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Planning and Deployment of UN Field Operations: The Integrated Mission Planning Process (IMPP) - Updated Interactive Guide - ZIF Berlin, October 2011 UN.

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Presentation on theme: "Planning and Deployment of UN Field Operations: The Integrated Mission Planning Process (IMPP) - Updated Interactive Guide - ZIF Berlin, October 2011 UN."— Presentation transcript:

1 Planning and Deployment of UN Field Operations: The Integrated Mission Planning Process (IMPP) - Updated Interactive Guide - ZIF Berlin, October 2011 UN Photo UN Photo, MonucUN Photo/Marc Garten

2 UN Photo/John Isaac UN Photo/Martine Perret UN Photo/Logan Abassi UN Photo UN Photo/John Isaac Introduction Click to continue… This presentation covers the planning of UN field operations both at headquarters and in the field. It draws on the approved guidelines for the Integrated Mission Planning Process (IMPP) and principles for UN peacekeeping operations. The IMPP has been created to include all relevant UN bodies both at HQ and at field level as well as external actors in the planning of UN field operations. While the IMPP guidelines apply, in principle, to all UN field missions, this presentation focuses mainly on DPKO-led peacekeeping operations. Planning a UN field 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, every mission rests on certain indispensable key documents, such as Reports of the Secretary-General, a Mission Concept, a Results-based Budget (RBB), a Security Council Resolution containing the mission’s mandate, and a field-based Integrated Strategic Framework (ISF). How to use this presentation With each mouse click 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 further information on the UN bodies involved, click on the boxes marked with an. Integrated hyperlinks will lead you to 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. Bastian Richter, ZIF administrative bodies decision-making bodies

3 Table of Contents I.Information – The Integrated Mission Planning ProcessInformation – The Integrated Mission Planning Process II.Overview – Key actors involved in setting up a UN operationOverview – Key actors involved in setting up a UN operation III.Stage 1 – Strategic PlanningStage 1 – Strategic Planning IV.Stage 2 – Operational PlanningStage 2 – Operational Planning V.Stage 3 – Deployment PhaseStage 3 – Deployment Phase VI.Stage 4 – Field-based PlanningStage 4 – Field-based Planning VII.Map of Current DPKO-led Field OperationsMap of Current DPKO-led Field Operations

4 Information Click to return… Amid a growing complexity of multi-dimensional peace operations today, the UN has developed an Integrated Mission Planning Process (IMPP). The original IMPP guidelines endorsed by the Secretary-General in 2006 explain the purpose of the IMPP 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 […].” (2006 IMPP Guidelines p. 3) The 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.) at Headquarters and Country Team level as well as the World Bank and the IMF, if appropriate. An Integrated Mission can be understood as a UN System-wide response to a crisis. In a 2008 decision, the Secretary-General’s Policy Committee reaffirmed integration as “the guiding principle for all conflict and post-conflict situations where the UN has a Country Team and a multi-dimensional peacekeeping operation or political mission/office, whether or not those presences are structurally integrated.” As a key component of the IMPP, an Integrated Mission Task Force (IMTF) or Integrated Task Force (ITF) is established as the formal headquarters-based planning body for a UN operation. In addition, field-based coordination structures such as a Strategic Policy Group and an Integrated Strategy and Planning Team or a Joint Planning Unit are created as bodies in charge of strategic planning in the integrated mission setting.Integrated Mission Task Force (IMTF) or Integrated Task Force (ITF) 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 15 years, notably the 2000 “Brahimi Report.” As a consequence, a series of high-level panels and working groups worked out different coordination models which culminated in 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 and is being implemented since INTEGRATED MISSION PLANNING PROCESS (IMPP)

5 UN Secretariat departments and offices involved in planning and/or implementation of a multi-dimensional UN operation Click to continue… Secretary-General SECURITY COUNCIL GA 5th Committee ACABQ Overview – Key actors involved in setting up a UN operation Troop Contributing Countries (TCC) NGOs UN Country Team Police Contributing Countries (PCC) UN Agencies and Funds (UNDP, UNHCR, WFP…) UN Agencies and Funds (UNDP, UNHCR, WFP…) Budgetary oversight by the General Assembly Click to continue… Tasks planning, authorizes UN operations Reports and gives recommendations Authorizes operational budget of a mission UN Agencies, Programmes and Funds as well as the UNCT and NGOs Click to continue… Member states willing to contribute troops and/or police to a UN operation Click to continue… Finally, the involvement of the main parties to the conflict is often essential in the political process preceding and accompanying the deployment a UN peacekeeping operation. Click to continue… UN Secretariat Department of Peacekeeping Operations (DPKO) Department of Field Support (DFS) Department of Political Affairs (DPA) Office for the Coordination of Humanitarian Affairs (OCHA) Department of Safety and Security (DSS) Conflict Party Other UN Entities & Offices (PBSO, DOCO, OHCHR, UNDG, ECHA) Central decision-making body Click to continue… SG requests TCCs & PCCs to contribute Agencies, Funds and Programmes coordinate with the Secretariat to ensure coherence

6 Start of the Integrated Mission Planning Process at Headquarters Level…

7 Stage 1 Strategic Planning It is the prerogative of the Security Council to determine when and where a United Nations field operation should be deployed. SECURITY COUNCIL 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 initiate assessments of a crisis situation and a possible UN involvement without prior consultation with the Security Council. Secretary-General Table of Contents

8 Stage 1 Strategic Planning SECURITY COUNCIL 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 initiate assessments of a crisis situation and a possible UN involvement without prior consultation with the Security Council. Secretary-General The aim of the Strategic Assessment is to outline possible objectives of a potential mission as well as alternative options and strategies for UN involvement. The Strategic Assessment should be undertaken by a DPKO-led Integrated Mission Task Force (IMTF) or DPA-led Integrated Task Force (ITF), depending on the country situation to be assessed. UN Secretariat In case of a crisis, the Secretary-General may task his Secretariat to develop a Strategic Assessment of the situation. Strategic Assessment Strategic Assessment Table of Contents

9 Stage 1 Strategic Planning ITFs/MTFs may also consider inviting external actors such as the host government(s), NGOs, external experts & academics, NGOs and civil society organizations, and TCCs/PCCs for consultations. The IMTF/ITF is the formal headquarters-based planning and coordinating body at strategic level. It is responsible for implementing the Integrated Mission Planning Process (IMPP) for the specific country and mission. UN Secretariat OCHADFS The aim of the Strategic Assessment is to outline possible objectives of a potential mission as well as alternative options and strategies for UN involvement. The Strategic Assessment is carried out by the ITF/IMTF which also writes its Terms of Reference, is responsible for potentially deploying an assessment team, and ensures follow-up to the assessment mission. Strategic Assessment The Integrated Mission Task Force (IMTF) or Integrated Task Force (ITF) consists of representatives of all relevant UN entities at headquarters level as well as of the UN Country Team and, possibly, World Bank and IMF. It is chaired by a senior representative from the lead department. The Strategic Assessment should be undertaken by a DPKO-led Integrated Mission Task Force (IMTF) or DPA-led Integrated Task Force (ITF), depending on the country situation to be assessed. DPADSS UN Country Team Strategic Assessment Member states supportive of a possible UN operation may assist the Secretariat, e.g. by providing field information. Member States External Actors Table of Contents IMTF/ITF Note: Normally, a DPA-led ITF conducts a Strategic Assessment if there is no political or peacekeeping mission on the ground. Once a mission is up and running, an ITF or IMTF could call for a Strategic Assessment if, for instance, there are drastic changes in the situation and/or if the UN’s strategic vision in a given country needs to be reformulated. Due to time pressures or other considerations, comprehensive Strategic Assessments involving all relevant actors within the UN system have so far only been conducted a few times, for example on Somalia and Burundi as well as a field-based one on South Sudan. Note: Normally, a DPA-led ITF conducts a Strategic Assessment if there is no political or peacekeeping mission on the ground. Once a mission is up and running, an ITF or IMTF could call for a Strategic Assessment if, for instance, there are drastic changes in the situation and/or if the UN’s strategic vision in a given country needs to be reformulated. Due to time pressures or other considerations, comprehensive Strategic Assessments involving all relevant actors within the UN system have so far only been conducted a few times, for example on Somalia and Burundi as well as a field-based one on South Sudan. UN Agencies and Funds (UNDP, UNHCR, WFP…) UN Agencies and Funds (UNDP, UNHCR, WFP…) World Bank and IMF UN Field Presence DPKO Other UN Offices (PBSO, DOCO, OHCHR)

10 Stage 1 Strategic Planning 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 Strategic Assessment may or may not lead to the fielding of a multi-dimensional peace operation. Member states supportive of a possible UN operation may assist the Secretariat, e.g. by providing field information. Member States If a Peacekeeping Operation is deemed a suitable option for UN engagement, DPKO will be designated as the lead for operational planning. Strategic Assessment IMTF/ITF SECURITY COUNCIL DPKO DPA Directive Planning Secretary-General Strategic Assessment The Strategic Assessment is carried out by the ITF/IMTF which also writes its Terms of Reference, is responsible for potentially deploying an assessment team, and ensures follow-up to the assessment mission. The SG may also seek consultations with the Security Council on the possible options of UN involvement. The UNSC may at this point already issue a formal statement or pass a resolution. Table of Contents However, the Secretary- General might also conclude, for example, that a DPA-led Special Political Mission would be more appropriate. The IMFT/ITF presents the Strategic Assessment to the Secretary-General and his Policy Committee. According to the IMPP Guidelines, the Secretary- General, in consultation with the IMTF/ITF, issues a Planning Directive as the basis for operational planning, setting out the strategic objectives, the proposed form and scope of a field operation. In practice, however, a decision by the Policy Committee often replaces such a Planning Directive. Note: From this point, this presentation focuses on DPKO-led Peacekeeping Operations. However, many planning steps for DPA-led Special Political Missions are similar. Note: From this point, this presentation focuses on DPKO-led Peacekeeping Operations. However, many planning steps for DPA-led Special Political Missions are similar.

11 Stage 2 Operational Planning UN Country Team UN Agencies and Funds (UNDP, UNHCR, WFP…) UN Agencies and Funds (UNDP, UNHCR, WFP…) Directive Planning IMTF DPA Based on the SG’s Planning Directive on the establishment of a peacekeeping mission, DPKO (as lead department) and DFS commence planning in consultation with the Integrated Mission Task Force. DSS Following an initial risk and threat assessment by the Department of Safety and Security (DSS) and DPKO’s Office of Military Affairs (OMA), the IMTF members deploy on a DPKO-led joint Technical Assessment Mission (TAM) to evaluate the situation in the field. OCHA Report TAM DPKODFS The Under-Secretary-General of DPKO issues a a related operational planning directive which includes a situation analysis, planning assumptions, strategic objectives, a risk assessment, functions and responsibilities of the IMTF. The TAM Report is collated by the lead department based on the respective inputs of IMTF members.The TAM’s findings provide the basis for further planning and for a Report of the Secretary-General to the Security Council. Based on the TAM’s findings, DPKO and DFS commence work on draft Concepts of Operation (CONOPS) for each prospective component of the mission (military, police, justice & corrections, logistical support). Note: TAMs undertaken prior to a mission’s deployment focus on the strategic and operational aspects of planning, including specific requirements for missions and UNCTs implementing the principles of integration. TAMs for mission start up also focus on mapping current UN capacities which is essential for mandate and budget planning. A TAM in support of mission start up is generally initiated following a Security Council resolution, a letter from the President of the Security Council, or a decision by the Secretary-General, the Policy Committee, or the Executive Committee on Peace and Security (ECPS) to commence planning for a new UN field mission. Furthermore, TAMs may take place at various stages of a mission’s cycle, including start up, mandate review, mid-cycle review; restructuring, and/or draw-down. Note: TAMs undertaken prior to a mission’s deployment focus on the strategic and operational aspects of planning, including specific requirements for missions and UNCTs implementing the principles of integration. TAMs for mission start up also focus on mapping current UN capacities which is essential for mandate and budget planning. A TAM in support of mission start up is generally initiated following a Security Council resolution, a letter from the President of the Security Council, or a decision by the Secretary-General, the Policy Committee, or the Executive Committee on Peace and Security (ECPS) to commence planning for a new UN field mission. Furthermore, TAMs may take place at various stages of a mission’s cycle, including start up, mandate review, mid-cycle review; restructuring, and/or draw-down. Table of Contents Technical Assessment Mission (TAM) Other UN Offices (PBSO, DOCO, OHCHR)

12 Stage 2 Operational Planning Policy, Evaluation & Training Division USG Office of OperationsOffice of Military Affairs Office of Rule of Law & Security Institutions Within DPKO The preliminary planning results are forwarded to the USG for approval. The regional division in charge commences work on an overall Mission Concept in consultation with the IMTF. As the coordinating office for operational planning, the OO leads consultations with key partners through the IMTF. Initiation of recruitment planning for mission leadership & civilian staff (jointly with Department of Field Support). The Operational Estimate is refined, based on likely availability of troops and logistics and on a thorough options analysis. Meanwhile, informal talks with potential Police Contributing Countries (PCCs). Close cooperation with partners in planning RoL projects (e.g. DDR and SSR programs) in the country, such as UNDP, DPA, UNICEF, etc. simultaneous planning steps DPKO DFS Meanwhile, informal talks with potential Troop Contributing Countries (TCCs) to estimate potential force availability. Development of an Operational Estimate as the basis for a draft mili- tary CONOPS, incl. a 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. Table of Contents Drawing on lessons learned from other missions, the Policy Planning, Evaluation and Training Division contributes to the planning process. Development of Concepts of Operations (CONOPS)

13 Stage 2 Operational Planning Office of Military Affairs CONOPS USG Office of Operations Office of Rule of Law & Security Institutions Within DPKO The preliminary planning results are forwarded to the USG for approval. DPKO simultaneous planning steps DFS Within DFS Field Budget and Finance Division Field Personnel Division Recruitment of mission leadership (SRSG, Force Commander, Police Commissioner, etc) is initiated, together with DPKO through the joint Senior Leadership Appointments Section. DFS begins to develop cost estimates as the basis for a Results- Based Budget (RBB) for the mission in cooperation with DPKO. Logistics Support Division Initiation of logistics and transport planning. The combined Concepts of Operations as well as cost estimates and other preliminary planning results are presented to the IMTF. Table of Contents IMTF Policy, Evaluation & Training Division Development of Concepts of Operations (CONOPS)

14 Stage 2 Operational Planning ACABQ DPKO DFS CONOPS CA Based on DFS’s cost estimates, the IMTF issues a request for a pre-mandate Commitment Authority (CA) for essential start-up funding through the Peacekeeping Reserve Fund. To activate a CA, the written consent of the Security Council President is required. The request is reviewed by the Controller and then forwarded to ACABQ. Commitments may usually not exceed $50 million per decision of the Security Council. A CA allows for the financing of essential pre-mandate tasks necessary to set up the mission, such as  Fielding of Technical Assessment Missions (TAMs);  The recruitment of core personnel and the deployment of an advance team;  The establishment of a mission HQ;  The initiation of procurement with a long lead time, and shipments and airlifts of strategic deployment stocks (SDS). IMTF Table of Contents Pre-Mandate Commitment Authority (CA)

15 Stage 2 Operational Planning Report SG RESOLUTION Secretary-General This Report of the Secretary- General builds on the findings of the Technical Assessment Mission (TAM) and on the different draft CONOPS, and usually presents an analysis of strategic options. SECURITY COUNCIL GA 5th Committee ACABQ The Security Council passes a resolution which authorizes the operation’s deployment and determines its size and mandate. Mandate Preparation DPKO’s Office of Operations prepares a report to be presented by the SG to the Security Council. It consults closely with the IMTF and takes collective views of its members into consideration. DPKO 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. The budget and resources of the mission are then subject to approval by the 5th Committee of the General Assembly. Table of Contents

16 Stage 3 Deployment Phase RESOLUTION DPKO CONOPS …DPKO revises the component Concepts of Operations, In the process, DPKO closely consults with the IMTF. Based on the provisions set forth in the Security Council Resolution and the budgetary guidelines given by the GA 5 th Committee and ACABQ… At this point, the overall lead begins to shift over to the SRSG as the Head of Mission. 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). Mission Concept After the mission is mandated and a Special Representative of the Secretary-General (SRSG) is selected, IMTF under the leadership of the lead department may produce a directive of the Secretary-General to the SRSG, providing political and operational strategic guidance. IMTF SG’s Directive Table of Contents Mission Concept SRSG The SRSG and his field team are in the lead to work out the overall Mission Concept, in close coordination and collaboration with IMTF members and the Security Council.

17 Stage 3 Deployment Phase Meanwhile, several final planning steps are again conducted concurrently at UN HQ. Deployment Preparation Office of OperationsOffice of Military Affairs Office of Rule of Law & Security Institutions Operational planning in DPKO Administrative and logistics planning in DFS Field Budget and Finance Division Field Personnel Division Logistics Support Division Recruitment of staff and transfer to the mission. Deployment preparations, e.g. contracting transport, transferring mission assets, final movement planning, organizing logistics and supply on the ground. Rules of Engagement (RoE) and further guidelines are drafted. 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. The OO coordinates and leads the final deployment preparations and ensures compliance with political guidelines. simultaneous planning steps IMTF Based on instructions by the Controller, the mission’s Results- based Budget (RBB) is refined and forwarded to the Controller for review before being presented to ACABQ/5 th Committee for final approval. DFS Table of Contents DPKO The IMTF is consulted on budget, structure and staffing of the mission to avoid duplications with existing programmes and to ensure that complementary funding and staff are available in the UN Country Team. Ensures a coordinated approach with UNDP and other actors engaged in security sector matters.

18 Stage 3 Deployment Phase Deployment of the Peacekeeping Operation:  once deployed, the authority in the field lies with the SRSG and his/her senior leadership team;  the SRSG reports to the SG through the USG of the lead department;  UN Headquarters provides political and strategic guidance and operational support. Deployment of the Peacekeeping Operation:  once deployed, the authority in the field lies with the SRSG and his/her senior leadership team;  the SRSG reports to the SG through the USG of the lead department;  UN Headquarters provides political and strategic guidance and operational support. 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. 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. SOFA SOMA Office of Legal Affairs Host Country 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. These documents serve as the legal basis for the mission’s relations 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. Table of Contents Note: It should be noted that an SRSG-led mission represents only one strand in the UN’s multi- dimensional response to a crisis. Parallel to the planning and deployment of a field mission, further humanitarian and development interventions are usually planned and executed. Note: It should be noted that an SRSG-led mission represents only one strand in the UN’s multi- dimensional response to a crisis. Parallel to the planning and deployment of a field mission, further humanitarian and development interventions are usually planned and executed.

19 Integrated Mission Planning at Field Level…

20 Stage 4 Field-based Planning The Strategic Policy Group is complemented by a planning body at technical level which may also serve as a shared analytical capacity, though this function may also be covered by a stand- alone body. Each UN field presence should have standing coordination bodies that bring together Mission and UNCT. Once a mission becomes fully operational, integrated planning efforts shift to the field… UN Country Team SRSG Integrated Strategy And Planning Team/ Joint Planning Unit Field Mission (DSRSG) RC/HC UN field presences may opt for a structurally integrated Strategy and Planning Team… …though this is not a requirement. Instead, a ‘looser’ Joint Planning Unit or another format may also be established, comprising planning officers from the mission and the country team. At principals’ level, strategic direction is provided by a Strategic Policy Group chaired by the SRSG and usually comprising DSRSG- RC/HC and heads of key mission components and UN agencies. Thematic Working Groups Depending on the size of the UN field presence, the SPG may be aided by standing or ad hoc thematic working groups. Strategic Policy Group Table of Contents

21 Stage 4 Field-based Planning ISF Integrated Strategic Framework (ISF) Strategic Policy Group An ISF builds on possibly already existing planning frameworks (RBB, UNDAF, CAP). It contains An updated conflict analysis; A vision statement; Strategic objectives and intended results, timelines, responsibilities; coordination and implementation arrangements; And provisions on monitoring and reporting. The agreed timeframe for an ISF varies based on the situation in the host country. NGOs Host Country Though the ISF is a UN- internal document, national stakeholders and non-UN partners are usually consulted throughout the ISF process. In order to bring together the Mission and the UNCT’s combined mandates and resources under an overarching strategy for the UN’s role in peace consolidation and to ensure system-wide coherence, the Strategic Policy Group tasks the ISPT or JPU to produce an Integrated Strategic Framework (ISF) in continued dialogue with the IMTF at headquarters. Following endorsement by the SPG, the SRSG and the RC/HC present the document for discussion and endorsement at the HQ- based IMTF/ITF. The USG of the lead department also signs off on the ISF. Table of Contents Integrated Strategy And Planning Team/ Joint Planning Unit An ISF is the key vehicle for UN partners in the field to agree on 1.A shared vision of the UN’s strategic objectives; 2.A set of agreed results, timelines, and responsibilities for the delivery of tasks critical to consolidating peace; 3.And mechanisms for monitoring and evaluation. IMTF

22 UNFICYP Current DPKO-led Field Operations (as of October 2011) * special political mission, directed and supported by DPKO UNMIK UNIFIL UNDOF UNTSO MINUSTAH UNOCI UNMIL MINURSO UNAMA* UNMOGIP UNAMID UNMIT UNMISS MONUSCO The number indicates the year of authorization by the Security Council. Clicking on the tag will lead you to the mission’s website. UNISFA 2011-

23 Ludwigkirchplatz Berlin Germany Phone ++49 (0)30 – – 0 Fax ++49 (0)30 – – 90

24 Information Click to return… 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 a cease-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

25 Information Click to return… 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/Eskinder Debebe ACABQ in session UN Photo/Paulo Filgueiras General Assembly in session

26 Information Click to return… Established 1992, currently led by Under-Secretary-General Hervé Ladsous 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;Department of Field Support  Support of other peace and security operations that are predominantly civilian (political missions). DPKO website Security Sector Reform (SSR) Unit Department of Peacekeeping Operations (DPKO) Office of the Under- Secretary-General Office of OperationsOffice of Military Affairs Office of Rule of Law & Security Institutions Africa I Division Africa II Division Asia & Middle East Division Europe & Latin America Division Current Military Operations Service Military Planning Service Force Generation Service Police Division Criminal Law & Judicial Advisory Service DDR Section Mine Action Service Organizational chart USG Ladsous Office of the Chief of Staff Executive Office Situation Centre Public Affairs Section Peacekeeping Information Management Unit Focal Point for Security Senior Leadership Appointments Section Audit Response & Boards of Inquiry Section Conduct & Discipline Unit Policy, Evaluation and Training Division Peacekeeping Best Practices Section Integrated Training Service Integrated & shared capacities DPKO - DFS UN Photo

27 Information Click to return… Department of Political Affairs (DPA) Established 1992 as the UN focal point for conflict prevention, peacemaking, and peace building, 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. DPA website USG Pascoe UN Photo Organizational chart Assistant Secretary- General Assistant Secretary- General Policy and Mediation Division Africa I Division Africa II Division Counter-Terrorism Implementation Task Force Americas Division Asia and the Pacific Division Office of the Under- Secretary-General Under- Secretary-General Executive Office Electoral Assistance Division Security Council Affairs Division Europe Division Middle East & West Asia Division Division for Palestinian Rights Decolonization Unit Security Council Secretariat Branch Security Council Subsidiary Organs Branch Security Council Practices & Charter Research Branch

28 Information Click to return… Organizational chart Integrated & shared capacities DPKO - DFS Department of Field Support (DFS) Established 2007, led by Under-Secretary-General Susana Malcorra Mandate: Support UN field 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 and ensuring appropriate funding. Field Personnel Division Field Budget and Finance Division Logistics Support Division Field Personnel Operations Service Field Personnel Specialist Support Service Information & Communications Technology Division Budget and Performance Reporting Service MOU and Claims Management Section Operational Support Service Specialist Support Service Transportation and Movement Service Field Communications & IT Operations Service Field Technology & Security Section UN Photo/WFP USG Malcorra United Nations Logistics Base (UNLB) Office of the Chief of Staff Executive Office Situation Centre Public Affairs Section Peacekeeping Information Management Unit Focal Point for Security Senior Leadership Appointments Section Audit Response & Boards of Inquiry Section Conduct & Discipline Unit Policy, Evaluation and Training Division Peacekeeping Best Practices Section Integrated Training Service Office of the Assistant- Secretary-General Field Procurement & Liaison Team Office of the Under- Secretary-General

29 Information Click to return… Office for the Coordination of Humanitarian Affairs (OCHA) Established 1998, led since September 2010 by UN Emergency Relief Coordinator (ERC, with USG status) Valerie Amos 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 ERC Amos UN Photo

30 Information Click to return… DSS is headed since May 2009 by Under-Secretary-General Gregory B. Starr. 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 Department of Safety and Security (DSS) USG Starr UN Photo Organizational chart Division of Headquarters Security & Safety Services (DHSSS) Division of Regional Operations (DRO) Field Support Service (FSS) UN HQ Security and Safety Services SSS Offices away From HQ Regional Desks Training & Development Section Under- Secretary-General Executive Office Protection Coordination Unit Regional Commissions Peacekeeping Operations Support Service Critical Incident Stress Management Section Threat and Risk Unit Information Management Section International Criminal Tribunals Deputy to the USG Policy Planning & Coordination Unit Compliance, Investigations & Monitoring Section Communications Centre Crisis Management Operations & Support Unit

31 Information Click to return… Involvement of other UN Entities and Offices  Depending on the specific situation in a given country, the Peace Building Support Office (PBSO), the Office of the High Commissioner for Human Rights (OHCHR), the Development Operations Coordination Office (DOCO), as well as the UN Development Group (UNDG) and the Executive Committee on Humanitarian Affairs (ECHA) are involved in the strategic mission planning at Headquarters level.  In HQ-based Integrated Task Forces (ITF, DPA-led) or Integrated Mission Task Forces (IMTF, DPKO-led), Development and humanitarian actors are represented by DOCO and OCHA, respectively. In addition to these two, four representatives from the UN Funds, Programmes, and Agencies may participate based on their involvement in the country in question (‘2+4 formula’).Integrated Task Forces (ITF, DPA-led) or Integrated Mission Task Forces (IMTF, DPKO-led),

32 Information Click to return… Integrated Mission Task Force (IMTF )/ Integrated Task Force (ITF)* *IMTFs are led by DPKO, ITFs are led by DPA IMTFs/ITFs are the principal Headquarters-based inter-departmental and inter-agency mechanism to “ensure coherent and consistent support and policy guidance” to UN presences applying the principles of integration and undertaking the IMPP both before and throughout the deployment of a field mission. They deal with all issues that have strategic significance or programmatic impact for the UN presence in the relevant country. IMTFs/ITF provide an important link between headquarters and the field, aiming to provide coordinated guidance and support to the leadership of the field mission, UN Secretariat departments, and the UNCT. The role of the IMTFs varies in intensity throughout the mission life cycle. A new IMTF may be triggered in a variety of ways, including through a decision by the Security Council or the Secretary-General to begin planning for a new field mission. The 2006 IMPP Guidelines foresee a linear progression from a DPA-led task force to carry-out the Strategic Assessment to a DPKO-led IMTF once planning for a peacekeeping mission is required. In addition, DPA is leading task forces for the start up of a Special Political Mission or a similar field presence (although this was not mentioned in the 2006 IMPP Guidelines).


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