Planning and Deployment of UN Peacekeeping Operations - Interactive Guide - ZIF Berlin, June 2008

1. Center for International Peace Operations UN Photo UN Photo, Monuc UN Photo/Marc Garten Planning and Deployment of UN Peacekeeping Operations- Interactive Guide - ZIF Berlin, June 2008

2. UN Photo/Logan Abassi UN Photo/John Isaac UN Photo UN Photo/John Isaac UN Photo/Martine Perret Introduction This presentation covers the planning process of a peacekeeping operation at UN Headquarters from its initiation to the deployment of the mission. It draws on the official “Guidelines and Principles” for UN peacekeeping operations as well as on other sources. By mouse-clicking the process evolves gradually, providing information on every step of the planning process. A functional distinction is made between (dark blue) and (light blue). For more information on the different UN bodies, please click on the i-buttons located in the right-hand corner of each box. Integrated hyperlinks will lead you to the relevant UN websites. By clicking on the buttons located at the bottom of each slide you can jump forward or backward between different phases of the planning process. Planning a UN peacekeeping operation is a dynamic and non-linear process which depends on many different factors, such as the urgency of deployment and the size, scope, and aim of the mission as determined by the Security Council. Therefore, please note that the planning process presented hereafter is simplified. Certain steps which appear to be sequential may actually occur simultaneously or in a different order, while others may be left out on a case-by-case basis. Notwithstanding, each mission is based on certain indispensable key documents, such as the Concept of Operations (CONOPS) and the Security Council Resolution containing the mission’s mandate. The UN Secretariat has recently developed the so-called Integrated Mission Planning Process (IMPP) in order to include all other relevant UN bodies and external actors in the planning of multi-dimensional UN operations. The guiding principles of the IMPP concept are described in more detail at the end of this presentation. Bastian Richter, ZIF decision-making bodies administrative bodies Click to continue…

3. 5th Committee ACABQ SECURITY COUNCIL UN Secretariat Department of Peacekeeping Operations (DPKO) Department of Field Support (DFS) Department of Safety and Security (DSS) Department of Political Affairs (DPA) Office for the Coordination of Humanitarian Affairs (OCHA) Overview – Key actors involved in setting up a UN operation Troop Contributing Countries (TCC) Parties to the Conflict Police Contributing Countries (PCC) Finally, the involvement of the main parties to the conflict is essential in the political process preceding and accompanying the deployment a UN peacekeeping operation. Click to continue… Member states willing to contribute troops and/or police to a UN operation Click to continue… Authorizes operational budget of a mission UN Country Team Budgetary oversightby the General Assembly Click to continue… UN Agencies and Funds (UNDP, UNHCR, WFP…) NGOs UN bodies and NGOs working in the field Click to continue… Tasks planning, authorizes UN operations Central decision-making body Click to continue… UN Secretariat departments and offices involved in planning and/or implementation of a multi-dimensional UN operation Click to continue… Reports and gives recommendations Secretary-General

4. 5th Committee ACABQ SECURITY COUNCIL UN Photo/Mark Garten UN Secretariat Department of Peacekeeping Operations (DPKO) Department of Field Support (DFS) Department of Safety and Security (DSS) Department of Political Affairs (DPA) Office for the Coordination of Humanitarian Affairs (OCHA) Information – Realignment of the UN Secretariat in 2007 Troop Contributing Countries (TCC) Parties to the Conflict Police Contributing Countries (PCC) Authorizes operational Budget of a mission • Upon proposal of the Secretary-General Ban Ki-Moon (photo), in June 2007 the General Assembly approved the restructuring of DPKO and the creation of a separate Department of Field Support (DFS). The reform package aims at strengthening the UN’s capacity to mount and sustain multi-dimensional peacekeeping operations. In particular, commonly identified shortcomings in mission support such as logistics, transportation, and recruitment are to be addressed by the realignment. 287 additional posts in DPKO and DFS have been approved by the GA. • A close interaction between DPKO and DFS is maintained through: • a joint Chief of Staff; • a joint Executive Office; • shared functional areas: conduct and discipline, training, best practices, evaluation; • integrated operational teams; • joint Directors meetings; • joint weekly town-hall meetings. UN Country Team UN Agencies & Funds (UNDP, UNHCR, WFP…) NGOs Tasks planning, authorizes UN operations Reports and gives recommendations Secretary-General

5. Start of the Mission Planning Process…

6. SECURITY COUNCIL Secretary-General The Secretary-General (supported by his Secretariat) plays a critical role in helping the Security Council determine whether a UN peacekeeping operation is the most appropriate course of action. The SG may also initiate assessments of a crisis situation and a possible UN involvement without consulting the Security Council beforehand. It is the prerogative of the Security Council to determine when and where a United Nations peacekeeping operation should be deployed.

7. SECURITY COUNCIL DPKO DPA DPKO DFS DSS OCHA Secretary-General In case of a crisis, the Secretary-General may task his Secretariat to develop a Strategic Assessment of the situation. The SG may also seek consultations with the Security Council on the possible options of UN involvement. UN Secretariat Secretary-General If a peace support operation is deemed a suitable option for UN engagement, DPKO will be designated as the lead for operational planning. Note: The implementation of such a comprehensive strategic assessment involving all relevant actors within the UN system is an integral part of the new Integrated Mission Planning Process (IMPP) and has only recently been tested for the first time, on Somalia. In that context, a DPA-led strategic assessment mission involving members of the DPKO, UNDP, OCHA, DSS, UNDG, OHCHR, UNPOS and the UNCT was deployed to the field in January 2008. Based on the planning assumptions set out in the Strategic Assessment, the Secretary-General decides on the strategic objectives and form of UN involvement. The aim of the Strategic Assessment is to point out possible objectives of a potential mission as well as alternative options and strategies for UN involvement. Phase A Strategic Assessment However, the Secretary-General might also conclude, for example, that a DPA-led Special Political Mission would be more appropriate. In this case, DPA will take the lead for further planning. The Strategic Assessment is convened by the Peacebuilding Support Office (PBSO). It is usually led by DPA, while the other relevant Secretariat departments and offices further contribute to the draft document. UN Country Team UN Agencies and Funds (UNDP, UNHCR, WFP…) Member States Member states supportive of a possible UN operation usually assist the Secretariat, e.g. by providing field information. The Strategic Assessment usually also entails a visit by Secretariat members to the field. Other relevant UN bodies may further contribute to the assessment by providing specialized information and expertise.

8. DPKO DPA DPKO DFS OCHA DSS Note: In the case of Somalia, the Integrated Mission Task Force (IMTF) was in fact set up first and was then, afterwards, tasked to conduct the Strategic Assessment. It remains to be seen which procedural order will catch on in the Integrated Mission Planning Process (IMPP). If the launch of an integrated mission is considered, an Integrated Mission Task Force (IMTF) comprising representatives of all relevant UN entities will be established by DPKO’s Office of Operations (OO) as the formal headquarters-based planning and coordinating body at strategic level. IMTF UN Country Team The IMTF is responsible for implementing the Integrated Mission Planning Process (IMPP) for the specific country and mission. The IMTF will be composed of department, agency and UNCT participants who are empowered to represent their respective offices in the planning process. World Bank and IMF UN Agencies and Funds (UNDP, UNHCR, WFP…)

9. DPKO DFS Meanwhile at the level of operational planning, DPKO and DFS begin to develop a draft Concept of Operations (CONOPS). The findings of the TAM provide the basis for the operational planning. Phase B draft Concept of Operations (CONOPS) TAM The operational planning process is initiated with a Planning Directive issued by the Under-Secretary-General of the DPKO. As a first step, following an initial risk and threat assessment by the Department of Safety and Security (DSS) and DPKO’s Office of Military Affairs (OMA), a joint Technical Assessment Mission (TAM) is deployed. The TAM, led by the Office of Operations, evaluates the situation in the field. Among others, the TAM comprises military, security, political, and logistics experts from the different DPKO and DFS offices as well as from other departments.

10. DPKO DFS simultaneous planning steps Within DPKO The preliminary planning results are forwarded to the USG for approval. USG Office of Operations Office of Military Affairs Office of Rule of Law & Security Institutions The regional division in charge commences to develop a Draft Mission Plan. The findings of the TAM provide the basis for the operational planning. Phase B draft Concept of Operations (CONOPS) Development of an Operational Estimate, including a revised risks & threats assessment and possible courses of action. Commencement of planning of the police and Rule of Law components in the future operation. At this point, several concurrent planning steps are initiated in DPKO and DFS. TAM Initiation of recruitment planning for mission leadership & civilian staff (jointly with Department of Field Support). Close cooperation with partners in implementing RoL projects (e.g. DDR and SSR programs) in the country, such as UNDP, DPA, UNICEF, etc. Meanwhile, informal talks with potential Troop Contributing Countries(TCCs) to estimate potential force availability. Meanwhile, as the coordinating office for operational planning, the OO leads consultations with key partners, such as UN agencies and funds. The Operational Estimate is refined, based on likely availability of troops and logistics and on a thorough options analysis. Meanwhile, initiation of talks with potential Police Contributing Countries (PCCs).

11. DPKO CONOPS DFS simultaneous planning steps Within DPKO The preliminary planning results are forwarded to the USG for approval. USG Office of Operations Office of Military Affairs Office of Rule of Law & Security Institutions The combined planning results form the draft Concept of Operations. Phase B draft Concept of Operations (CONOPS) Within DFS Recruitment of mission leadership personnel, such as the SRSG/Head of Mission, Force Commander, Police Commissioner, etc. Meanwhile, DFS’s Field Budget and Finance Division works out the draft Mission Budget. Initiation of logistics and transport planning. Field Budget and Finance Division Logistics Support Division Senior Leadership Appointment Section

12. DPKO PMCA CONOPS DFS ACABQ Based on the draft CONOPS, DPKO and DFS jointly issue a request for a Pre-mandate Commitment Authority (PMCA). Phase B draft Concept of Operations (CONOPS) • A PMCA allows for the financing of essential pre-mandate tasks necessary to set up the mission, such as • the recruitment of core personnel; • the deployment of an advance team; • the establishment of a mission HQ; • the initiation of procurement with a long lead time. The request for pre-mandate commitment authority is considered by the ACABQ.

13. 5th Committee ACABQ SECURITY COUNCIL RESOLUTION Office of Operations Secretary-General This Report of the Secretary-General is based on the draft CONOPS and builds on the findings of the Technical Assessment Mission (TAM) as well as the analysis of strategic options. At the same time, DPKO’s Office of Operations prepares a report to be presented by the SG to the Security Council. The “SG Report” is usually presented by the USG of the DPKO. Based on the report’s recommendations, the Security Council discusses the available options for a UN mission. Phase C Mandate Preparation The Security Council passes a resolution, which authorizes the operation’s deployment and determines its size and mandate. The budget and resources of the mission are then subject to approval by the 5th Committee of the General Assembly.

14. DPKO MIP CONOPS RESOLUTION Once the mission’s budget has been approved… …DPKO refines the Concept of Operations (if necessary), according to the provisions set forth in the Security Council resolution. Phase A Mandate Implementation Plan (MIP) At this point, the overall lead gradually shifts over to the Special Representative of the Secretary-General as the Head of Mission. Supported by a planning team at mission level, the SRSG finalizes the Mandate Implementation Plan (MIP), which is based on the CONOPS. SRSG The SRSG is the most senior UN official in the host country. In an integrated mission, he/she is supported by a “triple-hatted” Deputy SRSG/ Resident Coordinator/ Humanitarian Coordinator (DSRSG/RC/HC). While the CONOPS was drafted at UN Headquarters and provides the general framework for the mission, the MIP is prepared in the mission and sets concrete benchmarks for the fulfillment of the mandate.

15. simultaneous planning steps Within DPKO DPKO Within DFS DFS Field Budget and Finance Division Logistics Support Division Field Personnel Division Recruitment of staff and transfer to the mission. The mission budget is refined and forwarded to ACABQ/5th Committee for final approval. Deployment preparations, e.g. contracting transport, transferring mission assets, final movement planning, organizing logistics and supply on the ground. Meanwhile, several final planning procedures are again conducted concurrently at UN HQ. Phase B Deployment Preparation Office of Military Affairs Office of Rule of Law & Security Institutions Office of Operations The Rules of Engagement (RoE) and further guidelines are drafted. The Directives on the Use of Force (DUF) are drafted. The OO coordinates and leads the final deployment preparations and ensures compliance with political guidelines. Force generation: visits to Troop Contributing Countries (TCCs), nego-tiating Memoranda of Understanding (MoU); movement planning. Force generation: visits to Police Contributing Countries (PCCs), MoU negotiations; movement planning.

16. SOFA SOMA UN Secretariat These documents serve as the legal basis for the mission’s relation with the host nation, the SOFA covering the military component and the SOMA the police/civilian component. SOFA and SOMA are negotiated and signed by the UN and the host nation of the operation. As a final step, a Status of Forces Agreement (SOFA) and a Status of Mission Agreement (SOMA) are prepared by the UN Office of Legal Affairs. • Deployment of the Peacekeeping Operation: • once deployed, the authority in the field lies with the SRSG and the senior leadership team; • the SRSG reports to the SG through the USG of the DPKO; • UN Headquarters provides political and strategic guidance and operational support. Host Nation SOFA and SOMA are compre-hensive documents, dealing with all aspects concerning the mission, such as the freedom of movement of its members, jurisdiction over the mission’s personnel, the provision of water, electricity and other utilities, etc. In practice, agreeing on the SOFA and the SOMA is one of the most critical and sometimes contentious issues between the UN and the host nation.

17. INTEGRATED MISSION PLANNING PROCESS (IMPP)  An initiative to achieve UN System-wide coherence in mounting and running a peace operation. Amid a growing complexity of multi-dimensional peacekeeping operations today, DPKO has recently developed a new Integrated Mission Planning Process (IMPP).In its guidelines endorsed by the Secretary-General the IMPP is defined as follows: “The IMPP does not aim to take over all other planning processes. It aims to ensure that the right people are at the table, that the right issues are being considered, and that the appropriate authorities and accountabilities are in place […].” (IMPP Guidelines p. 3) IMPP thus represents an overarching coordination and planning regime which seeks to comprise all relevant actors, such as UN offices, agencies and funds (OCHA, UNDP, UNHCR, UNICEF, WFP, OHCHR, etc.) as well as the World Bank and the IMF. An Integrated Mission can therefore be understood as a UN System-wide response to a crisis. For the IMPP to be implemented, an Integrated Mission Task Force (IMTF) comprising representatives of all relevant UN entities will be established as the formal headquarters-based planning body for a UN operation, as shown in this presentation. In addition, an Integrated Mission Planning Team (IMPT) will be established as the country-based body responsible for strategic planning in the integrated mission setting. Once the concept is put into effect, all steps of the mission planning process are supposed to be conducted in accordance with the guiding principles of the IMPP. Background of the Integrated Missions Concept and the IMPP A lack of coherence among field activities in the humanitarian relief, development, political and security spheres had been acknowledged in a number of evaluation reports and studies on UN peacekeeping operations over the last decade. As a consequence, a series of high-level panels and working groups worked out different coordination models, which culminated in the development of the Integrated Missions Concept in 2004/2005. In order for the UN to implement this concept and to enable its different entities in the field to “deliver as one”, the IMPP was developed (mainly) in 2006 and 2007. In all likelihood, it will be implemented in 2008, while being reviewed and refined.

18. UNFICYP 1964- UNOMIG1993- UNAMA*2002- UNMIK 1999- UNMOGIP1949- UNIFIL1978- UNDOF1974- UNTSO1948- UNMEE2000- UNAMID2007- MINUSTAH2004- UNMIT2006- MINURSO1991- UNIOSIL*2006- UNMIL2003- UNMIS2005- UNOCI2004- BINUB*2007- MONUC1999- MINURCAT2007- Current DPKO-led Field Operations (as of June 2008) The number indicates the year of authorization by the Security Council. Clicking on the tag will open the mission’s website. * political or peacebuilding mission

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20. SECURITY COUNCIL It is the prerogative of the Security Council to determine when and where a UN peacekeeping operation should be deployed in order to restore and safeguard the peace (UN Charter art. 24(1), art. 39). The decision to deploy a UN peacekeeping operation requires a minimum of nine votes from the Security Council’s fifteen members, including the votes of the five permanent members (art. 27). However, the full backing of a mission by all Security Council members is strongly desired. When considering to establish a UN operation, the Security Council usually takes into account, among others, the following factors: • whether a situation exists the continuation of which is likely to constitute a threat to international peace and security; • whether acease-fire exists and whether the parties have committed themselves to a peace process intended to reach a political settlement (a “peace to keep”); • whether a precise mandate for a UN operation can be formulated; and • whether the safety and security of UN personnel can be reasonably ensured, including in particular whether reasonable guarantees can be obtained from the principal parties or factions regarding the safety and security of UN personnel. Security Council website UN Photo/Eskinder Debebe

21. GENERAL ASSEMBLY (GA) 5th Committee • responsible for administration and budgetary matters; • based on the 5th Committee’s reports, the GA considers and approves the UN’s budget and financial and budgetary arrangements with UN agencies; • each May, the 5th Committee holds a resumed session to deal with administrative aspects of UN peacekeeping and approves the annual peacekeeping budget; • it also considers urgent matters relating to the financing of a peacekeeping mission authorized by the Security Council at any of its sessions. 5th Committee website Advisory Committee on Administrative and Budgetary Questions (ACABQ) • consists of 16 members appointed by the General Assembly; • examines and reports on the budget submitted by the Secretary-General to the GA; • advises the GA on any administrative and budgetary matters referred to it. ACABQ website UN Photo/Paulo Filgueiras General Assembly in session UN Photo/Eskinder Debebe ACABQ in session

22. Organizational chart USG Executive Office Situation Center Office of Operations Office of Military Affairs Office of Rule of Law & Security Institutions Policy, Evaluation and Training Division Africa I Division Current Military Operations Police Division Peacekeeping Best Practices Africa II Division Military Planning Service Criminal Law & Judicial Advisory Section Integrated Training Service Europe & Latin America Division Force Generation Service DDR Section Asia & Middle East Division Mine Action Service Department of Peacekeeping Operations (DPKO) Established 1992, currently led by Under-Secretary-General Jean-Marie Guéhenno Mandate: • planning, managing and deploying UN peacekeeping operations; • providing political & executive direction to UN peacekeeping operations on behalf of the SG; • close cooperation with the Department of Field Support; • support of other peace and security operations that are predominantly civilian (political missions); • working closely with Department of Political Affairs; DPKO website UN Photo/Ryan Brown USG Guéhenno

23. Department of Political Affairs (DPA) Established 1992 as the UN focal point for conflict prevention, peacemaking, and peacebuilding, led by Under-Secretary-General B. Lynn Pascoe. Mandate: • monitoring and assessing global political developments; • advising the UN Secretary-General on actions to advance the cause of peace; • providing support and guidance to UN peace envoys and political missions in the field; • serving Member States through electoral assistance and through the support of DPA staff to the work of the Security Council and other UN bodies; • with regard to the planning of a peacekeeping operation, DPA (along with the OHCHR) is in charge of the human rights component of the potential mission. DPA website UN Photo USG Pascoe

24. Department of Field Support (DFS) Office of the Under- Secretary-General …………………… Office of the ASG Conduct and Discipline Unit Organizational chart Executive Office Senior Leadership Appointments Section Field Personnel Division Field Budget and Finance Division Logistics Support Division Communication and IT Service Field Personnel Operations Service Budget and Performance Reporting Service Operational Support Service Operations Section Information Systems Section Specialist Support Service Field Personnel Specialist Support Service MOU and Claims Management Section Transportation and Movement Service Established 2007, led by Under-Secretary-General Susana Malcorra (reporting to the USG of the DPKO) Mandate: Support peace operations in the areas of: • personnel (recruitment of high quality leadership and field staff; overseeing standards of conduct); • logistics (ensuring appropriate resources incl. materiel, direction, guidance and oversight); • communications & IT (ensuring reliable, responsive and continuous voice, data and video services); • budget and finance (providing financial support services, appropriate funding and responsible stewardship of funds entrusted to UN peace operations); UN Photo/WFP USG Malcorra

25. Office for the Coordination of Humanitarian Affairs (OCHA) Established 1998, led by UN Emergency Relief Coordinator (ERC, with USG status) John Holmes As a coordinating body, free from day-to-day operational challenges, OCHA focuses on the full spectrum of issues associated with humanitarian assistance. This includes anticipating changes in operational environments and setting the agenda for common international humanitarian actions even before crises occur. The functions of the ERC are focused in three core areas: • policy development and coordination functions in support of the Secretary-General, ensuring that all humanitarian issues, including those which fall through gaps in existing mandates of agencies such as protection and assistance for internally displaced persons, are addressed; • advocacy of humanitarian issues with political organs, notably the Security Council; and • coordination of humanitarian emergency response, by ensuring that an appropriate response mechanism is established, through Inter-Agency Standing Committee (IASC) consultations, on the ground. OCHA carries out its coordination function primarily through the Inter-Agency Standing Committee, which is chaired by the ERC. Participants include all humanitarian partners, from UN agencies, funds and programs to the Red Cross Movement and NGOs. OCHA website UN Photo ERC Holmes

26. Department of Safety and Security (DSS) DSS is headed since February 2005 by Under-Secretary-General David Veness. The Department of Safety and Security is responsible for providing leadership, operational support and oversight of the security management system to enable the safest and most efficient conduct of the programs and activities of the UN System. DSS website UN Photo USG Veness