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U.S. Government Interagency Humanitarian Demining Strategic Plan The Interagency Working Group on Humanitarian Demining, April 12, 2000

Chapter 4. The Humanitarian Demining Program Process: A Methodology

This chapter delineates a process for selecting a country and developing and executing its assistance program.

The process consists of ten steps:

• Assess strategy and policy.
• Determine requirements.
• Develop a unified country plan.
• Allocate resources.
• Pre-deployment training.
• Execute.
• Reassessment.
• Sustainment.
• Final Assessment.
• End-State.

Each step provides for the succeeding step and feedback within the process (Figure A-1). Each step also has unique substeps and milestone events. These milestones are documented and reviewed at Interagency Working Group meetings where programmatic decisions are made to continue, modify, or stop the planning, development, or execution effort. Detailed descriptions of the ten steps follow.

Figure A-1. The Humanitarian Demining Program Process

1. Assess Strategy and Policy

The first step in the process is a review of the President's National Security Strategy (NSS), the National Military Strategy (NMS), legislation and other associated policies. This review enables the IWG to ensure that the national security interests of the United States are met when considering countries for inclusion in the humanitarian demining program. While the overall responsibility for successfully completing this step rests with the IWG, all players participate. Many IWG participants have a role (e.g., the NSC develops the NSS; DOS manages Interagency policy in reviewing its applicability; DoD assesses the linkages between the NMS and the program; geographic combatant commanders (CINCs) assess regional strategies and cooperative agreements; DSCA tracks legislation impacting security assistance programs; and the country team assesses the country's capability and willingness to sustain the humanitarian demining program).

Review presidential directives, NSS/NMS, other policy guidance and legislation

Lead: Interagency Working Group

During this step, presidential policy announcements, the NSS, NMS, and Presidential Decision Directives are reviewed. The overarching region-specific and transnational NSS objectives are identified; emerging concepts and the security environment are analyzed; and a synopsis of key presidential guidance, NSS objectives, and other demining-related guidance is prepared by DOS. DoD assesses the NMS, geographic combatant commander's strategies, and any demining-related guidance. From this information, a linkage is formed from the assessment of policy through execution (Figure A-2). This linkage is critical to ensuring a conceptual understanding of how demining contributes to national goals and where a specific demining effort supports USG humanitarian demining program objectives.

IWG participants track legislation in their respective interest areas and attempt, where practical, to promote certain legislative initiatives affecting the humanitarian demining program. For instance, SOLIC tracks humanitarian demining legislation that affects the readiness, training capabilities and operational tempo of its USSOF; DSCA tracks legislation with an impact on humanitarian demining security assistance programs, and, when necessary, influences or initiates security assistance legislation.

Figure A-2. Linkage between Humanitarian Demining and the National Security Strategy

Identification and selection of host countries

Lead: Department of State

To initiate consideration for a demining program in a given country, the IWG must receive a request for demining assistance from the host country, via the appropriate U.S. embassy. In addition to humanitarian objectives, USG interests may include country access and training opportunities for DoD as well as increasing support to NGOs and other organizations. The IWG then directs that a Policy Assessment Visit (PAV) be made, provided there is sufficient evidence that hostilities have ceased, a workable peace agreement is in place, and that landmine hazards are present.

Based on the above criteria, the IWG considers selecting the recommended country for formal demining assistance. Factors used in the selection process include:

• USG interests:
  • Promote human welfare.
    
  • Facilitate rapid repatriation of refugees.
    
  • Promote stability, democratic process, and economic growth.
    
  • Access and training opportunities.
• Severity of the problem:
  • Extent of the landmine problem.
    
  • Impact on family income and sustenance.
    
  • Impact on development of local and national economies.
    
  • Impact on agricultural viability.
• Impact of U.S. assistance:
  • Potential to attract other donors.
    
  • Opportunity to leverage USG efforts with existing programs.
    
  • Opportunity to provide resources, equipment, and training.
• Others factors:
  • Host country capability and willingness to devote resources toward a sustainable demining program.
    
  • Threat of renewed armed conflict and the prospect of new mine laying after old mines are destroyed.
    
  • Issuance of a Presidential Determination to allow for security assistance.
    
  • Safety of USG personnel, as well as personnel engaged in mine action initiatives funded by the USG.

The IWG will also consider and approve limited mine action support to populations in war-prone regions under its "Emergency Demining Initiative." Guidelines for granting assistance include:

• The provision of assistance would not indicate the establishment of a formal country-specific HD program.
• The USG would support mine clearance activities through NGOs or international organizations; it would not provide support to the national government.
• Mine clearance activity emphasis would focus on facilitating refugee/IDP returns and temporary resettlement, clearance of arable land, homes, schools and delivery of humanitarian assistance to those areas.
• USG-funded mine clearance activities would be restricted to areas where (in the estimation of the U.S. country team, host nation, and NGO grantees) conflict is not expected in the future; the risk to demining personnel is deemed to be low; and the proposed demining area lacks current military strategic value, thus preserving the humanitarian nature of the program.
• USG-funded mine clearance activities would only demine those areas that were already mine-affected. If the host-nation laid new mines, USG funds would not be used to remove them.
• Review of the overall security and conflict situation in-country would be conducted periodically by the IWG, including the intelligence community.
• DoD training programs or OHDACA-funded equipment would not be provided (except for it providing for mine awareness materials).
• NADR-funded equipment would only be provided to the NGO or international organization and not to the host nation.

Any misuse of materials or malfeasance on the part of the host nation could result in the suspension of mine awareness assistance.

Define Demining Project Goals, Objectives, and End-State

Lead: Interagency Working Group

To provide focus and direction, goals and objectives for the assistance effort that support those of the USG humanitarian demining program must be developed.

Conduct Policy Assessment Visit -- Milestone Event

Lead: Department of State

The IWG Policy Assessment Visit (PAV) is conducted on behalf of the IWG to determine the feasibility and applicability of conducting a HD program in a given country on the basis of U.S. policy objectives and national security interests. The assessment is specifically designed to discuss only policy issues, as a decision to conduct a program is not made until after a recommendation has been made to the IWG and a program approved.

The composition of each policy assessment team will be determined by the Department of State (PM) in consultation with the Department of Defense (SO/LIC PK-HA). Generally, the PAV team includes policy representatives from DOS, DoD, USAID Mission (as appropriate), and the regional CINC. The policy assessment team will meet with the U.S. Chief of Mission, key members of the country team and the representatives of the host country. The team reviews whether host country security capabilities and political conditions are conducive to program success and whether the USG effort will enjoy the cooperation of the host country. The senior DOS representative leads the team. The country team coordinates the arrival of the assessment team with the host country.

The host country may provide a letter of introduction to introduce the team during its travels throughout the country. The team describes the U.S. government's HD Policy in broad terms and advises the host country of U.S. expectations, support requirements, and the potential impact on the host country and the country team.

The team provides an exit briefing to the U.S. Chief of Mission upon departure, summarizing the role of the U.S. Embassy in the implementation and management of the country program. The team documents and reports results of the policy assessment visit to the IWG. If a country is approved, the IWG will notify the country through the appropriate U.S. Embassy. The IWG also will direct the CINC to authorize a Requirements Determination Site Survey (RDSS), if one is necessary. The IWG will then forward a cable to the applicable CINC to authorize an RDSS.

The PAV checklist is at Appendix A.

2. Determine Requirements

The second step includes determining requirements, scope, goals and objectives, measures of effectiveness, constraints, issues, participant's roles, and whether to continue with the planning effort to provide assistance to a candidate host country. While overall responsibility for completing this step rests with the IWG, each agency and organization has an important role.

Conduct Requirements Determination Site Survey (RDSS)

Lead: Geographic combatant commander

Through OASD (SO/LIC) to OJCS, the IWG requests that the geographic combatant commander conduct an RDSS. The RDSS is the first opportunity for program managers and the geographic combatant commands to discuss HD program objectives, concerns and needs with the host country. This visit also enables combatant commands and program managers to coordinate initial equipment and budget requirements while on the ground in the host nation.

Before conducting a Requirements Determination Site Survey, the geographic combatant commander should have the results of the policy assessment visit (up-to-date political, security, economic, and humanitarian policy concerns); the current goals, objectives, and exit strategy as determined by the IWG; resource estimates; and any constraints identified by the IWG. The geographic combatant commander will have the best appreciation for the potential vulnerabilities associated with U.S. military participation.

The Requirements Determination Site Survey:

• Identifies resource requirements, including funding, personnel, and equipment.
• Identifies logistic requirements (e.g. transportation).
• Identifies infrastructure requirements.
• Determines survey and marking requirements.
• Assesses ongoing efforts (e.g., by the host country; IOs, NGOs, and PVOs; and other countries).
• Identifies factors that will affect development of the course of action (COA) (e.g., desires of the ambassador). Again, coordination with the country team and DOS desk officer is critical. For example, the Public Diplomacy Officer can provide recommendations on the best way to proceed with demining efforts based on cultural peculiarities, and can conduct public opinion surveys in advance of the team's arrival.
• Validates the security and political environment of the country.
• Clarifies the policy concerns, goals, objectives, and exit strategy determined by the IWG, if necessary.
• Resolves administrative issues.
• Helps develop the country plan.

Conduct Pre-Deployment Site Survey (PDSS)

Lead: Geographic combatant commander/Deploying Unit

Once an RDSS has been conducted and a country plan written and approved, the Geographic Combatant Commander and the deploying unit may conduct a Pre-Deployment Site Survey (PDSS). The purpose of this PDSS is to finalize requirements for the mission and assist SOF in final preparation for the deployment. It is conducted by the operational elements approximately 3-6 months prior to the HD mission execution. (NOTE: There may be instances where the geographic combatant commander decides to combine the RDSS and PDSS into one survey).

The Pre-Deployment Site Survey:

• Finalizes training areas, objectives, identifies personnel to be trained.
• Determines force protection issues and emergency recall procedures.
• Determines the availability of interpreters.
• Finalizes resource requirements.
• Ensures that the country plan, final training requirements and pre-deployment training are in concert with each other.
• Finalizes coordination with the embassy on support and administrative requirements required during the deployment.
• Prior to departure from the host country, the PDSS mission commander develops an MOU outlining actions required between the operational elements, the Embassy and the host nation.

Develop courses of action

Lead: U.S. Embassy/ Geographic combatant commanders/Department of State

The U.S. embassy, in concert with the host nation and the CINC, prepares draft courses of action for a country plan for review by PM/HDP, SO/LIC, DSCA and OJCS. The country plan also is reviewed by OJCS and OASD (SO/LIC) for conformity to planning guidance and support of U.S. goals and objectives.

This concludes the discussion of step two, Determine Requirements, and its milestone event, Approve or Disapprove Project. The completion of this step and the approval of the IWG to continue with the process initiate the third step, Develop Plan.

3. Develop Plan

The third step includes developing a preferred course of action. Major planning issues and possible solutions are identified and included in the single unified country plan for all USG demining activities in the host country.

While the overall responsibility for coordinating and completing this step rests with the IWG, the geographical combatant commanders and country teams play significant roles.

Develop and issue planning guidance

Lead: IWG (State Department); Deputy Lead: OASD (SO/LIC)

When the demining assistance project is approved, DOS/PM/ HDP and SOLIC HA/APL issue planning guidance to the U.S. Embassies and geographic combatant commanders through the OJCS. Guidance includes:

• A request for a course of action with detailed resource estimates.
• Current political, security, economic, and humanitarian policy concerns.
• Constraints and restrictions list.
• Measures of effectiveness.
• Timeline.

Identify and resolve major planning issues

Lead: Interagency Working Group

Evaluation of the country plan may identify issues, most of which will be resolved by PM/HDP, SO/LIC or the geographic combatant commander, either internally or working with the country team and the host country.

Prepare final draft plan -- Milestone Event

Lead: Host Nation/U.S. Embassy/geographic combatant commanders

Once all of the substantive issues are resolved, a draft final plan is prepared. For DoD deployments, OASD(SO/LIC) requests OJCS transmit the appropriate directives and guidance to the geographic combatant commander to submit a final draft plan (unresourced).

4. Allocate Resources

The fourth step includes identifying resources, constraints and spending limitations, resource gaps and alternatives to fill them, and commitments from funding agencies.

Identify resources and gaps

Lead: Individual Funding Agencies

Generally, four organizations fund initiatives as part of the U.S. program: (1) PM/HDP manages the Nonproliferation, Antiterrorism, Demining, and Related Programs Appropriation, which is the primary source of State Department funding for humanitarian demining.

PM/HDP also manages funds transferred from other State Department accounts (Support for Eastern European Democracy (SEED), etc...) to support humanitarian demining initiatives, as well as funds deposited into the Slovenian International Trust Fund for Demining. (2) The Bureau of Population, Refugees and Migration funds humanitarian demining initiatives that have direct implications for refugees. (3) OASD's Office of Humanitarian Assistance and Anti-personnel Landmine Policy develops DoD's policy on humanitarian demining. Policy decisions that result in programmatic expenditures are executed through the Defense Security Cooperation Agency (DSCA), using the Overseas, Humanitarian, Disaster and Civic Aid (OHDACA) appropriation. OHDACA funds are used to fund DoD troop deployments in support of humanitarian demining training. (4) USAID funds mine victim assistance programs through the Leahy War Victims Fund.

Materiel resources are also identified, including DoD's Excess Defense Articles (EDA) and humanitarian assistance excess property. The use of funds to support immediate NGO or UN involvement to initiate demining activities is also considered.

5. Pre-Deployment Training

When the IWG determines that SOF training of indigenous personnel is called for, the fifth step in the process will be the identification of SOF to conduct humanitarian demining training in a host nation, and scheduling these forces for their pre-deployment training at Fort Leonard Wood's Humanitarian Demining Training Center. The IWG goal is to notify USSOCOM, through the Joint Staff, of forces required for a humanitarian demining mission in order for SOF to attend Ft. Leonard Wood training at least 90-120 days prior to mission execution. This two week training course provides SOF the necessary skills to conduct basic/advanced humanitarian demining programs in accordance with U.S. Policy and UN International Standards.

6. Execute

The sixth step includes implementing the humanitarian demining plan. While overall responsibility for this step rests with the plan executor, the IWG plays a significant role.

Manage and coordinate demining activities

Lead: DOS/PM/HDP or geographic combatant commander

Both the State Department and USAID will rely on contractors or NGOs to establish and provide technical advice to a national demining organization (NDO).

The composition of the geographic combatant commander's project team will vary, depending on the results of the Requirements Determination Site Survey. It will normally consist of SOF (Special Forces, Civil Affairs (CA), and Psychological Operations (PSYOP)) and may include conventional forces from the U.S. Army (Engineers, and Explosive Ordnance Disposal (EOD)), the USN (Seabees), and USMC (EOD and CA). The geographic combatant commander works closely with the host country to support the NDO which:

• Serves as a central mine data and collection management center.
• Serves as a resource conduit.
• Coordinates mine action efforts and monitors progress.
• Consolidates and encourages host country interagency cooperation.

The U.S. Embassy manages, oversees, and coordinates the demining program in the host country, and closely coordinates the effort with the State Department, USAID and the geographic combatant commander, as appropriate. The Embassy is responsible for preparing reports on the expenditure of funds that have been allocated or otherwise assigned to it for humanitarian demining disposition. Such reports are to be submitted to PM/HDP, and should include information on progress achieved with the use of those funds.

Conduct demining training

Lead: Department of Defense/geographic combatant commander

Demining training programs funded by the Department of Defense and the geographic combatant commander focus on identifying and training host country personnel on the conduct, supervision, and the instruction of demining operations and procedures. To minimize long-term U.S. involvement and to ensure that the host country is capable of sustaining operations, training is conducted using the "train-the-trainer" methodology. Special Operations Forces normally conduct this training.

Conduct mine awareness training

Lead: DOS/PM/HDP/geographic combatant commander

Host country personnel are trained in procedures to develop and maintain a mine awareness campaign. PSYOP personnel conduct mine awareness training and provide mine awareness materials for DoD. The geographic combatant commander uses these forces to train the host country to sustain its own demining effort. DOS/PM/HDP and DoD use grantees or contractors to conduct mine awareness training.

The desired training end-state is to have trained host country personnel capable of developing and executing a host country-led mine awareness campaign.

Provide support to host country NDO

Lead: PM/HDP/geographic combatant commander

PM/HDP, through contractors or NGOs, and the geographic combatant commander's Civil Affairs personnel provide direct support and training to the host country NDO in program management, administration, logistics, supply management, maintenance, and data processing. The desired result is to have a fully functional host country NDO capable of managing the country's demining program.

Management Assessment Visit

Lead: Department of State

Department of State maintains oversight of all program management objectives throughout the life of a country's participation in the USG Humanitarian Demining Program. This is done in coordination with the USG country team at all times and appropriate participants such as DSCA and the CINCs when applicable. Management assessments would consist of the following:

• Application of USG NADR funds.
• Overall program milestones and status.
• Compliance with USG policy.
• Program measures of effectiveness.
• Continual commitment of host nation.

Provide Program Assessment

Lead: geographic combatant commander

Every November, the geographic combatant commander or his designated representative will be invited to attend a Humanitarian Demining Interagency Working session. This session is to provide an update on the humanitarian demining programs in his area of responsibility (AOR), as well as to provide a budget expenditure update (both OHDACA and NADR) on the previous fiscal year.

7. Reassessment

The seventh step in the process requires the IWG to determine the success of a particular program in a given host nation. For example, is the program ready for transition to sustainment, or is a period of retraining, provision of additional equipment, etc, necessary? Based on the results of the State/DoD program managers' Management Assessment Visit, the IWG will approve/disapprove movement of the program into the Sustainment Phase.

Transition program to Sustainment -- Milestone Event

Lead: Department of State

Once project goals and objectives are met, and the Office of Humanitarian Demining Programs, after consultation with the U.S. Embassy and the geographic combatant commander, has informed the IWG, DoD participation ends and the period of sustainment begins. Working with the country team, PM/HDP monitors equipment and other NADR requirements.

8. Sustainment

The eighth step in the process is sustainment. There are two types of sustainment:

• DoD sustainment: If a program involves DoD training, then the "DoD sustainment" phase has been reached when DoD trainers determine that the host nation has successfully created its own indigenous capability, and that the host nation can conduct demining operations without needing any additional training provided by U.S. forces.
• Overall sustainment: All programs, including State-only programs, reach "overall [USG] sustainment" when the host nation is successfully managing and conducting humanitarian demining operations, and can sustain those operations by directly soliciting donors for support, if national resources are insufficient. The U.S. can continue to provide appropriate assistance, consistent with U.S. priorities and available resources, even after the host nation has reached the overall sustainment phase.

9. Final Assessment

The ninth step in the process is the Final Assessment. Once the IWG has determined that the U.S. Government has achieved its objectives in a host nation, the IWG will dispatch a Policy Review Visit (PRV) to conduct a final program assessment. This team will be composed of Policy and Program personnel from the DOS and DoD. The Policy Review team will look at the entire program to ensure U.S. objectives have been met, that the country is, or is near to being, mine-safe, and will make an assessment of what policy or program changes need to be made for future country programs. The Policy Review team will make one of two possible recommendations to the IWG:

1. The HD program has met all objectives and is at end-state.
2. The HD program requires additional assistance from DoD, DOS or both. The assessment team will recommend what additional assistance is necessary, and a time period to provide the assistance. Once the assistance has been completed, a subsequent PRV will be sent.

Transition program to host country -- Milestone Event

Lead: Department of State

Once project goals, objectives, and exit criteria are met, the Office of Humanitarian Demining Programs, after consultation with the U.S. Embassy and the geographic combatant commander, informs the IWG. Working with the country team, PM/HDP then transitions the program to the host country (PRV recommended checklist is at Appendix D).

10. End-State

The tenth and final step in the process is End-State. End-state is defined for each country as the time the IWG reconsiders U.S. assistance. Generally, at the country level, it will mean that a country has reached a point where U.S. Humanitarian Demining assistance is no longer necessary from either a humanitarian or foreign policy perspective.

Normally, at end-state, the host nation has a fully established, self-sustaining, humanitarian demining program or it has eliminated the threat of mines/UXO to the local populace, and made significant strides in returning land to economic productivity. Post's public diplomacy efforts should promote the success of the country in achieving self-sustainment, highlighting the role of U.S. assistance. Such efforts would also encourage other countries receiving U.S. humanitarian assistance to reach self-sustainment.

The IWG will make a decision on End-State based on a recommendation from a Policy Review Visit.

Conclusion

This concludes the description of the program development process and its steps: Assess Strategy and Policy, Determine Requirements, Develop Plans, Allocate Resources, Pre-deployment training, Execute, Reassessment, Sustainment, Final assessment and End-State. The IWG, with input from all its members, continuously assesses the assistance effort by measuring and reporting progress throughout the life of the program.

[end of file]

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