terrorism from the lawless Al-shabab from neighbouring Somalia in the northern counties of Wajir, Mandera and Garissa that could pose a serious threat to the implementation of the emergency locusts control project. 4. Cattle Rustling Nomadic pastoralists in Northern Kenya are also known to be armed with light arms, these could pose a security risk to Project workers and the smooth implementation of the emergency locusts control measures in the area, especially if incidents of cattle rustling etc increase conflict between communities. E. ALERT STATES MoALFC will adopt the ELRP project area alert status in evoking the security state response levels, triggers and actions specific to the project site. Table 13-4, 13-5, 13-6 and 13-7 with the color shades of Green, Yellow, Orange and Red respectively are the security level responses to be adhered to: 8 Table 13-4: Security Response Level: Green- Business as Usual- Security Risks Effectively Controlled Security Response Level GREEN Business as Usual- Security Risks Effectively Controlled Event Indicator Recommended Action(s) No direct threat exists and no incidents have No restriction to normal movement compliant with local taken place to warrant heightened security Journey Management Plan (JMP) requirements. Staff measures: and vehicles may move around the area within the This is the default threat level. There is no protective envelope of the project area security. current, general, or undirected threat to  Complete all pre-planning actions government supported works projects within  All visitors or returning staff receive an arrivals the County. Under this level the status remains Security brief at GREEN.  Train staff and ensure awareness of actions to be  Site operations are running normally with taken- site drills. employees going about their lives with no,  Ensure JMP is in place and followed or very limited, restrictions.  All crisis management and evacuation plans are in  There are no restrictions on vehicle place and are maintained as ‘living documents’ movement or crew changes  The security situation, crime levels, political and social  Peaceful protest demonstrations take events are monitored closely. On-going collection and place. assessment of information through liaison with  Occasional unrest or demonstrations away authorities and local community, from operational sites. No direct threat to  Ensure daily Personnel on Board (POB) is maintained. the operation  All stakeholders are aware of the contents of the  Effective government control and/or rule evacuation plan and understand their role within it of law in place. Liaison remains regular and  Vehicle Escorts taken when traveling to areas where effective civil unrest or cattle raids has occurred.  Continued good will of the majority of the  Maintain close liaison with Social Safeguards and local community remains assured good Community Relations STANDARD OPERATING PROCEDURES Project Security Assets Police Foot Patrols and Escort: Roles and responsibilities include:  The conduct of regular inner peripheral patrols and reporting of findings to Control room.  To ensure safe weapon handling and clearing is carried out at the unloading bays prior to entry to the guard rest area or main compound.  Gathering information and intelligence by interaction with local people.  Questioning of strangers or suspicious persons or vehicles.  Observing physical signs or evidence of potential hostile activity or presence (Noise, footprints, fire traces, etc.) and reporting to Control Room.  Developing Hearts & Minds assurances with the community of security in the Area.  Developing community relations on behalf of ELRP.  Creating a deterrent factor by the presence of the patrol in the area Centralized Mobile Police Patrols 9 Security Response Level GREEN Business as Usual- Security Risks Effectively Controlled Event Indicator Recommended Action(s)  Introduction: The Centralized Police Mobile Patrols has responsibility for security of the entire project by patrolling the surrounding area, visiting areas of possible threat, local villages and satellite locations. Their secondary responsibility is to provide immediate reaction and support inner peripheral security,  Roles and responsibilities include:  The conduct of regular area patrols and reporting of findings Officer Commanding Station OCS  To carry out pre-arranged visits to the Airstrip, boreholes, locust infested areas and other areas of interest.  To react to Emergency situations as a Quick Reaction Force as directed OCS,  To ensure safe weapon handling and clearing is carried out at the unloading bays prior to entry to the guard rest area or main compound,  Gathering information and intelligence by interaction with & questioning of local people,  Questioning of strangers or suspicious persons or vehicles,  Developing Hearts & Minds assurances with the community of security in the Area,  Developing community relations on behalf of ELRP.  Creating a deterrent factor by the presence of the patrol in the area. Base Camp Sites:  Main Gate - Barrier Check of vehicle occupants and main gate access control. Random Cursory Vehicle searches on arrival and random checks (10% of vehicles) on departure to deter theft or when a vehicle is deemed suspicious.  Perimeter Foot Patrol – Daytime every hour at irregular times around camp perimeter.  Assist Journey Management with coordination of vehicles departing and arriving at camp, and the management of visitors.  Quick Reaction Force (QRF) (if allocated) specific to Contractor Table 13-5: Security Response Level: Yellow- Enhanced Security Measures Required Security Response Level Yellow Enhanced Security Measures Required Event Indicator Recommended Action(s) Increased level of disturbance and/or Project operations continue. Enhanced security controls and increased probability of impact to operational restrictions required: operations. Sporadic civil disorder  Necessary communications equipment Satellite Phones / Very events. A direct threat has been Small Aperture Terminal & Very high frequency radio calls detected to one or more areas of the (SATPHONES/VSAT/VHF) available and all systems checked operation but it is not considered  Ensure site specific plans are available to the FRT and have been imminent. revised and practiced  Area-wide protests and/or strike  Ensure all security, crisis and evacuation plan representatives’ action that do not directly impact understand their roles and responsibilities project operations or personnel,  Brief local security forces on roles and responsibilities and rules but do present a risk to external of engagement. Apply controls to ensure actions are tracked. logistical operations or works.  Review local security risks and controls; operating area Journey Management Plan- implements additional controls. 10 Security Response Level Yellow Enhanced Security Measures Required Event Indicator Recommended Action(s)  Increase in inter-tribal violence  Maintain regular communication with all stakeholders, adjacent to project area of including authorities, local community, other sites and operations or camp locations. activities.  Vehicle or aircraft movement is  Daily call with Officer Commanding Station, disrupted  If situation likely to continue, re-assess stocks of resources at  Increased difficulty in accessing operational sites and ability to re-supply (food / water / fuel / mission critical items or functions people). due to local security situation  Verify POB and carry our muster drills,  Significant police or paramilitary  Assess requirements to increase physical security controls, deployment required to maintain access, perimeter protection, and road escorts. rule of law; localized curfews in  Issue “Business Essential” travel advisory (If not already done). place.  All employees are briefed / updated on the security situation  Heavy handed response from and controls- revise the evacuation plan police and security service  Confirm all expatriates registered with appropriate embassy  Erosion of the support and good and all visas and passports valid. will of local communities  Consideration given to recommending changes to the daily  Difficulties in maintaining good routine to include: relations with local authorities and o identification of any out of bounds areas; traditional leaders o local travel restrictions;  Livestock raids within close  Review which business critical and sensitive documents need to proximity of the field or camp be protected and how. locations  Security personnel responsible for  Security personnel will be trained to be aware of the various overseeing storage or transport of mitigation measures and to respond to the risks, both for their hazardous materials (e.g., own safety, security and the safety and security of project flammable materials such as workers and the local community pesticides in this project)  Participate in site design and planning to minimize the potential EHS risks (e.g., the type, quantity and method of hazardous or flammable materials stored at a site, the type and quantity of materials stored on site that would be locally of value for theft)  need for backup power, communication or other equipment to allow for proper response actions by security personnel and/or minimize environmental risks/releases; and  development of emergency response plans (including emergency contact points) given the potential security risks and associated indirect consequences (e.g., a site could be taken over for purposes of extorting money or other reasons, which indirectly could lead to vandalism and release of hazardous materials, chemicals or petroleum products or wastes. STANDARD OPERATING PROCEDURES 11 Security Response Level Yellow Enhanced Security Measures Required Event Indicator Recommended Action(s) These actions are in addition to the normal activities required at Security Status Green. Increased Actions are: Police Foot Patrols: Roles and responsibilities include:  Reinforce camp sites entries.  Conduct patrols around camp inner and exit gates.  Off camp personnel interrogation. Centralized Mobile Police Patrols Armed Security Force (ASF):  Quick Reaction Force (QRF)4x Man armed team on standby within the camp on Notice to Move (NTM) States: o Daytime - No change. But to include:  Local area patrols will increase and cover the clearance patrol area of a radius of 300m from the camp perimeter.  Clearance Patrols must be completed after any suspicious activity is noted or the camp is stood to. o Night time – As per normal daytime QRF with second pair at 2 minutes NTM.  Mobile Patrol – location of the threat will dictate the exact patrol requirement. Options: o 1 x patrol performing routine zone patrols or operating in a screening role. Camp Sites:  Check ID along with Issued Badge for all External workers whenever arriving.  All external contractor/vendor visits must have been notified to the Main Gate Reception in advance – no unexpected arrivals will be allowed entrance. As with Green all individuals and guests must be escorted by their host.  Implementation of restricted access areas. Areas such as the camp site will be by authorised badge only. Access point to be physically controlled.  Lighting must cover all areas of the site to ensure guard force have clear visibility whilst conducting foot patrols.  Vehicle checks will go up to 25% of vehicles (10% comprehensive, 15% cursory).  Quick Reaction Force (QRF) (specific to Contractor)  Isolated Locations o Consider increasing security at isolated locations and field operations. . 12 Table 13-6: Security Response Level: Orange-Increased Security Measures Security Response Level Orange Implementation of Increased Security Controls and Preparation for Lock Down and/or Site Evacuation Event Indicator Recommended Actions Significant obstacle or direct threat has been Project operations are suspended. Significant increase in detected to operations and is deemed security controls and operational restrictions. All imminent, or a security incident has taken movement outside camps ceases. place close to one of the project sites:  All external movement ceases  Wide spread civil unrest, not contained by  Twice daily call schedule with Client Security Manager police or paramilitary forces.  Ensure sites including plant, machinery and  Frequent acts of violence close to project equipment are secured – security protection in place. operations.  Consider further increase in security controls  ELRP specifically threatened and/or including; further reinforcement of security guarding, targeted. (police support) and asset hardening of critical  Reinforcement of police by military forces equipment and safe havens. to enforce martial law and impose curfews  Briefings to local security forces on roles and in key areas. responsibilities- liaison with local commanders  Substantial political or inter-tribal violence increased.  Government ordered curfew in place  Consider resupply requirements for all locations and  Law and order becomes fragile, shortages caretaker maintenance and security of unmanned of food / water / supplies / power / locations. communication outages.  Instigate evacuation drills and brief all staff on actions  Failure to observe security restrictions  Pack grab bags and ensure POB and documentation is regarded as life-threatening. available  Loss of support and good will of majority of  Prepare vehicles for possible road moves and ensure local community, thorough rehearsals have been conducted for any  Liaison with authorities and traditional moves under escort. leaders breaks down STANDARD OPERATING PROCEDURES These actions are in addition to the normal activities operating at Security Status Yellow. Increased Actions: Police Foot Patrols:  Reinforce Camp main gate and Emergency Exits security.  Conduct thorough searches on the arrivals.  Ensure all gates within the camp are padlocked.  Intensify inner perimeter patrols. Centralized Mobile Police Patrols  Inner perimeter fence 360 area check.  Ready to react to emergency.  Main gate and Emergency Exits manning.  Will be ready for escort tasks.  Questioning strangers or suspicious persons or vehicles.  Developing hearts and minds assurance. Base Camp Sites:  Amber checks as standard but now there will also be cross checks at individual’s place of work.  Essential visitors only are given access. 13 Security Response Level Orange Implementation of Increased Security Controls and Preparation for Lock Down and/or Site Evacuation Event Indicator Recommended Actions  Vendors and local contractors must be escorted at all times, even when moving vehicles to a site of work.  All vehicles will have complete cargo manifest checked against cargo on entry and exit.  100% of vehicles to have a cursory vehicle check.  Vehicle checks must consist of 25% comprehensive vehicle searches.  Local area patrols will increase and cover the clearance patrol area at a radius of 300m from the camp perimeter.  Increased internal and external patrols – for extended periods this will require an increase in manpower.  Static guards to be paired.  Armed guards to operate in support of main gate.  Physical placement of chicane and main gate entry obstacles to stop forced access. For a site to operate at Status Orange for more than a short period, the physical security measures below must be implemented and fitted.  Key locations must have physical deterrent measures such as bars fitted to windows.  Guard Force unarmed and armed to be supplemented.  Improvements to be made to the number and quality of the work force safe muster areas.  Further integration with state police and military forces – wider area patrolling and vehicle check points. Table 13-7: Security Response Level: Red-Cease Operations, Lock down & Evacuation Security Response Level RED Cease Operations and Lock Down or Evacuate Site Event Indicator Recommended Actions The operation has experienced a direct attack or Suspension of operations and/or activation of total there is credible evidence of an imminent attack. lock down or evacuation plan:  Direct threats against project operations  Confirm operational plan and nomination of  Major civil disorder in areas of operation alternative managers or key points of contact during  Lines of supply untenable (road closures / evacuation. security risks)  Implement evacuation plan  Total collapse of law and order  Ensure adequate caretaker security in place if full  Diplomatic missions advise nationals to leave. operations are suspended.  No or limited local security forces protection  Ensure all critical or sensitive documents have been  Security force reaction may damage reputation collected and are readies for destruction or removal  Major difficulties in accessing basic necessities  Detailed briefing of all remaining personnel on  Frequent power and communications situation and emergency response plans. disruption.  Provide ongoing communications, guidance and assistance to local and security staff remaining in country 14 Security Response Level RED Cease Operations and Lock Down or Evacuate Site  Finalize plans for remote management of operations if full evacuation is implemented. STANDARD OPERATING PROCEDURES These actions apply to ensure the project area and camps are locked down to maintain the security of the core staff, whilst the ELRP Incident Management Team decides on the final course of action. Increased Actions: Police Foot Patrols:  Main gate Sentry reinforcement.  Intensify inner perimeter patrols.  POB confirmation.  Conducting thorough searches at the main gate.  Ensure all exits are padlocked.  Reporting suspicious activities to the control room. Centralized Mobile Police Patrols:  Inner perimeter fence 360 area check.  Ready to react to emergency.  Main gate and Emergency Exits manning.  Will be ready for escort tasks.  Questioning strangers or suspicious persons or vehicles.  Developing hearts and minds assurance. Camp Sites:  Main gate and all access routes closed and secured with vehicle entry prevention devices. This is in addition to vehicle tyre spikes.  No access allowed unless authorised by security management. If authorised Red measures apply and all vehicles are searched comprehensively.  No vehicle is authorised to move in or out of the perimeter unless directed by the security advisor.  Static guards reinforced by armed police or military if available. All perimeter patrols and main gate to operate with an armed presence as well as the unarmed guard.  Wider patrolling only as situation requires, as this will be done with coordination of any military presence.  Perimeter is secured so internal and external patrols are stopped to provide manpower to reinforce the perimeter security.  Internal security patrols to ensure direct observation on the perimeter at all times. It is anticipated that local or regional events (triggers), will be linked to the alert status; the local security situation will be monitored daily and all available information assessed to ensure early identification of increases in risk which may require a change in alert state. Changing of rating level will be done on instruction from the ELRP project office. Alert levels provide specific guidance on recommended security measures and actions to be adopted on the basis of the prevailing security situation, locally, nationally and internationally. 15 Local and regional events (triggers) will be linked to the alert states; the local security situation will be monitored daily and all available information assessed to ensure early identification of increases in risk, which may require a change in alert state. Changing of rating level will be done on instruction from the ELRP project office. E. ALERT STATE STATUS BOARDS Alert State boards are to be displayed at the camp and indicate the current security alert state and associated restrictions to movement in the project area. Movement restrictions are to be covered in Journey Management Plan. F. SITE SECURITY LAYERS All project facilities will undergo the following security layers/protocols. i. Physical security (guards). ii. Access control system. iii. Intelligence Network. iv. Security induction. v. Awareness. vi. Trainings. These different security layers together reduce the risk of having one system being by-passed. They are implemented by the Security commanders. 1. Physical Security Physical security will involve the use of security barriers, such as fences, gates, locks, guard posts, surveillance/electronic security systems used, and the overall security management system at all the project premises. Security barriers These will mainly comprise of fences, gates, guard posts, surveillance / electronic cameras which will be manned by trained personnel who shall document and record daily incidents at the various points and provide reports to their superiors for appropriate action. 2. Security operating Procedures This shall entail some of the key security operating procedures which will comprise of:  Boundary security: Security will maintain control of the project’s perimeter by deploying personnel at strategic points along the boundaries of the project facilities and also channel people to access-control points that will have security personnel (both armed and unarmed as well as those in uniform and non-uniformed personnel);  Access Control Policy and Procedures: Access to project sites will by project personnel and visitors will be through a formal, documented access control procedures to facilitate the implementation of access control policy and associated access controls. MoALFC personnel will be issued with badges and will at all times carry and display these badges when in the field. The badges will enable the bearer to access project facilities upon site security enquiry. Visitor badges will be issued to all visitors who are not employees of MoALFC.  Unexpected / Unplanned Visitors: In case of unexpected (unplanned) visitors, the OCS will be notified immediately by the security officers, access endorsement/authorization will be issued only by the OCS after consultation with the Project Coordinator, and thereafter a visitor’s badge will be issued. The visit will not exceed few hours and they must be accompanied by the project personnel /staff in charge of the visit. 16  Visitor Badge Process: Visitors Badge will be issued after the visitor has been authorised by the site security managers. The visitor will then fill a visitor form with providing all his details and purpose of the visit. A badge will then be processed and issued by the Access control office. Security induction must be done before the Badge is issued to the applicant by Security officer and the visitor must sign on the induction document for acknowledgement. A data file with information regarding the visitor will be recorded and kept in the site access register.  Luggage search: A search of personal luggage will be performed by the guards at the access control point to ensure no access of all the prohibited items into the project facilities like: - Alcoholic Beverages, Firearms, knives and dangerous drugs are not smuggled onto project facilities.  Vehicle Access Control Procedures: All Vehicles accessing project facilities will be accessed through with the driver only after going through a security check/search for prohibited items i.e. Alcohol Beverages, Firearms, Knives and dangerous drugs. The driver must declare his entire luggage at the main gate (Personal luggage) for checking as well  Materials Storage and Control: where applicable, the project will institute controls over the transport, inventory, and maintenance of storage areas for raw materials, equipment, etc. Note that these are stored in accordance with appropriate Kenyan national laws and regulations and relevant good international industry practice, including the World Bank Group Environmental, Health and Safety Guidelines.  Decision tree model: the project security shall adopt a structured approach using the collaborative approach for all the armed security operatives in prioritizing the collection of relevant data during incident response. The structured tree model approach help to define how questions are answered, allows the incident response team to respond consistently with predictable results. The structured approach also provides for definable, reproducible structures to be created facilitating controlled cost exposure during an incident response cycle.  Information and Communication: The project will detail procedures for categorizing, handling, and controlling sensitive information. County Policing Authorities and Community Policing Committees are part of community policing, which improves the transparency and accountability in service delivery to the community. The reporting mechanisms include: using of the emails: incidents@ke-cirt.go.ke; info@dcicpu.co.ke and the toll free numbers: call 116,112 and 999. In cases where it is reporting against the security teams (Police), the documented channels of receiving complaints at National Police Service Internal Affairs Unit (IAU) are: a. Visiting the nearest police stations, b. Through letters P.O Box 1880 -00200 Nairobi, c. Through-email–iau@nationalpolice.go.ke, d. Social media – Twitter - @ NPSOfficial-KE, e. Anonymous Reporting Information System (ARIS) USSD *683#, SMS 40683, Toll Free Line 0800721230, Mobile App ARIS, NPS, & Web Form www.iau.go.ke, f. Mobile +254 798474619, g. WhatsApp (Videos and Pictures) 0758729917, and h. Through the media.  Code of conduct (Police Act 2010, Cap 64). Every police officer shall be subject to Force standing orders and to the provisions of the Code of Regulations for the time being in force, so far as the 17 same are not inconsistent with the provisions of this Act or of any regulations or standing orders made thereunder.  Firearms Security: The project will adopt the NPS policy regarding firearms storage on-site, as well as the responsibilities and procedures for issuing and storing any security firearms, ammunition, and non-lethal weapons. This shall include: location for storage; how weapons are properly secured during storage; records for issuance; who they may be issued to; safeguarding while in possession of the personnel; and audits.  Special Situations: There may be instances where large-scale events (e.g., criminal activity, demonstrations, civil disorder) require interventions by public security which is not specifically associated with the project. When planning for such events or emergencies, there shall be clarity on how project security passes control over to formal public security (for example, police, military, emergency responders in line with the National Police Service procedures in conjunction with the project established decision tree in armed police incident response. This will involve also collaborative and or leveraging with the existing projects being implemented within the project area i.e. It is worthy of note that a £20M/5-year donor funded security related program3 is ongoing across the northern counties, engagement may create opportunities for collaboration and access to technical resources. Point of Contact is: Jaki Mbogo, Jamii Thabiti, +254 733864602. G. SECURITY SUPERVISION AND CONTROL The project will have a clearly defined management structure and responsibility, including overall lines of control, accountability, and supervision for the security effort. In making such arrangements, the project will be guided by the principles of proportionality and GIIP, and by applicable law, in relation to hiring, rules of conduct, training, equipping, and monitoring of such security workers. The project will seek to ensure that government security personnel deployed to provide security services act in a manner consistent with paragraph 24 of ESS 4, and encourage the relevant authorities County and National level to proactively engage with local communities on security issues and address any concerns, subject to overriding security concerns. The Project coordinator will (i) make reasonable inquiries to verify that the direct or contracted workers retained by the Ministry to provide security are no implicated in past abuses; (ii) train them adequately (or determine that they are properly trained) in international human rights standards or minimal use of force techniques (less use of firearms), and appropriate conduct toward workers (in line with the Labour Management Plan) and affected communities (in line with SEA/GBV Action Plan); and (iii) require them to act within the applicable law and any requirements set out in the ESCP. All incidents including thefts, attempted, attempted break-ins must be reported to the OCS and recorded in the occurrence book, who will initiate an investigation to determine sequence of events, what may have contributed to the incident, probable cause(s) and contributing factors), and recommendations, corrective actions, and mitigation measures (based on investigative findings) – an incident report will be issued to the Project Coordinator with details of the above actions. There shall be a broad agreement at the national level, and there after communicated to the local level where it is more likely and achievable, with each local Officer Commanding Station. This will include the specific project requirements such as stakeholder engagement, security arrangements disclosure, incident response, and grievance management would benefit from being formally agreed with the 3 DFID RE-INVENT: https://devtracker.fcdo.gov.uk/projects/GB-COH-3799145-781-217382KE 18 appropriate authorities in line with the Project Stakeholder engagement Plans and Grievance Redress Mechanism. Depending on the security incident, the Project Coordinator will decide as to whether there is need to inform external agencies of the security incident. Project organisation will require security personnel to manage security aspects; 1. Security Organisation All security activities are supervised and coordinated by the OCS on behalf of the Project Coordinator. The organisation of security responsibilities, authorities and communication process shall follow Government of Kenya (GoK) organisation from project management down through the project staff when communicating instructions and from the appropriate personnel through the hierarchy to project management when reporting security breaches or vice-versa as the case may be. County Project Coordinator is the responsible person of the operations on site within the framework of his responsibility he is accountable of the security and he has under his authority security personnel in charge of site security. Security Team / Officers will be appointed to oversee all security activities for project sites (storage and lay down areas, work sites, field transportation and day to day operations). They will supervise all project security activities and report directly to the Project Coordinator. In addition the project security manager will work closely with the National Police Service and the Project Coordinator to develop a set of project related messages and in line with the project stakeholder engagement plan to be aligned with the broader project engagement security plan designed to promote the rule of law, discuss security arrangements, and elicit responses from key stakeholders. Project security team shall draw valuable insights and the structure of the key security messages and methods of engagement for each of the six major security stakeholder groups including the Employees and contractors, Government, Police, Communities and the Non-Government Organizations or Civil Society Organizations from the GIIP (VPSHR4) (Section V, Stakeholder Engagement). All project personnel are required to be aware of the need for constant vigilance, care and compliance with security procedures, as well as the necessity to report any incident or suspicion to the OCS. Officer Commanding Station (OCS): Security personnel; the police will be deployed to provide security to all project sites and facilities to be headed by OCS. The police officers have been trained on the following specific topics; securing project sites, patrols, communication, use of radio call units, Quick intervention and access control procedures. They are professional with a very good appearance and good English and Swahili command in terms of spoken and written. Their roles and responsibilities are detailed below;  To Implement the Standard Operating Procedures properly without fear or discrimination.  To ensure respect of the access control procedures and make sure that they are applied to all project personnel.  Perform interior Patrols days and nights to ensure that the national borders are intact or no intruders within the project facilities.  Check the border status on a regular basis using back tracking security method.  To report any security incident to the guard posts or security commanders.  Maintain constant communication with the control room on hourly basis while on duty.  Report to the control room in case of any technical issues. 4 VPSHR Toolkit https://www.miga.org/sites/default/files/archive/Documents/VPSHR_Toolkit_v3.pdf 19  Ensure a proper behaviour at all time while applying the SOP; avoid exchanging of words with the project staff. Security Community Engagement: The results of the security community engagement and security risk assessment process (see Table 13-3) shall be further examined by the relevant parties and appropriate mitigations included in a project level Memorandum of Understanding (MOU), setting out a framework for cooperation and setting standards and expectations. Key clauses for drafting MOU has been adopted from the DCAF/ICRC Knowledge Hub5 and customised to suit the project including:  Building trust among relevant government stakeholders especially the County Government and Ministry of Interior and Coordination of National Government, NGOs, civil society and community members to prepare the ground for a meaningful MoU,  Adherence to the provisions contained in the VPs (Voluntary Principles on Security and Human Rights) and the UN Code of Conduct for Law Enforcement Officials and the UN Basic Principles on the Use of Force and Firearms by Law Enforcement Officials (see Section K),  Institute a vetting procedures to ensure that no one allegedly implicated in past human rights and international humanitarian law abuses (i.e. there is a conviction, pending case or very strong evidence) provide security to the company.  Institute a training programme, for public security forces assigned to the project operations (See Section G Paragraph 2: Training),  Develop an acceptable protocol to manage equipment transfers in a manner that aligns with the VPs;  Operationalize acceptable modalities for project contributions to salaries, goods or services, if applicable, based on the risk assessment from time to time,  An agreed system of information-sharing around security issues, with due regard for necessary Confidentiality,  Have a commitment to a collaborative working relationship with the joint objective of respecting human rights and international humanitarian law. Other softer measures to be included in the MOU include the camp access protocols, grievance mechanisms, engagement commitments that can, without concern for confidentiality, be made publicly available in order to build trust and or promote cooperation. H. JOURNEY MANAGEMENT Project Coordinator has the overarching responsibility for project-wide journey management. This is delegated to the County Project Coordinator who will monitor all staff in while in the field through the journey management system in collaboration with the County Environment safeguards officer. A journey management log is to be maintained at the control room whereupon vehicle movements are logged and monitored. This will be shared to the County and National PCU safeguards team by email. Project staff will be required to complete a Journey Management Plan form, which has to be authorised by the project Coordinator and inform the Control Room on arrival and departure to update the POB. I. COMMUNICATIONS 5 Addressing Security and Human Rights Challenges In Complex Environments 20 A Radio network controlled from the Control Room under the direction of the OCS will be established at the camp in order to maintain control and to monitor the movement of personnel and vehicles within and around the vicinity of the camp. Beyond the range of local radio nets, communication will be by mobile or satellite phone. Journey management will require periodic contact via radio or telephone in order to monitor the location of personnel. The Control Room will be manned by English / Swahili speaking person who will be required to monitor all radio communications by day and whilst any project personnel are deployed at night. The ASF are to be integrated into the communications plan in order to allow effective command and control and immediate reaction to emergency situations once sufficient assets are on site. J. Security Grievance Redress Mechanism To extent possible, the SMP shall adopt the Project Grievance Redress Mechanism in managing the security related grievances. The security manager shall engage the relevant project personnel to ensure security personnel grievances are included in the Project GRM and Stakeholder Engagement Plan, and work with public security leaders to integrate the project GRM with internal procedures. Key areas of emphasis will be on the following steps:  Step 1: Publicizing Grievance Management Procedures,  Step 2: Receiving and Keeping Track of Grievances,  Step 3: Reviewing and Investigating Grievances,  Step 4: Developing Resolution Options and Preparing a Response,  Step 5: Monitoring, Reporting, and Evaluating a Grievance Mechanism, and  Step 6: Dedication of adequate resources both human and capital. Grievances related to the security team (National Police Service, the National Youth Services, and the Kenya Wildlife Service) shall adhere to the National Police Service Internal Affairs Unit (see section F of the SMP sub-section 2 bulletin 8) and the Independent Policing Oversight Authority to expressly deal with the matters See Figure 13-1 below: 21 Figure Error! No text of specified style in document.-1: National Police Service Complaints Management Process (Internal Affairs Unit-IAU) 22 23 K. Basic Principles on the Use of Force and Firearms by Law Enforcement Officials The project has adopted the basic principles from the guidelines for implementation of the UN basic principles on the use of force and firearms by law enforcement officials to promote the proper role of law enforcement officials will take into account and must be respected by project implementers within the framework of Kenya national legislation and practice, and shall be brought to the attention of law enforcement officials as well as other project persons. The adopted principles include: 1. MoALFC and appointed law enforcement agency (National Police service) shall adopt and implement rules and regulations on the use of force and firearms against persons by law enforcement officials. 2. MoALFC and the law enforcement agency shall develop a range of means as broad as possible and equip law enforcement officials with various types of weapons and ammunition that would allow for a differentiated use of force and firearms. 3. The use and deployment of non-lethal incapacitating weapons shall be carefully evaluated in order to minimize the risk of endangering uninvolved persons, 4. Law enforcement officials, in carrying out their duty, shall, as far as possible, apply non-violent means before resorting to the use of force and firearms. They may use force and firearms only if other means remain ineffective or without any promise of achieving the intended result, 5. Whenever the lawful use of force and firearms is unavoidable, law enforcement officials shall: a) Exercise restraint in such use and act in proportion to the seriousness of the offence and the legitimate objective to be achieved; b) Minimize damage and injury, and respect and preserve human life; c) Ensure that assistance and medical aid are rendered to any injured or affected persons at the earliest possible moment; d) Ensure that relatives or close friends of the injured or affected person are notified at the earliest possible moment. 6. Where injury or death is caused by the use of force and firearms by law enforcement officials, they shall report the incident promptly to their superiors. A detailed report shall be sent promptly to the Internal Affairs Unit for responsible administrative review and judicial control, 7. MoALFC shall ensure that arbitrary or abusive use of force and firearms by law enforcement officials is punished as a criminal offence in line with National Police Service Internal Affairs Unit and the Independent Policing Oversight Authority, 8. Exceptional circumstances such as internal political instability or any other public emergency may not be invoked to justify any departure from these basic principles, 9. The law enforcement agency shall ensure that all law enforcement officials are selected by proper screening procedures, have appropriate moral, psychological and physical qualities for the effective exercise of their functions and receive continuous professional training, and 10. MoALFC and the law enforcement agency (ies) shall undertake the policing of unlawful assemblies, policing persons in custody or detention in line with the provision of the UN basic principles on the use of force and firearms by law enforcement officials, 2016. 24 L. ALARMS Alarms (Hand winding and electric sirens) for emergencies are to be held at the Control Room. All security related incidents shall be document in the Security Log Event on Table 13-88. Table 13-8: Security Occurrence Book / Log Matrix Security Log Event. DATE: TIME: INCIDENT: Event Logger: Name +Signature ---/----/---- ----:---- TIME DEVELOPMENT/ACTIONS TAKEN 25