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Core Pre-deployment Training Materials

I N C O L L A B O R AT I O N W I T H AU T H O R S F R O M :

Australian Defence Force Peace Operations Training Centre;


Chilean Joint Peacekeeping Operations Centre; German Armed Forces UN
Training Centre; Kofi Annan International Peacekeeping Training Centre,
Ghana; and the Swedish Armed Forces International Training Centre
P R O J EC T C O O R D I N ATO R

Colonel (R) yvind Dammen, Dammen Consultants Norway


S E R I E S E D I TO R

Harvey J. Langholtz, Ph.D.

ADF-POTC

CECOPAC

GEUNTC

KAIPTC

SWEDINT

Peace Operations Training Institute

Core Pre-deployment Training Materials

I N C O L L A B O R AT I O N W I T H AU T H O R S F R O M :

Australian Defence Force Peace Operations Training Centre;


Chilean Joint Peacekeeping Operations Centre; German Armed Forces UN
Training Centre; Kofi Annan International Peacekeeping Training Centre,
Ghana; and the Swedish Armed Forces International Training Centre
P R O J EC T C O O R D I N ATO R

Colonel (R) yvind Dammen, Dammen Consultants Norway


S E R I E S E D I TO R

Harvey J. Langholtz, Ph.D.

ADF-POTC

CECOPAC

GEUNTC

KAIPTC

SWEDINT

Peace Operations Training Institute

The material from the Core Pre-Deployment Training Materials (1st Ed. 2009) for this course was provided by the following national peacekeeping training centres with permission:
Australian Defence Force Peace Operations Training Centre; Chilean Joint Peacekeeping Operations Centre; German
Armed Forces UN Training Centre; Kofi Annan International Peacekeeping Training Centre, Ghana; and the Swedish
Armed Forces International Training Centre.
Peace Operations Training Institute
1309 Jamestown Road, Suite 202
Williamsburg, VA 23185 USA
www.peaceopstraining.org
First edition: March 2014
Cover: UN Photo # 534897 by Bernadino Soares
The material contained herein does not necessarily reflect the views of the Peace Operations Training Institute (POTI), the
Course Author(s), or any United Nations organs or affiliated organizations. The Peace Operations Training Institute is an
international not-for-profit NGO registered as a 501(c)(3) with the Internal Revenue Service of the United States of America.
The Peace Operations Training Institute is a separate legal entity from the United Nations. Although every effort has been
made to verify the contents of this course, the Peace Operations Training Institute and the Course Author(s) disclaim any and
all responsibility for facts and opinions contained in the text, which have been assimilated largely from open media and other
independent sources. This course was written to be a pedagogical and teaching document, consistent with existing UN policy
and doctrine, but this course does not establish or promulgate doctrine. Only officially vetted and approved UN documents may
establish or promulgate UN policy or doctrine. Information with diametrically opposing views is sometimes provided on given
topics, in order to stimulate scholarly interest, and is in keeping with the norms of pure and free academic pursuit.

Core Pre-deployment Training Materials

FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
METHOD OF STUDY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

UNIT I:
A STRATEGIC LEVEL OVERVIEW OF
UNITED NATIONS PEACEKEEPING
PART 1: THE ROLE OF UN PEACEKEEPING. . . . . . . . . . . . . . . . . . . . 15
LESSON 1: INTRODUCTION TO UN PEACEKEEPING. . . . . . . . . . . . . 18
1.1: The Purpose of the United Nations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.2: The Main United Nations Bodies Involved in Peacekeeping . . . . . . . . . . . . . 20
1.3: Secretariat Departments Directly Working with PKOs. . . . . . . . . . . . . . . . . . 24
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

LESSON 2: THE SPECTRUM OF PEACE AND SECURITY ACTIVITIES .30


2.1: Conflict Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.2: Peacemaking. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3: Peace Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.4: Peacekeeping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.5: Peacebuilding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

LESSON 3: DIFFERENT TYPES OF UN PEACEKEEPING


OPERATIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
3.1: Traditional Peacekeeping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

3.2: Multidimensional Peacekeeping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42


3.3: Transitional Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
3.4: Special Political Missions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

PART 2: FUNDAMENTAL PRINCIPLES OF UN PEACEKEEPING . . . . 47


LESSON 4: FUNDAMENTAL PRINCIPLES. . . . . . . . . . . . . . . . . . . . . . . 50
4.1: Consent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
4.2: Impartiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
4.3: Non-use of Force. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

LESSON 5: OTHER SUCCESS FACTORS. . . . . . . . . . . . . . . . . . . . . . . 58


5.1: Credibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
5.2: Legitimacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
5.3: Promotion of National and Local Ownership . . . . . . . . . . . . . . . . . . . . . . . . . 61
5.4: The Essential Qualities of a Peacekeeper. . . . . . . . . . . . . . . . . . . . . . . . . . . 63
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

UNIT II:
THE ESTABLISHMENT AND FUNCTIONING
OF UN PEACEKEEPING OPERATIONS

PART 1: ESTABLISHMENT AND OPERATIONALIZATION OF SECURITY


COUNCIL MANDATES IN PEACEKEEPING OPERATIONS . . . . . . . . . 67
LESSON 1: THE MANDATE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
1.1: The Security Council Mandate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
1.2: The Decision to Deploy a UN Peacekeeping Operation. . . . . . . . . . . . . . . . . 74
1.3: The Process for the Establishment and Operationalization
of Security Council Mandates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

LESSON 2: IMPLEMENTATION OF THE MANDATE, TRANSITION,


AND WITHDRAWAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
2.1: Implementing the Mandate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
2.2: Transition and Withdrawal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

2.3: Benchmarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

LESSON 3: TRANSLATING SECURITY COUNCIL MANDATES INTO


AN OPERATIONAL FRAMEWORK. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
3.1: Key Aspects of the Operational Framework. . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.2: Key Operational Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.3: Additional Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96

PART 2: HOW UNITED NATIONS PEACEKEEPING


OPERATIONS FUNCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
LESSON 4: COMPONENTS OF A UN PEACEKEEPING OPERATION.102
4.1: Substantive and Support Components. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
4.2: Authority, Command, and Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
4.3: Management Structures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

LESSON 5: UNDERSTANDING THE IMPORTANT WORK


OF OTHER SUBSTANTIVE COMPONENTS. . . . . . . . . . . . . . . . . . . . . 112
5.1: The Military Component. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
5.2: The Police Component. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
5.3: The Civilian Component. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

UNIT III:
EFFECTIVE MANDATE IMPLEMENTATION

PART 1A: INTERNATIONAL LAW RELEVANT TO


PEACEKEEPING OPERATIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
LESSON 1: INTERNATIONAL HUMANITARIAN LAW. . . . . . . . . . . . . 126
1.1: Whom International Humanitarian Law Protects . . . . . . . . . . . . . . . . . . . . . 128
1.2: Essential Rules of International Humanitarian Law . . . . . . . . . . . . . . . . . . . 128
1.3: Who is Bound by International Humanitarian Law. . . . . . . . . . . . . . . . . . . . 130
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

LESSON 2: INTERNATIONAL HUMAN RIGHTS LAW. . . . . . . . . . . . . 136


2.1: Definition of Human Rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
2.2: Human Rights Most Frequently at Risk in Conflict
and Post-Conflict Situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
2.3: Application of International Human Rights Law . . . . . . . . . . . . . . . . . . . . . . 141
2.4: Refugee Law and Guiding Principles on Internally Displaced Persons. . . . 142
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

PART 1B: HUMAN RIGHTS PROTECTION


IN UN PEACEKEEPING OPERATIONS. . . . . . . . . . . . . . . . . . . . . . . . . 147
LESSON 3: THE HUMAN RIGHTS BASE LINE . . . . . . . . . . . . . . . . . . 150
3.1: Linkages Between Human Rights, Security, and Development. . . . . . . . . . 152
3.2: UN Policy on Human Rights in Integrated Missions. . . . . . . . . . . . . . . . . . . 152
3.3: Applying Human Rights in Peacekeeping. . . . . . . . . . . . . . . . . . . . . . . . . . 154
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157

LESSON 4: HUMAN RIGHTS IN UN PEACEKEEPING OPERATIONS.160


4.1: What Peacekeeping Personnel Can Do. . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
4.2: Human Rights Roles in the Context of Peacekeeping Operations. . . . . . . . 162
4.3: Other Mission Components Contributing to Human Rights. . . . . . . . . . . . . 163
4.4: UN Police and Human Rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
4.5: Military Peacekeepers and Human Rights. . . . . . . . . . . . . . . . . . . . . . . . . . 167
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169

PART 1C: WOMEN, PEACE, AND SECURITY:


THE ROLE OF UN PEACEKEEPING OPERATIONS . . . . . . . . . . . . . . 171
LESSON 5: THE ROLES OF MEN AND WOMEN. . . . . . . . . . . . . . . . . 174
5.1: Exploring the Roles of Men and Women . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
5.2: The Impact of Conflict on Men and Women. . . . . . . . . . . . . . . . . . . . . . . . . 177
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

LESSON 6: WHAT PEACEKEEPING PERSONNEL CAN DO. . . . . . . 184


6.1: Changes in Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
6.2: Reintegration of Combatants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
6.3: Displacement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
6.4: Violence Against Civilians and Sexual Violence. . . . . . . . . . . . . . . . . . . . . . 188

6.5: Collapse of Law and Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188


6.6: Collapse of Public Services and Infrastructure. . . . . . . . . . . . . . . . . . . . . . . 189
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

PART 1D: PROTECTION OF CHILDREN:


THE ROLE OF UN PEACEKEEPING OPERATIONS . . . . . . . . . . . . . . 193
LESSON 7: PROTECTION OF CHILDREN. . . . . . . . . . . . . . . . . . . . . . 196
7.1: All Children Have Human Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
7.2: The Protection of Children Under International Human Rights Law. . . . . . . 198
7.3: The Impact of Conflict on Children. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
7.4: Child Soldiers in Armed Conflict. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
7.5: What Peacekeeping Personnel Can Do. . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203

PART 2: WORKING WITH MISSION PARTNERS. . . . . . . . . . . . . . . . . 205


LESSON 8: THE INTEGRATED APPROACH
IN MULTIDIMENSIONAL PEACEKEEPING . . . . . . . . . . . . . . . . . . . . . 208
8.1: Mission Partners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
8.2: Benefits of Cooperation with the UN Country Team. . . . . . . . . . . . . . . . . . . 209
8.3: The Integrated Approach and Multidimensional Peacekeeping Operations.210
8.4: National Partners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

LESSON 9: HUMANITARIAN COOPERATION. . . . . . . . . . . . . . . . . . . 218


9.1: International and Regional Non-UN Partners. . . . . . . . . . . . . . . . . . . . . . . . 219
9.2: Collaboration with the Humanitarian Community. . . . . . . . . . . . . . . . . . . . . 220
9.3: What Peacekeeping Personnel Can Do. . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226

UNIT IV:
STANDARDS, VALUES, AND SAFETY OF
UN PEACEKEEPING PERSONNEL

PART 1: CONDUCT AND DISCIPLINE . . . . . . . . . . . . . . . . . . . . . . . . . 229


LESSON 1: INTRODUCTION TO CONDUCT AND DISCIPLINE . . . . . 232
1.1: Standards of Conduct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233

1.2: Definitions of Misconduct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233


1.3: Reporting Misconduct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
1.4: Leadership and Accountability on Conduct . . . . . . . . . . . . . . . . . . . . . . . . . 237
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239

LESSON 2: SEXUAL EXPLOITATION AND ABUSE (SEA) . . . . . . . . . 242


2.1: Definitions of Sexual Exploitation and Abuse (SEA) . . . . . . . . . . . . . . . . . . 243
2.2: Uniform Standards on SEA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
2.3: Examples and Misconduct Scenarios. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

LESSON 3: THE CONSEQUENCES OF MISCONDUCT . . . . . . . . . . . 250


3.1: Consequences of Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
3.2: Measures and Mechanisms to Address Misconduct . . . . . . . . . . . . . . . . . . 252
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

PART 2: HIV/AIDS AND UN PEACEKEEPING OPERATIONS. . . . . . . 257


LESSON 4: AWARENESS AND PREVENTION OF HIV/AIDS . . . . . . . 260
4.1: Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
4.2: How HIV/AIDS is Spread. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
4.3: Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265

PART 3: RESPECT FOR DIVERSITY . . . . . . . . . . . . . . . . . . . . . . . . . . 267


LESSON 5: INTRODUCTION TO RESPECT FOR DIVERSITY . . . . . . 270
5.1: What is Diversity?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
5.2: UN Core Values on Respect for Diversity. . . . . . . . . . . . . . . . . . . . . . . . . . . 273
5.3: Common Differences and Practicing Respect. . . . . . . . . . . . . . . . . . . . . . . 273
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276

PART 4: SECURITY AND SAFETY


IN UN PEACEKEEPING OPERATIONS. . . . . . . . . . . . . . . . . . . . . . . . . 279
LESSON 6: SECURITY MANAGEMENT. . . . . . . . . . . . . . . . . . . . . . . . 282
6.1: Legal Basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
6.2: Peacekeeping Security Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284

6.3: The Security Level System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287


6.4: Role of Military and Civilian Police. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290

LESSON 7: SAFETY MANAGEMENT. . . . . . . . . . . . . . . . . . . . . . . . . . 294


7.1: Key Aspects of Safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.2: Road Safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.3: DPKO Safety Council. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299

LESSON 8: HEALTH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302


8.1: Personal Hygiene and Food Hygiene. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
8.2: Access to Health Information Prior to Deployment. . . . . . . . . . . . . . . . . . . . 304
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305

LESSON 9: FIRST AID. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308


9.1: Safety Fundamentals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
9.2: Basis for Successful First Aid. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310
9.3: Sustainment Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314

LESSON 10: STRESS MANAGEMENT. . . . . . . . . . . . . . . . . . . . . . . . . 316


10.1: What is Stress and Stress Management? . . . . . . . . . . . . . . . . . . . . . . . . . 317
10.2: Types of Stress. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
10.3: Preparing for Stress. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
End-of-Lesson Quiz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323

APPENDICES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix A: Table of Acronyms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
Appendix B: List of UN Peacekeeping Operations . . . . . . . . . . . . . . . . . . . . . . . 326
Appendix C: We Are United Nations Peacekeepers. . . . . . . . . . . . . . . . . . . . . . 329
Appendix D: Secretary-Generals Bulletin on Sexual Exploitation and Abuse. . . 331
Appendix E: Security Council Resolution 1539 (2004). . . . . . . . . . . . . . . . . . . . 334
Appendix F: The Universal Declaration of Human Rights. . . . . . . . . . . . . . . . . . 339
End-of-Course Exam Instructions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345

Foreword
The Core Pre-deployment Training Materials (CPTMs) were designed by the UN Department of
Peacekeeping Operations (DPKO) to provide the common and essential training required for all personnel military, police, and civilian who serve on UN peacekeeping missions. The CPTMs are circulated by DPKO and provide both a list of topics as well as actual training materials usable as lesson
plans. National peacekeeping training centres worldwide incorporate the CPTMs into their classroom
courses as an important part of their students training prior to their deployment on any UN peacekeeping mission.
While training in the CPTMs is currently available through traditional classroom course settings, the
development of an e-learning course devoted to the CPTMs had not yet been produced until now
through this project. This course was developed as a guide to students navigating the official CPTMs through a joint project between the Peace Operations Training Institute (POTI) and five national
training centres from four continents around the world that provide peacekeepers to United Nations
peacekeeping missions. The course follows the original four-unit structure of the original CPTMs for
convenient cross-referencing. The information offered in the course represents the baseline level of
understanding and knowledge that the United Nations demands of any personnel who will serve in a
UN peacekeeping mission.
Key contributors to this course include authors from the Australian Defence Force Peace Operations
Training Centre (ADF-POTC), the Chilean Joint Peacekeeping Operations Centre (CECOPAC), Capt.
Volker Straubmeier from the German Armed Forces UN Training Centre (GEUNTC), Col. Edwin A.
Adjei and Col. Tom Ba-Taa-Banah from the Kofi Annan International Peacekeeping Training Centre
in Ghana (KAIPTC), and Mr. Ulf Jinnestrand from the Swedish Armed Forces International Centre
(SWEDINT). The manuscripts various components authored at these multiple centres were assembled by Dammen Consultants Norway (DCN) into a single comprehensive course.
This course is designed for those who find themselves in a position to enter a United Nations peace
operation, regardless of national origin or if they are military, police, or civilian. This course is also
well suited for individuals who are genuinely interested in United Nations peacekeeping operations.
I would like to take this opportunity to thank the five national training centres for supporting this project, and my special thanks goes to the authors from those centres for their professional contributions
and for the time they have set aside for this project.

yvind Dammen
Project Coordinator

12 |

P E A C E O P E R AT I O N S T R A I N I N G I N S T I T U T E

Method of Study
The following are suggestions for how to proceed with this course. Though the student may have alternate
approaches that are effective, the following hints have worked for many.
Before you begin actual studies, first browse
through the overall course material. Notice the
lesson outlines, which give you an idea of what
will be involved as you proceed.
The material should be logical and
straightforward. Instead of memorizing
individual details, strive to understand concepts
and overall perspectives in regard to the United
Nations system.
Set up guidelines regarding how you want to
schedule your time.
Study the lesson content and the learning
objectives. At the beginning of each lesson,
orient yourself to the main points. If you are able
to, read the material twice to ensure maximum
understanding and retention, and let time elapse
between readings.

When you finish a lesson, take the


End-of-Lesson Quiz. For any errors, return to
the corresponding lesson section and re-read it.
Before you go on, be aware of the discrepancy in
your understanding that led to the error.
After you complete all of the lessons, take time
to review the main points of each lesson. Then,
while the material is fresh in your mind, take the
End-of-Course Examination in one sitting.
Your exam will be scored, and if you achieve
a passing grade of 75 per cent or higher, you
will be awarded a Certificate of Completion. If
you score below 75 per cent, you will be given
one opportunity to take a second version of the
End-of-Course Examination.
One note about spelling is in order. This course
was written in English as it is used in the United
Kingdom.

Key features of your course classroom:


Access to all of your courses;
A secure testing environment in which to
complete your training;

Access to additional training resources, including


Multimedia course supplements;

The ability to download your Certificate of

Completion for any completed course; and

Student fora where you can communicate with


other students about any number of subjects.

Access your course classroom here:


http://www.peaceopstraining.org/users/user_login

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

| 13

UNIT I
A STRATEGIC LEVEL OVERVIEW OF
UNITED NATIONS PEACEKEEPING
Provided By Chilean Joint Peacekeeping Operations Center (CECOPAC):

PART 1: THE ROLE OF UN PEACEKEEPING


LESSON 1: INTRODUCTION TO UN PEACEKEEPING
1.1: The Purpose of the United Nations
1.2: The Main United Nations Bodies Involved in Peacekeeping
1.3: Secretariat Departments Directly Working with PKOs
Lesson 1 Quiz
LESSON 2: THE SPECTRUM OF PEACE AND SECURITY ACTIVITIES
2.1: Conflict Prevention
2.2: Peacemaking
2.3: Peace Enforcement
2.4: Peacekeeping
2.5: Peacebuilding
Lesson 2 Quiz
LESSON 3: DIFFERENT TYPES OF UN PEACEKEEPING OPERATIONS
3.1: Traditional Peacekeeping
3.2: Multidimensional Peacekeeping
3.3: Transitional Authority
3.4: Special Political Missions
Lesson 3 Quiz

LESSON 1
INTRODUCTION TO UN
PEACEKEEPING

LESSON
1

LESSON OBJECTIVES
1.1: The Purpose of the
United Nations
1.2: The Main United
Nations Bodies
Involved in
Peacekeeping
1.3: Secretariat
Departments Directly
Working with PKOs

By the end of Lesson 1, the student should be able to meet the following
objectives:

List and briefly discuss the main purposes of the United Nations;
List and briefly describe the main United Nations bodies involved in
peacekeeping; and

List and briefly describe the Secretariat Departments working directly in


PKOs.

Introduction
United Nations Peacekeeping Operations personnel are instantly
recognized around the world for their iconic headwear, earning them the
nickname of the Blue Helmets. Blue Helmets are ambassadors of the
United Nations, representing its principles and values. This lesson is
focused on defining those values and principles, as well as developing an
understanding of the strategic purposes that influence the UNs decisionmaking process. With many different UN agencies fulfilling distinct roles,
acting as one synchronized group may seem challenging. However, when
synchronicity is achieved, it produces a result that translates into effective
action in the field, supporting peacekeeping forces deployed on various
missions around the world. This lesson will introduce these various
agencies and the level of decision-making to which they belong.

1.1 The Purpose of the United Nations


The United Nations is an international organization
founded after World War II by 51 countries that
sought to create a commitment to international
peace and security, the development of friendly
relations among nations, and the promotion of
social progress, better living standards, and
universal human rights. The goal of its creation was
to establish a common language of understanding
among its Member States and to avoid the
sufferings of war. These values were enshrined in
the preamble of the UN Charter:
To save succeeding generations from the
scourge of war, which twice in our lifetime has
brought untold sorrow to mankind, and
To reaffirm faith in fundamental human rights, in
the dignity and worth of the human person, in the
equal rights of men and women and of nations
large and small, and
To establish conditions under which justice and
respect for the obligations arising from treaties
and other sources of international law can be
maintained, and
To promote social progress and better standards
of life in larger freedom.1
The Charter, signed on 26 June 1945 in San
Francisco at the conclusion of the United Nations
Conference on International Organization, is
the founding document of the United Nations.
It spells out the rights and responsibilities of all
Member States while offering guiding principles
for peace and security activities. The Charter
officially came into force 24 October 1945. Due to
its unique international character and the powers
vested in the Charter, the UN can take action on
a range of issues and provide a forum for all of its
sovereign Member States. These States express
their views through the General Assembly, the
Security Council, the Economic and Social Council,
and other bodies and committees that vote on
multilateral agreements.2
1 UN. Retrieved from website: <http://www.
un.org/en/documents/charter/preamble.shtml>.
2 UN at a Glance. (n.d.). Retrieved from http://

UN Headquarters iconic Secretariat building reflects the autumn sky.


(UN Photo #535067 by Rick Bajornas, 9 November 2012)

The United Nations describes itself as having two


distinctive characteristics:
1. The UN is a unique organization.
The work of the United Nations reaches every
corner of the globe. Although best known for
peacekeeping, peacebuilding, conflict prevention,
and humanitarian assistance, there are many
other ways the United Nations and its system
(specialized agencies, funds, and programmes)
affect our lives and make the world a better
place. The United Nations works on a broad
range of fundamental issues, from sustainable
development, environment and refugee protection,
disaster relief, counter-terrorism, disarmament
and non-proliferation, to promoting democracy,
human rights, governance, economic and social
development, international health, clearing
landmines and explosive remnants of war,
expanding food production, and more, in order to
achieve its goals and coordinate efforts for a safer
world for this and future generations.3
2. The UN is an impartial organization.
All States from all around the world are equal
members. The impartiality and universality of the
United Nations are key elements of its legitimacy.

www.un.org/en/aboutun/index.shtml.
3 Ibid. (n.d.). Retrieved from http://www.un.org/en/
aboutun/index.shtml

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It is important to keep in mind the difference


between impartiality and neutrality and how
these terms are used within the field by United
Nations and humanitarian actors. According to
the UN Core Pre-deployment Training Materials
(CPTM), impartiality as a principle of UN
peacekeeping means that the peacekeeping
operation deals with all parties to a conflict in
an unbiased and even-handed manner, and its
actions are focused on implementing its mandate
fairly. Humanitarian actors also use the terms
impartiality and neutrality; however their meaning
is somewhat different. For the International Red
Cross and Red Crescent Movement, impartiality
means being guided
solely by needs, making
no discrimination on
Three fundamental
the basis of nationality,
factors characteristics to
race, gender, class,
each UN mission:
or religious or political
beliefs, while neutrality
Impartiality: without favour or
means to take no sides
prejudice to any party.
in hostilities or engage,
any time, in controversies
Universality: inclusive,
of a political, racial,
applies to everyone.
religious, or ideological
nature.4 These concepts
Legitimacy: seen as credible
and further applications
and worthy of participation.
will be discussed again
and in more depth in Part
2 of Unit I.

1.2 The Main United Nations Bodies


Involved in Peacekeeping
This section will categorize the main UN bodies
that are involved in peacekeeping operations.
These different bodies connect and interact in
relation to whether they perform a strategic,
operational, or tactical role. When working for
UN peacekeeping, UN personnel shall use the
terminology as defined according to the Policy on
Authority, Command, and Control, although other
countries or institutions may use them differently:

Strategic: The high-level political decision

making and management of a UN peacekeeping

4 UN Peacekeeping PDT Standards, Core


Pre-deployment Training Materials, 1st ed. (2009).
Unit 1, Parts 1-2.

20 |

Main UN Bodies in Peacekeeping


General Assembly

Strategic

Security Council
Secretary-General
UN Secretariat
(DPKO, DFS, DPA)

Head of Mission

Operational

Mission Headquarters &


Leadership Team
Component Heads
Civilian Units

Tactical
Military Units

Police Units

Regional Offices
Graphic from the Core Pre-Deployment Training Materials, Unit 1: A Strategic
Level Overview of United Nations Peacekeeping, Page 14, The Main United
Nations Involved in Peacekeeping.

operation at UN Headquarters (HQ). These


decisions have the highest impact on the
organization and missions.

Operational: The field-based management of

a peacekeeping operation at the Mission HQ is


considered to be at the operational level.

Tactical: The management of military, police,

and civilian operations below the level of


Mission HQ, as well as the supervision of
individual personnel, is considered to be at the
tactical level. Subordinate commanders of the
different components and the civilian heads
at levels below the Mission HQ exercise this
management. This creates the framework for the
processes involved in the maintenance of peace.

At the strategic level, we find the General


Assembly, the Security Council, the SecretaryGeneral, and the UN Secretariat, among others.
The graphic above illustrates how the Head of
Mission acts as a link between the strategic level
and the operational level.
At the operational level, we find the Mission HQ
and the Leadership Team. The Component Heads
act within the overlapping area, translating the
operational orders into tactical ones.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Finally, the tactical level encompasses military,


police, and civilian units and the regional offices.
These are the units that fulfil their tasks on the
ground.
The General Assembly
Established in 1945 under the Charter of the
United Nations, the General Assembly is the chief
deliberation, policy-making, and representative
organ of the United Nations. Comprising
representatives of all the 193 Members of the
United Nations5, the Assembly meets in regular
session intensively from September to December
each year, and in special or emergency sessions
as required. It provides a unique forum for
multilateral discussion on the full spectrum of
international issues covered by the Charter. The
General Assembly also plays a significant role in
the process of standard-setting and the codification
of international law.
One could say this body represents a democracy
of the world because all countries maintain an
equal footing in the Assembly. All decisions are
made by majority. In all voting, each country has
one vote regardless of its size, economic power, or
any other consideration.
Functions and Powers of the General
Assembly
According to the Charter of the United Nations, the
General Assembly may:

Consider and make recommendations based


on the general principles of cooperation for
maintaining international peace and security,
including disarmament;

Vuk Jeremi, President of the General Assembly, addressing the sixtyseventh session of the General Assembly at its ninety-ninth and final
Plenary meeting. (UN Photo #560952 by Evan Schneider, 16 September
2013)

Discuss any question relating to international

peace and security and, except where a dispute


or situation is currently being discussed by the
Security Council, make recommendations on it;

Discuss, with the same exception above, and

make recommendations on any questions within


the scope of the Charter or affecting the powers
and functions of any organ of the United Nations;

Initiate studies and make recommendations to

promote international political cooperation, the


development and codification of international law,
the realization of human rights and fundamental
freedoms, and international collaboration in
the economic, social, humanitarian, cultural,
educational, and health fields;

Make recommendations for the peaceful

settlement of any situation that might impair


friendly relations among nations;

Receive and consider reports from the Security

Learn More about the United Nations


Additional information on the background and structure of the United Nations can be found in
the Charter of the United Nations, available online at www.un.org/en/documents/charter/index.
shtml, and from the short video titled The United Nations: Its Your World, available online at
<http://www.youtube.com/user/unitednations>.

5 As of 2013, there are 193 Member States.

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Council and other United Nations organs;

Consider and approve the United Nations budget


and establish the financial assessments of
Member States; and

Elect the non-permanent members of the

Security Council and the members of other


United Nations councils and organs and, on the
recommendation of the Security Council, appoint
the Secretary-General.

Each Member State in the Assembly has one vote.


Votes taken on designated important issues, such
as recommendations on peace and security or
the election of Security Council members, require
a two-thirds majority of Member States. A simple
majority decides other questions.
In recent years, a special effort has been made to
achieve consensus on issues, rather than deciding
by a formal vote, thus strengthening support for
the Assemblys decisions. The President, after
having consulted and reached agreement with
delegations, can propose that a resolution be
adopted without a vote.6
The UN Security Council
One of the main purposes of the United Nations
is to maintain peace and security, which is the
primary responsibility of the UN Security Council.
The Security Council may investigate and
recommend appropriate peaceful measures to
resolve disputes and prevent them from escalating.
In situations where the Security Council has
determined that there is a threat to international
peace and security, it may take more coercive
measures, which may or may not involve the use
of force. The legal basis for the Security Councils
power to investigate and take action is outlined in
Chapters VI and VII of the UN Charter.
The Security Council is one of the principal organs
of the United Nations. Its powers, outlined in the
United Nations Charter, include the establishment
of peacekeeping operations, the establishment of
international sanctions, and the authorization of

Security Council debates post-conflict peacebuilding.


(UN Photo #434295 by Evan Schneider, 16 April 2010)

military action. Its powers are exercised through


United Nations Security Council Resolutions.
The Security Council also has the power to work
with regional organizations or arrangements
to resolve disputes and maintain international
peace and security (under Chapter VIII of the UN
Charter) as long as those regional arrangements
are consistent with the purposes and principles of
the United Nations. Such cooperation is becoming
more and more common in peacekeeping.
Examples include the peacekeeping operation in
Darfur (UNAMID) and the cooperation between
NATO and the United Nations Assistance Mission
in Afghanistan (UNAMA).
There are 15 members of the Security Council, five
of whom are veto-wielding Permanent Members
(China, France, Russia, the United Kingdom, and
the United States). Ten are elected Non-Permanent
members with offset two-year terms. (For current
membership, see <www.un.org/en/sc/members/>).
Each of these Security Council members has one
vote. Nine out of 15 votes are required for decisions
to pass. If a veto-wielding Permanent Member of
the Security Council votes against a resolution, it
does not pass.

6 UN. (n.d.). Functions and Powers of the


General Assembly. Retrieved from website: <www.
un.org/ga/about/background.shtml>.

22 |

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Under the United Nations Charter, the functions


and powers of the Security Council are:

To maintain international peace and security in

accordance with the principles and purposes of


the United Nations;

To investigate any dispute or situation which


might lead to international friction;

To recommend methods of adjusting such


disputes or the terms of settlement;

To formulate plans for the establishment of a


system to regulate armaments;

To determine the existence of a threat to the

peace or act of aggression and to recommend


what action should be taken;

To call on Members to apply economic sanctions


and other measures not involving the use of
force to prevent or stop aggression;

To take military action against an aggressor;


To recommend the admission of new Members;
To exercise the trusteeship functions of the
United Nations in strategic areas; and

To recommend to the General Assembly the

appointment of the Secretary-General and,


together with the Assembly, to elect the Judges
of the International Court of Justice.7

When a complaint concerning a threat to peace


is brought before it, the Councils first action is
usually to recommend to the parties to try to reach
agreement by peaceful means. In some cases,
the Council itself undertakes investigation and
mediation. It may appoint special representatives
or request the Secretary-General to do so or to use
his good offices. It may set forth principles for a
peaceful settlement.
When a dispute leads to fighting, the Councils
first concern is to end conflict as soon as possible.
On many occasions, the Council has issued
ceasefire directives, which have been instrumental
in preventing wider hostilities. It also deploys UN
peacekeeping forces to help reduce tensions in
7 UN. (n.d.). Functions and Powers of the
Security Council. Retrieved from website: <www.
un.org/en/sc/about/functions.shtml>.

troubled areas, to keep opposing forces apart,


and to create conditions of calm in which peaceful
settlements may be sought. The Council may
decide on enforcement measures, economic
sanctions (such as trade embargoes), or collective
military action.
A Member State that the Security Council has
taken preventive or enforcement action against
may be suspended from exercising its rights and
privileges of membership by the General Assembly
on the recommendation of the Security Council.
A Member State that has persistently violated the
principles of the Charter may be expelled from the
United Nations by the Assembly on the Councils
recommendation.
The Presidency of the Council rotates monthly,
according to the English alphabetical listing of its
Member States.
The Secretary-General and UN Secretariat
The Secretary-General, appointed by the General
Assembly on the recommendation of the Security
Council for a five-year, renewable term, is a symbol
of United Nations ideals and a spokesman for the
interests of the worlds people, particularly the poor
and vulnerable. (For information about the current
appointed Secretary-General, see www.un.org/sg/.)
The role of the Secretary-General is as follows:
The Charter describes the Secretary-General as
chief administrative officer of the Organization,
who shall act in that capacity and perform such
other functions as are entrusted to him or her
by the Security Council, General Assembly,
Economic and Social Council and other United
Nations organs. The Charter also empowers
the Secretary-General to bring to the attention
of the Security Council any matter which in
his opinion may threaten the maintenance
of international peace and security. These
guidelines both define the powers of the office
and grant it considerable scope for action. The
Secretary-General would fail if he did not take
careful account of the concerns of Member
States, but he must also uphold the values and
moral authority of the United Nations, and speak
and act for peace, even at the risk, from time to

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time, of challenging or disagreeing with those


same Member States.

1.3 Secretariat Departments Directly


Working with PKOs

One of the most vital roles played by the


Secretary-General is the use of his good
offices steps taken both publicly and in private,
drawing upon his independence, impartiality and
integrity, to prevent international disputes from
arising, escalating or spreading.8

The Department of Peacekeeping Operations


(DPKO)

The Secretariat is the administrative arm of the


United Nations and is led by the SecretaryGeneral. The Secretariat is made up of a wide
variety of departments and offices that deal with
all aspects of the United Nations mandate. The
Secretariats international staff works in duty
stations around the world, carrying out the diverse
day-to-day work of the organization.
The duties carried out by the Secretariat are
as varied as the problems dealt with by the
United Nations. These range from administering
peacekeeping operations to mediating
international disputes, from surveying economic
and social trends to preparing studies on human
rights and sustainable development.9

Security Council
Secretary-General
UN Secretariat
USG DFS

USG DPKO

USG DPA

DFS

DPKO

DPA

Core Pre-Deployment Training Materials, Unit 1: A Strategic


Level Overview of United Nations Peacekeeping, Page 19,
The Department of Peacekeeping Operations (DPKO).

The Secretary-General gives responsibility for


the executive direction and administration of
all UN Peacekeeping Operations (PKOs) to the
Under-Secretary-General for Peacekeeping
Operations. This person is often referred to as
the USG DPKO. Through the Department of
Peacekeeping Operations in New York, the USG
DPKO does the following:

Directs and controls UN PKOs;


Develops policies and develops operational

guidelines based on Security Council resolutions


(e.g., mission mandates);

Prepares reports from the Secretary-General

to the Security Council on each peacekeeping


operation, including appropriate observations
and recommendations;

Advises the Secretary-General on all matters


related to the planning, establishment, and
conduct of UN PKOs;

Secretary-General Ban Ki-moon visits the offices of the Department of


Peacekeeping Operations (DPKO) and the Department of Field Support
(DFS). (UN Photo #460168 by Devra Berkowitz, 06 January 2011)

8 UN. (n.d.). The Role of the Secretary-General.


Retrieved from website: <www.un.org/sg/sg_role.
shtml>.
9 UN. (n.d.). Secretariat. Retrieved from
website: <www.un.org/en/mainbodies/secretariat/
index.shtml>.

24 |

Acts as a focal point between the Secretariat and


Member States who are looking for information
on any matters related to United Nations
peacekeeping mission; and

Is responsible and accountable to the Secretary-

General for ensuring that the requirements of the


United Nations security management system are
met by the DPKO-led field missions.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

For more information on DPKO, go to <http://www.


un.org/en/peacekeeping/about/dpko/>.

globe and to promote lasting peace in societies


emerging from wars.

The Department of Field Support (DFS)

The Department of Political Affairs plays a central


role in these efforts through monitoring and
assessing global political developments; advising
the UN Secretary-General on actions that could
advance the cause of peace; providing support
and guidance to UN peace envoys and political
missions in the field; and serving Member States
directly through electoral assistance and through
the support of DPA staff to the work of the Security
Council and other UN bodies.

Security Council
Secretary-General
UN Secretariat
USG DFS

USG DPKO

USG DPA

DFS

DPKO

DPA

Core Pre-Deployment Training Materials, Unit 1: A Strategic


Level Overview of United Nations Peacekeeping, Page 20,
The Department of Field Support (DFS).

On behalf of the Secretary-General, the


Under-Secretary-General for Field Support (USG
DFS) and the Department of Field Support are
responsible for delivering dedicated support to
UN field operations, including PKOs and special
political missions.
Specifically this includes personnel, finance,
procurement (purchasing), logistics,
communications, information technology, and other
administrative and general management issues.
For more information on DFS, go to <http://www.
un.org/en/peacekeeping/about/dfs/>.
The Department of Political Affairs (DPA)
Security Council
Secretary-General

In carrying out these and other core functions, DPA


contributes to UN efforts worldwide that span the
spectrum from conflict prevention to peacemaking
and post-conflict peacebuilding.
DPA also collaborates with UN PKOs in supporting
or conducting elections in post-conflict countries.
The Department of Political Affairs Electoral
Assistance Division also supports PKOs with needs
assessments, policy guidance, or deployment of
specialized personnel.
For example, in Cyprus, there is a peacekeeping
operation called the United Nations Peacekeeping
Force in Cyprus (UNFICYP) side by side with a
Special Adviser who handles the functions of the
Secretary-Generals good offices. Likewise, in the
Democratic Republic of the Congo (DRC), there
was a Special Envoy responsible for Eastern DRC
alongside the peacekeeping mission known as
the United Nations Organization Mission in the
Democratic Republic of Congo (MONUC).
For more information on DPA, go to <http://www.
un.org/wcm/content/site/undpa/>.

UN Secretariat
USG DFS

USG DPKO

USG DPA

DFS

DPKO

DPA

Core Pre-Deployment Training Materials, Unit 1: A Strategic Level Overview of United Nations Peacekeeping, Page
21, The Department of Political Affairs (DPA).

Through peacemaking, preventive diplomacy, and


a host of other means, the United Nations works
to prevent and resolve deadly conflicts around the

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Summary
In this lesson, we have examined the purpose
and main characteristics of UN; the main
bodies of this institution; the level at which each
is found, and the functions for which they are
responsible. Finally, we have also examined the
Departments of the Secretariat and the duties
that are directly involved in the work of PKOs.

26 |

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. According to the UN Charter, the UN is
dedicated to:

6. The General Assembly and


Secretary-General are at the _______ level.

A. Supporting fundamental human rights and


maintaining international peace and security.

A. Strategic

B. Promoting economic growth development.

C. Tactical

C. Leading the world as a supra-state


organization.
D. A and B.

2. The United Nations was founded in:


A. 1820
B. 1941
C. 1945
D. 1954

3. The key elements for UN legitimacy are:

B. Operational
D. None of the above.

7. Who operates at the Tactical level?


A. Military, Police, and Mission HQ
B. Military, Police, and Civilian Units
C. Mission HQ only
D. The Head of Mission only

8. Which of the following Secretariat


departments work(s) directly with PKOs?

A. Impartiality and minimum use of force.

A. Department of Peacekeeping Operations


(DPKO)

B. Impartiality and universality.

B. Department of Field Support (DFS)

C. Impartiality and independence.

C. Department of Political Affairs (DPA)

D. Consent, neutrality, and self-defence.

D. All of the above.

4. As of 2013, the United Nations had ____


members.

9. The direction and administration of


UN PKOs is a responsibility of the
______________:

A. 51
B. 129
C. 151
D. 193

5. In what order does decision-making and


management occur in the UN system by
level?
A. Strategic, operational, and tactical
B. Operational, strategic, and tactical
C. Tactical, operational, and strategic
D. Strategic, operational, and mission

ANSWER KEY

A. Department of Field Support (DFS).


B. Under-Secretary-General for the Department of
Peacekeeping Operations (DPKO).
C. Department of Political Affairs (DPA).
D. None of the above.

10. The department responsible for delivering


dedicated support to UN field operations is:
A. Department of Field Support (DFS).
B. Department of Peacekeeping Operations
(DPKO).
C. Department of Political Affairs (DPA).
D. Department of Economic Support.

1D, 2C, 3B, 4D, 5A, 6A, 7B, 8D, 9B, 10A

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LESSON 2
THE SPECTRUM OF PEACE AND
SECURITY ACTIVITIES

LESSON
2

LESSON OBJECTIVES
2.1: Conflict Prevention

By the end of Lesson 2, the student should be able to meet the following
objectives:

2.2: Peacemaking
2.3: Peace Enforcement

List and briefly describe the different types of activities undertaken by

2.4: Peacekeeping

the United Nations to establish and keep the peace and prevent the
relapse of violence; and

2.5: Peacebuilding

Compare the various types of peace-related activities discussed in the


lesson.

Introduction
There is a range of peaceful and coercive measures that the Security
Council can authorize in cases of conflict. Peacekeeping is only one of
those activities and is often linked to, or overlaps with, conflict prevention,
peacemaking, peace enforcement, or peacebuilding.
While United Nations peacekeeping operations are generally deployed
to support a ceasefire or peace agreement, they often also play a role in
peacemaking efforts. They may also be involved in early peacebuilding
activities.
It is therefore important for peacekeeping personnel to understand how
these activities are related. Their peacekeeping work will also have an
impact on conflict prevention, peacemaking, and peacebuilding efforts.

2.1 Conflict Prevention


Conflict prevention involves the use of diplomatic
measures or other tools to prevent inter- or
intra-state tensions from turning into violent
conflict.1
Conflict prevention occurs before a conflict starts.
It is generally a peaceful measure adapted to the
particular source of the dispute or tension. Conflict
prevention may include dialogue, mediation,
inquiries into sources of disagreement, or
confidence-building measures.
One common conflict-prevention measure is the
use of the UN Secretary-Generals good offices to
engage in dialogue with the different parties. The
aim of this dialogue may be to decrease tension,
mediate a disagreement, or help resolve a dispute.
Depending on the situation, different conflict
prevention measures may be taken by different
parts of the United Nations and the international
community, including regional organizations.
The following are some examples of conflict
prevention measures:

The mediation effort by former UN Secretary-

General Kofi Annan in 2008 in Kenya following


the disputed presidential elections held on 27
December 2007; and

The Security Councils use of its authority under

Chapter VII of the Charter to establish the


Special Tribunal for Lebanon. This international
criminal tribunal was mandated to try those
suspected of assassinating former Lebanese
Prime Minister Rafik Hariri, who was murdered in
February 2005.

2.2 Peacemaking
Peacemaking involves measures to deal with
existing conflicts. It usually involves diplomatic
action aimed at bringing hostile parties to a
negotiated agreement. This may include direct
activities by the United Nations to assist in
negotiating a peace agreement, or it may mean

Secretary-General Kofi Annan (right) meets with Serge


Brammertz, Commissioner of the United Nations
International Independent Investigation Commission on
the assassination of former Lebanese Prime Minister
Rafik Hariri, in Mr. Annans hotel in Beirut, Lebanon. (UN
Photo # 123820 by Mark Garten, 28 August 2006)

that the United Nations facilitates peacemaking by


peace negotiators or other regional or international
actors, for instance by providing neutral facilities
for their negotiations or chairing sessions of the
negotiations.
The Security Council may request that the United
Nations Secretary-General, or other peacemakers
such as regional organizations, take action. At
the same time, the Secretary-General or regional
organizations also have the power to initiate
peacemaking, such as the use of his good offices,
to assist in the resolution of the conflict.
Peacemakers may also be envoys, governments,
groups of states, regional organizations, or the
United Nations. Peacemaking efforts may also be
undertaken by unofficial and non-governmental
groups, or by a prominent personality working
independently.
One of the first examples of a UN peacemaking
initiative was the appointment of the Swedish
diplomat Count Folke Bernadotte as the UN
Mediator in Palestine in 1948 to use his good
offices to promote a peaceful adjustment of the
future situation in Palestine (General Assembly
Resolution 186 of 14 May 1948).

1 Inter-state: between two or more countries.


Intra-state: within the same country.

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The Security Council may authorize peace


enforcement action without the consent of the
parties to the conflict if it believes that the conflict
represents a threat to international peace and
security or for humanitarian and protection
purposes. This may occur in situations where
civilians are suffering and there is no peace
agreement in place, nor is there any peacemaking
process which appears to be moving forward.
Peace enforcement is different from peacekeeping
since there is no peace process in place or consent
from the conflicting parties. However, Chapter VII
of the UN Charter still provides the legal basis for
such an operation or action.
Trygve Lie, Secretary-General of the United Nations, greets Count Folke
Bernadotte, United Nations Palestine Mediator, and spouse Estelle
Manville-Bernadotte, upon their arrival at La Guardia Airport. (UN Photo
#491, 12 July 1948)

The most recent examples of peacemaking


initiatives include the appointment of the
Joint UN-AU Chief Mediator for Darfur by the
Secretary-General of the United Nations and
the Chairperson of the African Union in 2008,
and the appointment of a Special Envoy of the
Secretary-General to the rebel Lords Resistance
Army (LRA)-affected areas in Uganda in 2006.

The UN does not generally engage in peace


enforcement itself. When it is appropriate, the
Security Council may use regional organizations
for peace enforcement action (under Chapter VIII of
the Charter). Peace enforcement action by regional
organizations must always be undertaken with the
authorization of the Security Council and should
not be initiated without such a directive.
The UN may engage in robust peacekeeping.3
This is when a UN peacekeeping operation is
deployed with the consent of the main parties to

2.3 Peace Enforcement


Peace enforcement involves the use of a range
of coercive measures, such as sanctions or
blockades.2 As a last resort, the use of military
force may be authorized. Because they may involve
the use of force, coercive measures are taken only
with authorization of the Security Council.
Such sanctions are authorized to restore
international peace and security in situations
where the Security Council has identified a threat
to the peace, a breach of the peace, or an act
of aggression. Generally, coercive measures
are used if other measures (conflict prevention,
peacemaking, peacekeeping) have been tried and
failed or are not feasible.

2 Use of authority or force to make an individual


or group do something or stop doing something.

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Deputy Secretary-General Asha-Rose Migiro (right) meets


with Joaquim Chissano, United Nations Special Envoy for
the Lords Resistance Army (LRA)-Affected Region. (UN
Photo #181337 by Paulo Filgueiras, 18 June 2008)

3 Strong, powerful, able to withstand challenge.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

The establishment in 2003 of a Multinational

Force in Liberia, under the leadership of the


Economic Community for West African States
(ECOWAS), to help maintain and establish
security after the departure of Ex-President
Charles Taylor under Security Council
Resolution 1497 (known as ECOMIL which
was later replaced by the UN peacekeeping
operations, UNMIL).

2.4 Peacekeeping
UNDP sponsored programme destroys confiscated
weapons in Kosovo (UN Photo #146003 by Robert E.
Sullivan, 25 May 2007)

the conflict and with a strong mandate to use force


if necessary to deter spoilers and make sure the
peace agreement is properly implemented.
Although the line between robust peacekeeping
and peace enforcement may at times seem blurred,
there are important differences between the two:

Peacekeeping is a technique designed to preserve


peace where fighting has ended and to assist
in implementing agreements achieved by the
peacemakers.
UN peacekeeping operations are therefore
deployed in situations where the main parties
to a conflict have shown their commitment to a
ceasefire or a peace process. There will also need
to be consent for working with the United Nations
to lay the foundations for sustainable peace.

Peace enforcement involves the use of force at a


strategic level, without the consent of the parties
to the conflict.

Robust peacekeeping involves the use of force at


the tactical level and requires the host countrys
consent.

Both peace enforcement and robust

peacekeeping require the authorization of the


use of force by the Security Council.

Examples of peace enforcement operations


authorized by the Security Council but carried out
by regional organizations or coalitions include the
following:

The NATO-led Kosovo Force (KFOR) authorized


by Security Council Resolution 1244 in 1999
to establish a safe and secure environment in
Kosovo.

In December 1992, The Unified Task Force

(UNITAF), a multinational force organized


and led by the United States, was authorized
by Security Council resolution 794 to use all
necessary means to secure the environment for
humanitarian relief operations in Somalia.

Chilean and Ecuadorean military engineers with the United Nations


Stabilization Mission in Haiti (MINUSTAH) remove rubble from a street in
Port-au-Prince, Haiti following the earthquake. The Mission is working
with national and international agencies to clear debris blocking the
citys roads. (UN Photo #450639 by Marco Dormino, 11 August 2010)

Over the years, peacekeeping has changed from


the traditional, primarily military model of observing
ceasefires and the separation of forces after
inter-state wars, to incorporate a multidimensional
model involving military, civilian, and police.

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PKOs and UN Charter Chapters VI and VII


Although peacekeeping is not specifically
mentioned in the UN Charter, the legal basis for
UN peacekeeping is contained in Chapter VI and
Chapter VII of the UN Charter.
Historically, Chapters VI and VII of the Charter have
been used as short hand to distinguish between
traditional peacekeeping operations (considered
to be Chapter VI missions) and multidimensional
operations, which were more oriented towards
enforcement action (Chapter VI missions).
In reality, the Security Council does not necessarily
refer to a specific Chapter of the UN Charter when
authorizing a UN peacekeeping operation. In fact,
the Security Council has never specifically named
Chapter VI in any resolution authorizing a UN
peacekeeping operation.
In recent years, the Security Council has adopted
the practice of referring to Chapter VII of the
UN Charter in some resolutions authorizing UN
peacekeeping operations. Peacekeeping personnel
should consider this reference to Chapter VII as
a sign of the political commitment of the Security
Council. It can also be seen as reminder to UN
Member States and the parties to the conflict that
Security Council resolutions are binding.
Typical examples of UN peacekeeping missions
that follow the primarily military model of ceasefire
observation or separation of forces, include:

The United Nations Military Observer Group in


India and Pakistan (UNMOGIP);

The United Nations Peacekeeping Force in


Cyprus (UNFICYP);

United Nations Mission for the Referendum in


Western Sahara (MINURSO);

United Nations Observer Mission in Georgia


(UNOMIG); and

United Nations Disengagement Observer Force


(UNDOF).

Typical examples of complex multidimensional


peacekeeping missions involving military, police,
and civilians in various functions, include:

34 |

The UN Mission in the Democratic Republic

of Congo (MONUC), now known as UN


Organization Stabilization Mission in the DR
Congo (MONUSCO);

The United Nations Stabilization Mission in Haiti


(MINUSTAH);

The hybrid United Nations-African Union

peacekeeping mission in Darfur (UNAMID);

United Nations Mission in the Central African


Republic and Chad (MINURCAT);

United Nations Mission in the Sudan (UNMIS),


now known as UN Mission in South Sudan
(UNMISS);

United Nations Operation in the Cote dIvoire


(UNOCI);and

United Nations Mission in Liberia (UNMIL).


Examples of the Security Councils authorization of
regional arrangements for peacekeeping include:

The authorization of a multinational force in

1999 known as INTERFET, which was led by


Australia and had the consent of the Indonesian
Government, to restore peace and security in
East Timor, to facilitate humanitarian assistance
operations, and to take all necessary measures
to fulfil its mandate. The Security Council
stressed that INTERFET be replaced by a UN
peacekeeping operation as soon as possible
(Security Council Resolution 1264), which led
to the establishment of the UN Transitional
Authority for East Timor (UNTAET) in 1999.
UNTAET was succeeded by the UN Mission of
Support in East Timor (UNMISET) on 20 May
2002 when East Timor became an independent
sovereign nation;

Similarly, the Security Council authorized

an Interim Multinational Emergency Force


(Operation Artemis) on 30 May 2003 (Security
Council resolution 1484), led by the European
Union, to deploy to Eastern DRC, taking all
necessary measures to secure the airport and
to protect IDPs and civilians. Meanwhile, the
UN mission at the time known as MONUC was
reinforced with additional troops; and

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

In 2007, the Security Council authorized the

European Union to deploy a military force


alongside the United Nations Mission in the
Central African Republic and Chad (MINURCAT)
for one year which then transitioned to UN
military force under MINURCATs authority in
2009 (Security Council Resolutions 1778 and
1861, respectively).

2.5 Peacebuilding
Peacebuilding involves a range of measures aimed
at reducing the risk of lapsing or relapsing into a
conflict. The national capacity to manage conflict
and build a foundation for sustainable peace and
development are strengthened at all levels.
For this reason, many multidimensional
peacekeeping operations are also involved in
peacebuilding when they are mandated to help the
national authorities to rebuild a state.
Peacebuilding is a complex, long-term process
of creating the necessary conditions for lasting
peace. Peacebuilding addresses the deep-rooted,
structural causes of violent conflict in a
comprehensive manner. These activities address
core issues that affect the functioning of a society
within a state. It aims to improve the states ability
to govern effectively.
Peacebuilding activities include security sector
reform (SSR), assistance to rebuild justice systems,
support for the creation of national human rights
institutions, and other activities to strengthen state
structures. The following missions provide some
examples of this:

The United Nations Mission in the Democratic


Republic of Congo (MONUC) was mandated
to advise transitional authorities on essential
legislation and SSR including training and
monitoring of police to ensure that they are
democratic and fully respect human rights;

The United Nations Mission in Liberia (UNMIL)

An Uruguayan soldier [serving MONUC] tries to secure the helipad as UN


assistance and reinforcements land in South Kivu, which was placed under
safe haven status in order for the UN to assist in getting the population
to safety. (UN Photo #65451 by Yasmina Bouziane, 01 June 2004)

The United Nations Integrated Mission in East

Timor (UNMIT) was mandated to assist the


Government of the Democratic Republic of East
Timor in conducting a comprehensive review of
the future role and needs of the security sector
(armed forces, Ministry of Defence, police
service, and the Ministry of Interior) in order to
strengthen their institutional capacity.

Another peacebuilding measure that the Security


Council may authorize is the establishment of
international tribunals to combat impunity and
seek justice for human rights violations, crimes
against humanity, and war crimes committed
during a conflict. The Security Council established
the International Criminal Tribunal for the former
Yugoslavia (ICTY) in 1993 (Security Council
resolution 827) and the International Criminal
Tribunal for Rwanda (ICTR) in 1994 (Security
Council resolution 955) as independent bodies
separate from any peacekeeping operation.

is mandated, in cooperation with international


partners, to assist the transitional government
in re-establishing functioning administrative
structures at national and local levels across the
country; and

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MISSION
CONFLICT PREVENTION

CONFLICT
PEACE
ENFORCEMENT

PEACEMAKING

CEASEFIRE

PEACEKEEPING

POST-CONFLICT PEACEBUILDING
and PREVENTION OF CONFLICT RELAPSE

Based on the Core Pre-Deployment Training Materials, Unit 1: A Strategic Level


Overview of United Nations Peacekeeping, Page 22, Linkages & Overlaps in
Peace and Security Activities.

As the diagram above shows, there is no clear


sequence for peace and security activities.
Generally, conflict prevention, peacemaking, and
peace enforcement (if used) tend to come before
peacekeeping. The Security Council uses different
tools at different times and in different countries
depending on the situation. Only peacekeeping and
peace enforcement may involve the use of force.
Many multidimensional peacekeeping operations
may overlap peacemaking, peace enforcement,
and peacebuilding.
The next lesson more thoroughly explains
how conflict prevention, peacemaking, peace
enforcement, and peacebuilding activities support
and connect to peacekeeping. This is intended
to assist peacekeeping personnel to better
understand their role as part of the Security
Councils broader strategy to resolve conflict.

36 |

Summary
In this lesson, the spectrum of peace and security
activities was introduced. This range of operations
includes conflict prevention, which involves the
use of diplomatic measures or other tools to
prevent inter- or intra-state tensions from turning
into violent conflict, peacemaking, which normally
involves diplomatic measures to abate conflict once
it has begun, peace enforcement, which involves
coercive measures to limit conflict between hostile
parties, and peacekeeping, a technique used to
preserve peace once conflict has ended. Finally,
peacebuilding aims to reduce the risk of relapsing
into conflict, often by building national capacity as a
foundation for sustainable peace and development.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. The conflict prevention measure is used:
A. Before a conflict begins.
B. After a conflict begins.
C. During a conflict.

at a strategic level, without the consent of the


parties to the conflict.

6. Kosovo Force (KFOR) 1999 was a:

D. After coercive measures are used.

A. Peacekeeping Operation.

2. Conflict prevention generally involves:

C. Peace Enforcement Operation.

B. Peacebuilding Operation.

A. The deployment of troops.

D. Peacemaking Operation.

B. Dialogue, mediation, and inquiries about the


source of the conflict.

7. Peacekeeping is a technique designed to:

D. The use of force.

A. Preserve life during conflict.

E. Ceasefire negotiations.

B. Assist in conversations to bring about a


ceasefire.

3. Peacemaking involves measures to deal with:

C. Preserve peace where fighting has ended and


assist in implementing peace agreements.

A. New conflicts.
B. Disagreements before they become violent.
C. Existing conflicts.
D. International courts and tribunals.

4. Peace enforcement:
A. May involve a measured use of force.
B. Never involves the use of blockades.
C. Requires peacekeepers to work unarmed.
D. Never permits coercive force under UN Charter
Chapter VII.

5. Which of the following is true about peace


enforcement?
A. Peace enforcement and robust peacekeeping
do not require the authorization of the use of
force by the Security Council.

D. Prevent conflict before any violence occurs.

8. The United Nations Organization Mission


in the Democratic Republic of the Congo
(MONUC) was a:
A. Peacekeeping Operation.
B. Peacebuilding Operation.
C. Peace Enforcement Operation.
D. Peacemaking Operation.

9. Peacebuilding activities involve:


A. Security sector reform.
B. The use of sanctions and blockades.
C. Building houses and paved roads.
D. Supporting NGOs in reconstruction.

B. Peace enforcement involves the use of force


at a strategic level, without the consent of the
parties to the conflict.
C. Peace enforcement involves the use of force
at a tactical level, without the consent of the
parties to the conflict.
D. Robust peacekeeping involves the use of force

ANSWER KEY
1B, 2B, 3C, 4A, 5B, 6C, 7C, 8A, 9A.

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LESSON 3
DIFFERENT TYPES OF UN
PEACEKEEPING OPERATIONS

LESSON
3

LESSON OBJECTIVES
3.1: Traditional
Peacekeeping
3.2: Multidimensional
Peacekeeping
3.3: Transitional Authority
3.4: Special Political
Missions

By the end of Lesson 3, the student should be able to meet the following
objectives:

Know and understand the spectrum of UN PKOs;


List and briefly describe the different types of United Nations PKOs; and
Understand the different employment of each type of operation.

Introduction
Different situations warrant different responses. UN peacekeeping is
a practical measure for the maintenance of peace and security that
has evolved over time. As a result, different types of UN peacekeeping
operations have developed in order to respond more appropriately to a
specific situation.
These various types of UN peacekeeping operations evolved in response
to the changing international political environment and different types of
conflicts in which the Security Council has been engaged.
The different peacekeeping operations fall under three main headings:
Traditional Peacekeeping, Multidimensional Peacekeeping, and
Transitional Authority.

3.1 Traditional Peacekeeping

Several of the United Nations longstanding


peacekeeping operations fit this traditional model:

Traditional peacekeeping was the original type of


peacekeeping operation deployed by the United
Nations during the Cold War.

The United Nations Military Observer Group in

It is the most abundant type of peace support


operation in history and these operations have
generally formed the basis for Establishment
and Enforcement, where the political and military
situation has deteriorated.

India and Pakistan (UNMOGIP)

The United Nations Peacekeeping Force in


Cyprus (UNFICYP)

The United Nations Mission for the Referendum


in Western Sahara (MINURSO)

United Nations Disengagement Observer Force


(UNDOF) on the Golan Heights, Syria.

Traditional peacekeeping is deployed as an


interim measure to help manage a conflict. It also
creates safer conditions for other actors to work on
peacemaking activities.
Traditional peacekeeping operations do not
normally play a direct role in political efforts to
resolve a conflict. Other actors such as diplomats
or other representatives of individual states,
regional organizations, or special United Nations
envoys may be working on longer term political
solutions, which will allow the peacekeeping
operation to withdraw. As a result, some traditional
peacekeeping operations are deployed for decades
before a lasting political settlement is reached
between the parties.
The tasks assigned to traditional United Nations
peacekeeping operations by the Security Council
are essentially military in character and may
involve duties such as observing, monitoring, and
reporting, using static posts, patrols, fly-overs or
other technical means, with the agreement of the
parties.
Supervision of ceasefire and support to
verification mechanisms
Unlike transitional authorities or multidimensional
peacekeeping operations, traditional peacekeeping
operations do not carry out functions of the state,
nor do they engage in governance or capacity
building activities. Therefore, these types of
activities will not be reflected in the text of the
mandate.

Members of the Brazilian battalion of the United Nations Stabilization


Mission in Haiti (MINUSTAH) stand guard in front of the National Palace.
(UN Photo #184845 by Logan Abassi, 16 July 2008)

The forces deployed in these operations can assist


by negotiation, persuasion, and verification of
the situation, as well as patrol in order to ensure
physical separation between two actors. Despite
the differences in the examples above they do have
the following five common elements:

United Nations actions are ordered by the

Security Council and developed under the


control of its Secretary-General. The UN
operations are permitted by the States, which
would otherwise refuse the presence of foreign
troops on their territory;

They are established under the consent of the


parties in conflict (sometimes different to the

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State), thereby reducing the need for security of


UN personnel deployed;

They are all impartial. They have the authority to


enforce the mandate that has been designated
by the Security Council, however they must not
take part in the conflict;

Staff and equipment is provided voluntarily by

UN Member States. Initially, the first political


missions were composed mostly of military
personnel who joined forces with existing civilian
police, civilian officials, and other components;
and

Lethal force is used only for self-defence,

defence of the mandate, or in the defence of life.

Regional collaboration can foster a stronger


commitment to conflict resolution and provide a
better understanding of it. However, using regional
partners for support carries the risk of potentially
biased involvement or could be used as a
mechanism to gain geopolitical weight in the area.

3.2 Multidimensional Peacekeeping


Since the end of the Cold War, multidimensional
peacekeeping operations have become the most
common form of UN peacekeeping operation.
These operations are typically deployed in the
dangerous aftermath of a violent internal conflict
once a peace agreement is in place, even if it is a
fragile one. The operation works to create a secure
and stable environment while working with national
authorities and actors to make sure the peace
agreement is implemented.1
These operations are composed of a range of
components including military forces, civilian
police, and political advisers who all assist with
the rule of law, human rights, humanitarian affairs,
reconstruction, public information, and gender
equality. There are also a number of implied tasks,
such as mission support and security and safety of
deployed personnel. All these parts are combined
in order to achieve a much more complex goal than
in traditional peacekeeping operations.
1 UN Peacekeeping PDT Standards, Core
Pre-deployment Training Materials, 1st ed. (2009).
Unit 1, Part 1.

42 |

Cambodians waiting to vote at a polling station in Phnom


Penh. The election was held from 23-28 May 1993,
under the supervision of the United Nations Transitional
Authority in Cambodia (UNTAC). (UN Photo #121629 by
John Isaac, 23 May 1993)

Multidimensional peace operations, in addition


to keeping the peace after a conflict, establish a
basis for ensuring future peace in regions emerging
from conflict, to be carried out by both military
and civilian personnel including activities such
as reintegrating ex-combatants into civil society,
strengthening the rule of law (through training and
restructuring local police and reforming the judicial
and penal systems) and monitoring the respect for
human rights and support for democratic transition
(mainly through the support in the organization of
elections).
These missions are usually deployed to countries
emerging from conflict in transition to sustainable
peace. This means that the peacekeeping
operation will work with other actors, inside or
outside the UN, to support or actively promote
national dialogue and reconciliation between
different groups to make sure the peace agreement
holds. In this way, multidimensional peacekeeping
operations are generally more involved in
peacemaking than traditional peacekeeping
operations.2
The main idea of overlaying civil and military
cooperation in a multidimensional mission is that
sustainable peace will not only be achievable
without comprehensive work in security but also in
the requisites of governance.
2 Ibid.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

The multidimensional peacekeeping operation


also provides a framework for ensuring that the
United Nations and other international actors work
in coordination at the national level. This however
can prove difficult in practice because there are so
many contributors.3 Because of the internationality
of multidimensional missions, it is necessary that
peacekeepers are trained and prepared to work
in a multinational scenario prior to deploying. With
many multinational players and different customs,
it can be a highly challenging and rewarding
environment.

assume the legislative and administrative


functions of the state. These are called transitional
administrations.

Examples of multidimensional UN peacekeeping


missions are:

The former United Nations Mission in the

Democratic Republic of Congo (MONUC), now


MONUSCO;

The United Nations Stabilization Mission in Haiti


(MINUSTAH);

The hybrid United Nations-African Union

peacekeeping mission in Darfur (UNAMID);

Tarek Mitri, Special Representative of the Secretary-General and Head


of the United Nations Support Mission in Libya (UNSMIL), addresses the
Security Council meeting on the situation in that country. (UN Photo
#553434 by Devra Berkowitz, 18 June 2013)

The United Nations Mission in the Central

Transitional authority is taken for one of the


following reasons, in order to:

The former United Nations Mission in the Sudan

Resolve sovereignty issues;

African Republic and Chad (MINURCAT);


(UNMIS), now UNMISS;

The United Nations Operation in Cote dIvoire


(UNOCI); and

The United Nations Mission in Liberia (UNMIL).

3.3 Transitional Authority


Transitional authority takes place when the peace
force is mandated to assist the parties in improving
the countrys situation following the eradication of a
conflict.
To achieve a true transition, not just a mere
tolerance of the different factions, requires a high
degree of open-mindedness, as well as an active
collaboration to map a new situation.

Support the transfer of authority from one


sovereign entity to another;

Hold sovereignty until questions over said

sovereignty are fully resolved (as in the case of


transitional administrations); and

Help the State to establish administrative


infrastructures that may not have existed
previously.

Transitional authority forces can help with


demobilization and arms control, arbitrate in certain
situations, contribute to national reconciliation,
support the election process, and even assist in the
creation of a new form of government.

In very rare circumstances, the Security Council


has also authorized multidimensional United
Nations peacekeeping operations to temporarily
3 Ibid.

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The UN has only authorized transitional authorities


in the three following cases:

The United Nations Transitional Authority

in Cambodia (UNTAC) from March 1992 to


September 1993;

The United Nations Transitional Authority in East


Timor (UNTAET) from October 1999 to May
2002; and

The UN Interim Administration Mission in Kosovo


(UNMIK) established in June 1999.

3.4 Special Political Missions


In addition to the three types of UN peacekeeping
operations mentioned earlier, the United Nations
may also deploy a Special Political Mission (SPM).
Special Political Mission is a term that can refer to:

Political Field Missions;


Special Envoys; and
Expert Panels to monitor Security Council
sanctions.

There is a huge variety in the mandate, size,


and duration of SPM field missions. In general,
they tend to be involved in conflict prevention,
peacemaking, or peacebuilding.
The major difference between a peacekeeping
operation and a special political mission is that a
peacekeeping operation is a field mission using
uniformed personnel. In SPMs, there are very few
or no uniformed personnel at all.
Because Special Political Missions can be
deployed as conflict prevention, peacemaking, or
peacebuilding initiatives, they may be deployed
before, at the same time, or following the
deployment of a peacekeeping operation.

Summary

Traditional peacekeeping was the original type of


peacekeeping operation deployed by the United
Nations during the Cold War and is the most
abundant type of peace support operation in
history. Traditional peacekeeping is deployed as an
interim measure to help manage a conflict. It also
creates safer conditions for other actors to work on
peacemaking activities.
Since the end of the Cold War, multidimensional
peacekeeping operations have become the most
common form of UN peacekeeping operation.
These operations are typically deployed in the
dangerous aftermath of a violent internal conflict
once a peace agreement in place, even if it is a
fragile one. The operations are composed of a
range of components including military forces,
civilian police, and political advisers who all assist
with the rule of law, human rights, humanitarian
affairs, reconstruction, public information, and
gender equality and work to create a secure
and stable environment with national authorities
and actors to make sure the peace agreement
is implemented. All these parts are combined in
order to achieve a much more complex goal than in
traditional peacekeeping operations.
Following changes to a states sovereignty,
transitional authority takes place when the peace
force is mandated to assist the parties in improving
the countrys situation following the eradication of a
conflict. Transitional authority forces can help with
demobilization and arms control, arbitrate in certain
situations, contribute to national reconciliation,
support the election process, and even assist in the
creation of a new form of government.
Finally, Special Political Missions are usually
deployed as a means of conflict prevention,
peacemaking, or peacebuilding. There is great
variety in the mandate, size, and duration of
Special Political Missions, and unlike most
peacekeeping operations, these missions are
comprised of very few uniformed personnel or
none at all.

This lesson summarized the different types of


peacekeeping operations and the reasons for the
employment of each.

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End-of-Lesson Quiz

1. PKOs are divided into:


A. Traditional Peacekeeping, Multidimensional
Peacekeeping, and Special Political Missions.
B. Multidimensional Peacekeeping, Transitional
Authority, and Special Political Missions.
C. Traditional Peacekeeping, Multidimensional
Peacekeeping, and Transitional Authority.
D. Traditional Peacekeeping, Transitional
Authority, and Special Political Missions.

B. The United Nations Peacekeeping Force in


Cyprus (UNFICYP).
C. The United Nations Stabilization Mission in
Haiti (MINUSTAH).
D. The United Nations Interim Administration
Mission in Kosovo (UNMIK).

6. Transitional Authority is never carried out to:


A. Resolve sovereignty issues.

2. Traditional PKOs are characterized as:

B. Support the transfer of authority from one


sovereign entity to another.

A. Violent.

C. Support the election process.

B. Diplomatic.

D. Purposefully disrupt national reconciliation.

C. Civilian.
D. Military.

7. Transitional Authority can help with:


A. Demobilization and arms control.

3. Multidimensional PKOs are deployed:

B. Reintegrating ex-combatants into civil society.

A. In the dangerous aftermath of violent internal


conflict.

C. Blocking the creation of new forms of


government.

B. As a temporary measure to help manage


conflict.

D. Reforming the judicial and penal systems.

C. To support the transfer of authority of a


sovereign entity to another.

8. The UN has only authorized transitional


authorities in the following cases:

D. To help the State establish administrative


infrastructures that did not exist previously.

4. Multidimensional PKOs involve:


A. Special Envoys.
B. Expert panels.
C. Military forces, civilian police, and political
advisers.
D. Independent parties monitoring elections.

5. An example UN Multidimensional
Peacekeeping Operation is:
A. The United Nations Military Observer Group in
India and Pakistan (UNMOGIP).

A. UNTAC, UNMIK, and UNMIL.


B. UNTAC, UNTAET, and UNMIK.
C. UNTAC, UNMIL, and UNMIS.
D. UNOCI, UNMIL, and UNTAC.

9. Special Political Missions can refer to:


A. Political Field Missions, Special Envoys, and
Expert Panels to monitor Security Council
sanctions.
B. Patrols in order to ensure physical separation
between two actors.
C. Only Political Field Missions.
D. Only Special Envoys.

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10. The major difference between a peacekeeping


operation and Special Political Missions is:
A. The number of uniformed personnel.
B. The person who is in charge of the mission.
C. The duration of the mission.
D. The use of force.

ANSWER KEY
1C, 2D, 3A, 4C, 5C, 6D, 7A, 8B, 9A, 10A

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UNIT I

A STRATEGIC LEVEL OVERVIEW OF


UNITED NATIONS PEACEKEEPING
Provided By Chilean Joint Peacekeeping Operations Center (CECOPAC):

PART 2: FUNDAMENTAL PRINCIPLES


OF UN PEACEKEEPING
LESSON 4: FUNDAMENTAL PRINCIPLES
4.1: Consent
4.2: Impartiality
4.3: Non-use of Force
Lesson 4 Quiz
LESSON 5: OTHER SUCCESS FACTORS
5.1: Credibility
5.2: Legitimacy
5.3: Promotion of National and Local Ownership
5.4: The Essential Qualities of a Peacekeeper
Lesson 5 Quiz

LESSON 4
FUNDAMENTAL PRINCIPLES

LESSON
4

LESSON OBJECTIVES
4.1: Consent

By the end of Lesson 4, the student should be able to meet the following
objectives:

4.2: Impartiality
4.3: Non-use of Force

List the three fundamental principles of UN peacekeeping and explain


how they are vital to the mission.

Introduction
UN peacekeeping is a practical measure to help contain armed conflicts
and to assist in resolving disputes through peaceful dialogue and
negotiation. It has become one of the main activities of the United Nations
for maintaining international peace and security.
The following fundamental principles of UN peacekeeping have developed
over time through experience and lessons learned:

Consent;
Impartiality; and
Non-use of force, except in situations of self-defence and defence
of the mandate.

These principles provide a compass for peacekeeping personnel, both in


the field and at United Nations Headquarters. It is important that everyone
who is involved in United Nations peacekeeping operations understands
the meaning and practice of these principles. They must be applied in all
aspects of peacekeeping planning and conduct.

4.1 Consent
United Nations peacekeeping operations are
deployed with the consent of the main parties to
the conflict. This requires a commitment by the
parties to a political process and their acceptance
of a peacekeeping operation mandated to support
that process. The consent of the main parties
provides a United Nations peacekeeping operation
with the necessary freedom of action, both political
and physical, to carry out its mandated tasks. In
the absence of such consent, a United Nations
peacekeeping operation would risk becoming
a party to the conflict, being drawn towards
enforcement action and away from its intrinsic role
of keeping the peace.1
Security Council action taken without the consent
of any parties in conflict is typically categorized
as a peace enforcement mission rather than a
peacekeeping mission. A complete withdrawal
of consent to the peacekeeping mission by one
or more of the main parties would challenge
the justification for the operation. Withdrawal of
consent would likely change the international
communitys strategy and could mean that the
Security Council might have to withdraw the
peacekeeping operation.
Consent can be uncertain or unreliable in some
contexts; a lack of trust between parties in conflict
may cause one or more of the parties to block
certain aspects of the peacekeeping missions
mandate.
The fact that the main parties have given their
consent to the deployment of a United Nations
peacekeeping operation does not necessarily
imply or guarantee that there will also be consent
at the local level, particularly if the main parties
are internally divided or have weak command and
control systems. There may also be spoilers,
groups or persons who are not under control of
any of the main parties to the conflict and have an
interest in damaging the peace process.2
1 UN Peacekeeping Operations, Principles and
Guidelines (Capstone Doctrine), 31-32.
2 UN Peacekeeping PDT Standards. Core
Pre-deployment Training Materials, 1st ed. (2009),
48.

Universality of consent becomes even less


probable in volatile settings, characterized by the
presence of armed groups that are not under the
control of any parties. A peacekeeping operation
must have the necessary political and analytical
skills, operational resources, and the will to
manage in situations where there is an absence
or breakdown of local consent. In some cases this
may require, as a last resort, the use of force.3

The chiefs of different neighbourhood villages come together in a show


of unity and reconciliation in a process helped by the ONOCIs BANBAT 1
force, in Haiti. (UN Photo #115647 by Paulo Ferreira, 15 March 2006)

What Can You Do as a Peacekeeper?


It is equally the job of every component of the
peacekeeping mission military, police, and
civilian to continuously analyse the peacekeeping
environment. Peacekeeping personnel must watch
for and be ready to prevent any loss of consent at
the local or central level.
In the implementation of its mandate, the United
Nations Peacekeeping Operations role is to move
the peace process forward while maintaining
consent of all the parties to the conflict. This means
that all UN peacekeeping personnel must have a
thorough understanding of the history, customs,
and culture in the mission area. This is the purpose
of mandatory induction training for all personnel
going on mission.
3 UN Peacekeeping Operations, Principles and
Guidelines (Capstone Doctrine), 33.

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Induction training provides further information on


the history, customs, and culture of the mission
area, the role of the mission, and the rules and
procedures within.
Peacekeeping personnel should also have the
capacity to assess and report on the evolving
interests and motivation of the parties outside of
the UN in order to give feedback on the missions
progress.

This kind of impartiality is not the same as


neutrality. It is also not the same as equal treatment
of all parties in all cases for all time, which can
amount to a policy of appeasement. In some cases,
local parties are made up of obvious aggressors
and/or victims, and a peacekeeping operation may
not only be operationally justified in using force but
morally compelled to do so.5

4.2 Impartiality
United Nations peacekeeping operations must
implement their mandate without favour or
prejudice to any party. Impartiality is crucial to
maintaining the consent and cooperation of the
main parties. However, impartiality should not be
confused with neutrality or inactivity. United Nations
peacekeepers should be impartial in their dealings
with the parties to the conflict but not neutral in the
execution of their mandate.
A peacekeeping operation is similar to a good
referee who is impartial but will penalize infractions.
A peacekeeping operation should not condone
actions by the parties that violate the undertakings
of the peace process or the international norms
and principles that a United Nations peacekeeping
operation upholds.
Notwithstanding the need to establish and maintain
good relations with the parties, a peacekeeping
operation must scrupulously avoid activities that
might compromise its image of impartiality. A
mission should not shy away from the rigorous
application of the principle of impartiality for fear
of misinterpretation or retaliation. Before acting,
it is always prudent to ensure that the grounds
for acting are well-established and can be
clearly communicated to all. Failure to do so may
undermine the peacekeeping operations credibility
and legitimacy, and may lead to a withdrawal of
consent for its presence by one or more of the
parties.4

4 UN Peacekeeping Operations, Principles and


Guidelines (Capstone Doctrine), 33.

52 |

Staff members of the UN Operation in Cte dIvoire


(UNOCI) play against a local team from Agboville in a
football match for peace, organized as part of the
missions UNOCI Days outreach campaign. (UN Photo
#498224 by Patricia Esteve, 17 November 2011)

What Can You Do as a Peacekeeper?


If the peacekeeping process is being undermined
and the mission decides to take action, the
mission must make sure that the rationale for
action is well established. The reasons for action
and the appropriate responses must be clearly
communicated to all. As a peacekeeper you have
to be sure that all parties know and understand
these reasons.
This will help to lessen any potential backlash
against the mission. In order to maintain the
principle of impartiality, it is important that the
participants of a peacekeeping operation are
perceived as fair, open, and transparent actors.

5 UN Peacekeeping PDT Standards. Core


Pre-deployment Training Materials, 1st ed. (2009),
49-50.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

4.3 Non-use of Force


The initial principle that UN peacekeeping
operations should only use force in self-defence
has evolved to include the use of force in
order to defend the mandate. This means that
even if a UN peacekeeping operation is not a
peace-enforcement tool, they may use force at the
tactical level. Use of force is only with authorization
of the Security Council and only if they are acting
in self-defence and/or defence of the mandate.
Self-defence is generally understood to be in
defence of United Nations personnel and property.
In situations where there may be militias, criminal
gangs, and other spoilers who actively seek to
undermine the peace process or pose a threat to
the civilian population, the Security Council tends
to provide the mission with a robust mandate.
A robust mandate authorizes the peacekeeping
operation to use all necessary means to deter
forceful attempts to disrupt the political process. It
is also intended to protect civilians under imminent
threat of physical attack or assist the national
authorities in maintaining law and order. The use
of force in such instances is considered to be in
defence of the mandate. Even when the Security
Council has specified a robust mandate, a United
Nations peacekeeping operation should only use
force as a measure of last resort, when all other
methods of persuasion have failed.
Although they may sometimes appear similar on
the ground, robust peacekeeping operations should
not be confused with peace enforcement, as
envisaged under Chapter VII of the Charter. Robust
peacekeeping involves the use of force at the
tactical level with the authorization of the Security
Council and consent of the host nation and/or the
main parties to the conflict.
By contrast, peace enforcement does not require
the consent of the main parties and may involve the
use of military force at the strategic or international
level, which is normally prohibited for Member
States under Article 2(4) of the Charter, unless
authorized by the Security Council. A United
Nations peacekeeping operation should only use
force as a measure of last resort, when other
methods of persuasion have been exhausted,
and restraint must always be exercised when

The First Committee (Political and Security) took up a new item


proposed by the Soviet Union: Conclusion of a world treaty on the nonuse of force in international relations.
(UN Photo #250269 by Yutaka Nagata, 25 October 1976)

doing so. The ultimate aim of the use of force is to


influence and deter spoilers working against the
peace process or seeking to harm civilians, not
to seek their military defeat. The use of force by
a United Nations peacekeeping operation should
always be calibrated in a precise, proportional,
and appropriate manner, within the principle of
minimum force necessary to achieve the desired
effect, while sustaining consent for the mission and
its mandate. In its use of force, a United Nations
peacekeeping operation should always be mindful
of the need for an early de-escalation of violence
and a return to non-violent means of persuasion.
The use of force by a United Nations peacekeeping
operation always has political implications and
can often give rise to unforeseen circumstances.
Judgments concerning its use will need to be made
at the appropriate level within a mission, based
on a combination of factors including mission
capability, public perceptions, humanitarian impact,
force protection, safety and security of personnel,
and most importantly, the effect that such action
will have on national and local consent for the
mission.6
What Can You Do as a Peacekeeper?
The minimum use of force should be used to
achieve the desired tactical result while sustaining
consent for the mission and its mandate. The
6 UN Peacekeeping Operations, Principles and
Guidelines (Capstone Doctrine), 35.

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peacekeeping operation must exercise restraint in


the use of force.
Use of force has political implications. Mission
capability, public perceptions, humanitarian impact,
force protection, safety and security of personnel,
and the effect on national and local consent for
the mission; these are all factors to be taken into
account when deciding on the application of the
use of force.
Peacekeeping personnel must familiarize
themselves with the appropriate documents
outlining the use of force. The mission-wide
Rules of Engagement (ROE) for the military
and Directive on the Use of Force (DUF) for the
police components of the UNPKOs will clarify the
different levels of force that can be used in various
circumstances, how each level of force should be
used, and any authorizations that must be obtained
by commanders.

Summary
This lesson introduced the three fundamental
principles of UN peacekeeping and explained how
each is vital to peacekeeping missions.
Consent is critical. United Nations peacekeeping
operations are deployed with the consent of
the main parties to the conflict. This requires a
commitment by the parties to a political process
and their acceptance of a peacekeeping operation
mandated to support that process. The consent
of the main parties provides a United Nations
peacekeeping operation with the necessary
freedom of action, both political and physical, to
carry out its mandated tasks. In the absence of
such consent, a United Nations peacekeeping
operation would risk becoming a party to the
conflict itself.

Finally, the non-use of force is fundamental. The


initial principle that UN peacekeeping operations
should only use force in self-defence has evolved
to include the justification of the use of force in
order to defend the mandate. This means that
even if a UN peacekeeping operation is not a
peace-enforcement tool, mission personnel may
use force at the tactical level. Use of force is only
permitted with the authorization of the Security
Council and only if mission personnel are acting
in self-defence and/or in defence of the mandate.
Self-defence is generally understood to be in
defence of United Nations personnel and property.
The ultimate aim of the use of force is to influence
and deter spoilers working against the peace
process or seeking to harm civilians, not to
seek their military defeat. The use of force by a
United Nations peacekeeping operation should
always be calibrated in a precise, proportional,
and appropriate manner, within the principle of
minimum force necessary to achieve the desired
effect, while sustaining consent for the mission and
its mandate. In its use of force, a United Nations
peacekeeping operation should always be mindful
of the need for an early de-escalation of violence
and a return to non-violent means of persuasion.
The use of force by a United Nations peacekeeping
operation always has political implications and
can often give rise to unforeseen circumstances.
Judgments concerning its use will need to be made
at the appropriate level within a mission, based
on a combination of factors including mission
capability, public perceptions, humanitarian impact,
force protection, safety and security of personnel,
and most importantly, the effect that such action
will have on national and local consent for the
mission.

Impartiality, another key principle, is crucial to


maintaining the consent and cooperation of the
main parties in a mission. However, impartiality
should not be confused with neutrality or inactivity.
United Nations peacekeepers should be impartial
in their dealings with the parties to the conflict but
not neutral in the execution of their mandate.

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End-of-Lesson Quiz
1. The fundamental principles of UN
peacekeeping are:

5. Consent at the Strategic level:

A. Neutrality, independence, and impartiality.

B. Sometimes implies consent at the local level.

B. Consent, neutrality, and non-use of force,


except in self-defence and defence of the
mandate.
C. Impartiality, independence, and minimum use
of force.
D. Consent, impartiality, and non-use of force,
except in self-defence and defence of the
mandate.

2. The fundamental principles of UN


peacekeeping were developed:
A. As a case study.
B. According to the advice of the General
Assembly.
C. Through experience and lessons learned.
D. Though theoretical studies.

3. United Nations peacekeeping operations may


be deployed:
A. Without the consent of the main parties in
conflict.
B. With the consent of the main parties in a
conflict.
C. With consent of the main parties being optional.
D. Consent is not an issue in peacekeeping
operations.

4. United Nations peace enforcement operations


may be deployed:
A. Without the consent of the main parties in
conflict.
B. The same way peacekeeping operations are
deployed.

A. Always implies consent at the local level.


C. Never implies consent at the local level.
D. Does not necessarily imply consent at the local
level.

6. In order to help to gain consent, UN


peacekeeping personnel must have:
A. Good skills in assessing and reporting.
B. A thorough understanding of the history in the
mission area.
C. A thorough understanding of the customs and
culture in the mission area.
D. All of the above.

7. The United Nations understands impartiality


as:
A. Implementing the mandate without favour or
prejudice to any party.
B. Implementing the mandate with equal treatment
of all parties in all cases.
C. Complete neutrality.
D. Staying out of a conflict.

8. In order to maintain impartiality, UN


peacekeeping personnel must:
A. Ensure that the rationale for every decision has
been well established.
B. Ensure that all parties know and understand
the reasons that support UN decisions.
C. Ensure they are perceived as a fair, open, and
transparent actor.
D. Ensure they are neutral and inactive in any
conflict

C. Only before peacekeeping operations are


withdrawn.
D. Only at the request of the host country.

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9. According to present regulations, the use


of force in UN peacekeeping operations is
authorized:
A. Only for self-defence and defence of colleagues in
danger.
B. Only for self-defence and defence of colleagues
or civilians in danger.
C. Only for self-defence.
D. Only for self-defence and defence of the mandate.

10. In PKOs with a robust mandate, UN


peacekeeping personnel:
A. Are allowed to use force without limitation,
because of the character of robust operations.
B. Should use force before using any other methods
of persuasion.
C. Are allowed to the minimum amount of force
necessary to achieve the desired tactical
objective.
D. Are not influenced by the mandate.

ANSWER KEY
1D, 2C, 3B, 4A, 5D, 6D, 7A, 8C, 9D, 10C

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LESSON 5
OTHER SUCCESS FACTORS

LESSON
5

LESSON OBJECTIVES
5.1: Credibility

By the end of Lesson 5, the student should be able to meet the following
objectives:

5.2: Legitimacy
5.3: Promotion of National
and Local Ownership
5.4: The Essential
Qualities of a
Peacekeeper

Explain what is meant by the credibility and legitimacy of the UN

peacekeeping mission and how peacekeeping personnel can support


that in practice; and

List the necessary qualities of UN peacekeeping personnel.

Introduction
While United Nations peacekeeping operations are generally deployed
to support a ceasefire or peace agreement, they also often play a role in
peacemaking efforts. They may also be involved in early peacebuilding
activities.
It is therefore important for peacekeeping personnel to understand how
these activities are related. Their peacekeeping work will also have an
impact on conflict prevention, peacemaking, and peacebuilding efforts.

5.1 Credibility
United Nations peacekeeping operations are
frequently deployed in volatile, high-stress
environments characterized by the collapse or
degradation of state structures, as well as enmity,
violence, polarization, and distress. Lawlessness
and insecurity may still be prevalent at local levels,
and opportunists will be present who are willing
to exploit any political or security vacuum. In such
environments, a United Nations peacekeeping
operation is likely to be tested for weakness and
division by those whose interest is threatened by
its presence, particularly in the early stages of
deployment.

credible presence can help to deter spoilers and


diminish the likelihood that a mission will need to
use force to implement its mandate.
To achieve and maintain its credibility, a mission
must therefore have a clear and deliverable
mandate, with resources and capabilities to match,
and a sound mission plan that is understood,
communicated, and impartially and effectively
implemented at every level.
What Can You Do as a Peacekeeper?
In reality, a missions mandate may be influenced
by politics in the Security Council and it sometimes
takes longer than expected to deploy personnel
or equipment. For that reason, it is all the more
important that the mission must work to maintain
a confident, capable, and unified posture, even in
moments of uncertainty.
The deployment of a United Nations peacekeeping
operation will generate high expectations among
local citizens. A perceived failure to meet these
expectations, no matter how unrealistic, may
cause a United Nations peacekeeping operation
to become a focus for popular dissatisfaction, or
worse, active opposition.

Members of the United Nations Stabilization Mission


in Haiti (MINUSTAH) Jordanian Battalion assist the
school Lyce de Damia, near Cit Soleil (their area of
responsibility), by making deliveries of milk, rice, flour
and tea, all of which come from their own supplies of
food, to 600 students, in Port-Au-Prince, Haiti.. (UN
Photo # 112714 by Sophia Paris, 22 February 2006).

The credibility of a United Nations peacekeeping


operation is a direct reflection of the international
and local communities belief in the missions ability
to achieve the mandate. Credibility is a function
of a missions capability, effectiveness, and ability
to manage and meet expectations. Ideally, in
order to be credible, United Nations peacekeeping
operations must deploy as rapidly as possible,
be properly resourced, and strive to maintain a
confident, capable, and unified posture. Experience
has shown that the early establishment of a

The ability to manage these expectations


throughout the duration of a peacekeeping
operation affects the overall credibility of the
mission. The peacekeeping personnel should
always avoid false promises, no matter how well
intentioned.1 Credibility, once lost, is hard to
regain. A mission with low credibility becomes
marginalized and ineffective. Its activities may
begin to be perceived as having weak or frayed
legitimacy and consent may be eroded. Critics
and opponents of the mission may exploit any
such opportunities to this end. The loss of
credibility may also have a direct impact on the
morale of the mission personnel, further eroding
its effectiveness. Accordingly, the maintenance
of credibility is fundamental to the success of a
mission.2
1 UN Peacekeeping PDT Standards, Core
Pre-deployment Training Materials, 1st ed. (2009).
2 UN Peacekeeping Operations. Basic Principles of
United Nations Peacekeeping (Capstone Doctrine),

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5.2 Legitimacy
International legitimacy is one of the most
important assets of a United Nations peacekeeping
operation.
A new mission begins with legitimacy because it
has been established by a mandate from the UN
Security Council. Its legitimacy is strengthened
by the fact that it is directed by the UN SecretaryGeneral. The Secretary-General is a recognized,
impartial international figure.
Legitimacy is a condition that grows from the
perception of a specific audience of the legality,
morality, and correctness of a set of actions. It
originates from the mandate, which authorizes and
directs the conduct of the operation.3
A peacekeeping mission derives its legitimacy from
international support, adherence to statutory laws
and conventions, and from the credibility of the
mission. This is especially true since the mission is
established and given its mandate by the Security
Council, which by the Charter is responsible for
the maintenance of the international peace and
security.
Having the full support of the Security Council
becomes critical particularly when an operation
encounters difficulties. The missions legitimacy
is further enhanced by the composition of the
mission, when it includes personnel from a wide
range of States. In addition, it is essential that the
mission has a clear and achievable mandate and
acts within international/national laws, conventions,
and rules provided in the mandate. Failure to do
so could jeopardize the authority and affect the
missions operational effectiveness.4
The mission also has legitimacy from the broad
representation of the many different member states
that contribute personnel, equipment, and funding
to the peacekeeping operation.

37-38.
3 FM 100-23 Peace Operations, Chapter 1, 18.
4 POTI. An Introduction to the UN System.
(2011), 38.

60 |

UN Peacekeepers follow the Security Councils


discussions on UN peacekeeping operations. (UN Photo
#443170 by JC McIlwaine, 06 August 2010)

However, perceptions of a UN peacekeeping


operations legitimacy can change based on the
firmness and fairness with which the mission
exercises its mandate. How the peacekeeping
operation uses force, the discipline it imposes upon
its personnel, the respect it shows to local customs,
cultural artefacts, institutions, and laws, and the
decency with which it treats the local people will all
contribute to how the mission is perceived.5
In peacekeeping operations, the impartiality of
peacekeepers and the sponsoring state, states,
or international organization is critical to success
and the legitimacy of the operation. It must be
demonstrated at all times, in all dealings, and under
all circumstances, whether operational, social, or
administrative. All activities must be conducted
without favour to either side or point of view.
Because of the nature of peacekeeping operations,
impartiality and legitimacy may be harder to obtain
and sustain. Legitimacy also reinforces the morale
and spirit of the peace operations force.
What Can You Do as a Peacekeeper?
The perceived legitimacy of a United Nations
peacekeeping operation is directly related to the
quality and conduct of its military, police, and
civilian personnel. The bearing and behaviour of
all personnel must be of the highest order. Their
actions must be in keeping with the important
responsibilities entrusted to a United Nations
5 UN Peacekeeping PDT Standards, Core
Pre-deployment Training Materials, 1st ed. (2009),
54.

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peacekeeping operation. The behaviour of


peacekeeping personnel should meet the highest
standards of professionalism, competence, and
integrity.6

5.3 Promotion of National and Local


Ownership
Multidimensional United Nations peacekeeping
operations are increasingly involved in efforts to
help countries emerging from protracted internal
conflict to rebuild the foundations of a functioning
state. The terms of the peace process and/or the
Security Council mandate will shape the nature of a
peacekeeping operations role in this area. In some
instances, state and local capacity may be so weak
that the mission is required to temporarily assume
certain functions, either directly, as in the case
of transitional administration, or in support of the
state. Other situations require much less intrusive
support. The nature and scale of a particular UN
peacekeeping operations role will depend on its
mandate, the gravity of the situation on the ground,
the resources the international community is willing
to invest, and an assessment of the availability of
capable, credible, and legitimate partners within
the host nation. Each of these variables may
change during the course of a United Nations
peacekeeping operations lifetime and will require
adjustments in the peacekeeping operations
approach.
National and local ownership is critical to the
successful implementation of a peace process.
In planning and executing a United Nations
peacekeeping operations core activities, every
effort should be made to promote national and
local ownership and to foster trust and cooperation
between national actors. Effective approaches to
national and local ownership not only reinforce the
perceived legitimacy of the operation and support
mandate implementation, they also help to ensure
the sustainability of any national capacity once the
peacekeeping operation has been withdrawn.
Partnership with national actors should be struck
with due regard to impartiality, wide representation,
inclusiveness, and gender considerations. Missions
must recognize that multiple divergent opinions

will exist in the political body of the host country.


All opinions and views need to be understood,
ensuring that ownership and participation is not
limited to small elite groups. National and local
ownership must begin with a strong understanding
of the national context. This includes understanding
the political context, as well as the wider
socioeconomic context.
A mission must be careful to ensure that the
rhetoric of national ownership does not replace
a real understanding of the aspirations and hope
of the population and the importance of allowing
national capacity to re-emerge quickly from conflict
to lead critical political and development processes.

Brigadier-General Jose Rodriguez Rodriguez, Chief Military Observer,


MINUGUA, presenting a URNG (the Unidad Revolucionaria Nacional
Guatemalteca) member his certificate for completing the demobilization
process during closing ceremonies at Finca Sacol. (UN Photo #106682 by
John Olsson, 01 January 1997)

The mission will need to manage real tensions


between the requirements, in some instances, for
rapid transformational change from the present
situation to what may lie ahead, and resistance to
change from certain powerful actors who have a
vested interest in maintaining the status quo. The
ownership of change must be built first through
dialogue. Political, financial, and other forms of
international leverage may be required to influence
the parties on specific issues, but those should only
be used in support of wider aspirations for peace in
the community.

6 Ibid.

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The activities of a multidimensional United Nations


peacekeeping operation must be dictated by
the need to support and build national capacity.
Accordingly, any displacement of national or local
capacity should be avoided wherever possible. A
multidimensional United Nations peacekeeping
operation may be obliged to take on important
state-like functions in the short term, such as

A United Nations peacekeeper surveys the damage among the rocks and
other debris strewn across Sebroko compound, following four days of
anti-UN demonstrations by the Young Patriots which turned violent
and resulted in extensive damage to property in Cte dIvoire. (UN
Photo #109790 by Ky Chung, 20 January 2006)

providing security and maintaining public order.


However, these functions should be conducted in
a consultative manner. The aim must always be to
restore the ability of national actors and institutions
so they may assume their responsibilities and
exercise their full authority, with due respect for
internationally accepted norms and standards. In
building national capacity, women and men should
have equal opportunities, and targeted efforts to
address gender inequalities may be needed.7
Here are a couple of examples demonstrating the
promotion of national ownership while fostering
local consent:

In its first year, The United Nations Stabilization


in Mission in Haiti (MINUSTAH) had limited

7 UN Peacekeeping Operations. Basic Principles


of United Nations Peacekeeping (Capstone
Doctrine), 38-40.

62 |

cooperation from the local population in


the capital. This was mostly because of
the communitys fear of criminal gangs that
dominated the neighbourhoods. These gangs
were spoilers in the peace process.
In 2005, after the military component of
MINUSTAH re-established security in the
Bel-Air neighbourhood, it started to work on
civil activities and Quick Impact Projects (QIPs).
For example, the UN military peacekeepers
began cleaning up mountains of garbage from
the streets, which had been used as barricades
by the gangs. The garbage had been a symbol
of the gangs hostile presence and of urban
poverty, as well as a source of disease.
When the military had literally cleaned up the
streets right after they had eliminated the threat
of gangs in Bel-Air, the population felt they could
trust them and soon began to help them in the
cleaning process. This illustrates a practical
way the mission gained the consent of the
local population to their presence. This consent
helped prevent the spoilers from being able to
return to the neighbourhood.

One of the first examples of a UN peacemaking

initiative was the appointment of the Swedish


diplomat Count Folke Bernadotte as the UN
Mediator in Palestine in 1948, using his good
offices to promote a peaceful adjustment of the
future situation in Palestine (General Assembly
Resolution 186 of 14 May 1948).8

What Can You Do as a Peacekeeper?


Talk to local people about their different views on
the root causes of the conflict and how they can
help address these root causes.
It is important that peacekeeping personnel talk
to diverse members of society about their needs
and how the mission can improve their lives.
This means local officials, non-governmental
organizations, different political parties, womens
associations, and youth and student groups.
All opinions and views need to be heard and
8 UN Peacekeeping PDT Standards, Core
Pre-deployment Training Materials, 1st ed. (2009),
56.

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understood. It is also practical to have an


understanding of local history, culture, and values.
Peacekeeping personnel should continuously
consult and discuss their work with different people
and groups in the community to make sure that the
needs of the community are properly being met by
the work of the peacekeepers.9

5.4 The Essential Qualities of a


Peacekeeper
No matter their level, all peacekeeping personnel
military, police, and civilian play a critical role
in representing the peacekeeping operation in their
daily work and lives.
All peacekeeping personnel should practice the
fundamental principles of UN peacekeeping and
understand how their work contributes to the
success of their mission. The essential qualities
of peacekeeping personnel are listed below. Each
peacekeeper must:

Meet the highest standards of efficiency,

A member of the Swedish Infantry Battalion attached


to the UN Peacekeeping Force in Cyprus (UNFICYP) finds
a feathered friend at Battalion Headquarters, Larnaca.
(UN Photo #110885 by John Isaac, 01 June 1980)

competence, and integrity;

Be impartial;
Be mindful of the need to prioritize peaceful
solutions;

Be aware of local history, customs, and culture;


Be able to analyse and report on their operating
environment;

Use good judgement and can communicate the


reason for their actions;

Be able to manage local expectations and


explain the mission mandate; and

Promote the national and local ownership while


remaining inclusive and impartial.10

For more information, visit <www.un.org/Depts/


dpko/CDT/index.html>

9 Ibid.
10 UN Peacekeeping PDT Standards, Core
Pre-deployment Training Materials, 1st ed. (2009),
57-58.

Summary
Maintaining the credibility and legitimacy of a UN
peacekeeping mission is a critical success factor.
Credibility is a direct reflection of the international
and local communities belief in the missions ability
to achieve the mandate and meet expectations. A
peacekeeping mission derives its legitimacy from
international support, adherence to statutory laws,
and conventions. The bearing and behaviour of
all personnel must be of the highest order, and
actions must be in keeping with the responsibilities
entrusted to a United Nations peacekeeping
operation. Finally, national and local ownership
is critical to the successful implementation of
the peace process. Effective approaches to
national and local ownership not only reinforce the
perceived legitimacy of the operation and support
mandate implementation, they also help to ensure
the sustainability of national capacity once the
peacekeeping operation has been withdrawn.
When peacekeepers practice the essential qualities
of efficiency, competence, and integrity, as well as
impartiality and respect or diversity, these other
success factors will yield strong results.

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End-of-Lesson Quiz
1. The conditions surrounding United Nations
Peacekeeping Operations are not usually
characterized by:

6. National and local ownership:

A. Violence.

B. Stalls cooperation between actors.

B. The degradation of state structures.


C. A security vacuum.

A. Disrupts the sustainability of any national


capacity.
C. Supports mandate implementation.
D. Is oriented to build multi-national capacity.

D. Low-stress environments.

2. In order to maintain credibility, one must:


A. Appear intimidating.

7. In multidimensional UN peacekeeping
operations:
A. Activities must support and build national
capacity.

B. Avoid false promises.


C. Keep a strong posture as a firm actor.
D. Avoid negotiating with any parties.

3. A peacekeeping mission derives its


legitimacy from:
A. The credibility of the mission.
B. International backlash.

B. Activities must displace national capacity.


C. Efforts for gender equality should be minimized.
D. The UN will devise a plan for long-term control
of the state.

8. Partnerships with national actors should be


weighed against:
A. Stability.

C. The use of force.


D. Breaking established local laws.

B. Inclusiveness.
C. The opinions of powerful actors.
D. The status quo.

4. Legitimacy:
A. Is an optional asset for UN Missions.
B. Is undesirable for UN Missions.
C. Is not necessary in all UN Missions.
D. Is one of the most important assets for UN
Missions.

5. The impartiality of peacekeepers is


necessary:

9. When building national capacity, both


women and men should have:
A. The right to vote on madates.
B. The same views on the root causes of the
conflict.
C. Different avenues to voice their concerns.
D. Equal opportunities.

A. Only in social circumstances.


B. At all times, in all dealings, and under all
circumstances.
C. Only when using force.
D. Only when dealing with the host countrys
politicians.

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10. All UN peacekeeping personnel should:


A. Not attempt to manage local expectations.
B. Avoid interacting with different groups in the
community.
C. Be neutral.
D. Be aware of local history, customs, and cultures.

ANSWER KEY
1D, 2B, 3A, 4D, 5B, 6C, 7A, 8B, 9D, 10D.

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UNIT II

THE ESTABLISHMENT AND FUNCTIONING OF


UN PEACEKEEPING OPERATIONS
Provided By Australian Defence Force Peace Operations Training Centre
(ADF-POTC):

PART 1: ESTABLISHMENT AND


OPERATIONALIZATION OF SECURITY COUNCIL
MANDATES IN PEACEKEEPING OPERATIONS
LESSON 1: THE MANDATE
1.1: The Security Council Mandate
1.2: The Decision to Deploy a UN Peacekeeping Operation
1.3: The Process for the Establishment and Operationalization
of Security Council Mandates
Lesson 1 Quiz
LESSON 2: IMPLEMENTATION OF THE MANDATE,
TRANSITION, AND WITHDRAWAL
2.1: Implementing the Mandate
2.2: Transition and Withdrawal 2.3: Benchmarks
Lesson 2 Quiz
LESSON 3: THE MANDATE
3.1: Key Aspects of the Operational Framework
3.2: Key Operational Documents 3.3: Additional Documents
Lesson 3 Quiz

LESSON 1
THE MANDATE

LESSON
1

LESSON OBJECTIVES
1.1: The Security Council
Mandate
1.2: The Decision
to Deploy a UN
Peacekeeping
Operation
1.3: The Process for the
Establishment and
Operationalization
of Security Council
Mandates

The aim of this lesson is to inform peacekeeping personnel about the


establishment and deployment of United Nations peacekeeping missions
by the UN Security Council and the UN Secretariat. After completing this
lesson, the student should be able to:

Describe how the Security Council establishes a mandate for a UN


peacekeeping operation; and

Explain why all peacekeepers must be familiar with the mandate of their
peacekeeping operation.

Introduction
Peacekeeping operations are established by the Security Council, which is
the organ with primary responsibility for international peace and security
according to the United Nations Charter. This lesson focusses on gaining
an understanding of the process for the establishment and operationalization of Security Council mandates for peacekeeping operations.
In this context, the definition of operationalize is to make something
operational. This is achieved by the development of written plans and
directives that explain how peacekeeping operations should carry out
mandated tasks and what resources they are able to use.
The Security Council passes a resolution authorizing the operations
deployment, determining the size of the mission as well as the missions
mandate. Then, the budget and resources of the mission are subject to the
General Assemblys approval.

The written guidance provided for a missions tasks


and objectives is directly related to the Security
Councils mandate for the peacekeeping operation.
Some elements of a Security Council mandate may
appear open to interpretation; therefore, the UN
Secretariat and the leadership of the peacekeeping
operation will also provide detailed plans. These
plans interpret the mandate and describe the roles
and responsibilities of each component of the
mission in implementing the mandated tasks.

operation. Locals may ask peacekeeping personnel


about what they are doing there. It is important
to be able to explain clearly why a peacekeeping
operation is in a particular country according to the
functions of its mandate.1

The Security Council monitors the progress


that peacekeeping operations make toward
implementing their mandates. Reports that are
written in mission contribute to the overall report
that the Secretary-General provides to the Security
Council as part of the monitoring process. All
peacekeeping personnel should be familiar with
the mandate and the relevant guidance documents
outlining their responsibilities.
These principles provide a compass for
peacekeeping personnel, both in the field and
at United Nations Headquarters. It is important
that everyone who is involved in United Nations
peacekeeping operations understands the meaning
and practice of these principles. They must be
applied in all aspects of peacekeeping planning
and conduct.

1.1 The Security Council Mandate


The mandate for a peacekeeping operation, as
established by the Security Council, defines a
missions responsibility. The Security Council
mandate provides international legitimacy for
the presence of a peacekeeping operation in a
particular country. Mandates are often the result
of long and complex negotiations between Council
members.
The mandate of a mission is a document that
comes directly from Security Council resolutions
and is central to all peacekeepers. It should
specify the tasks to be carried out and will translate
readily into each component of the mission. The
mandate will determine the degree of force that
can be used in order to execute the mission
and provide for the self-defence of individuals,
protected personnel, and deployed units in the

The Security Council unanimously adopted resolution 2088 (2013),


extending the mandate of the UN Integrated Peacebuilding Office in the
Central African Republic (BINUCA) until 31 January 2014. A close-up of
Philip Parham, Deputy Permanent Representative of the United Kingdom
to the UN, during the Council vote on the resolution. (UN Photo #541240
by Evan Schneider, 24 January 2013)

The mandate must be clear and achievable. Since


the credibility of a United Nations peacekeeping
operation is dependent on its ability to carry out its
mandated tasks, it is important to ensure that the
mandate accurately reflects the capabilities and
resources that contributing nations are able and
willing to provide.
Mandates for traditional peacekeeping operations
often do not mention a peace agreement because
it is likely that one does not exist yet. A ceasefire
may exist however, and may be mentioned in the
mandate.
Mandates of multidimensional peacekeeping
operations must all mention the name of a specific
peace agreement because the mandate of the
mission is to support the implementation of that
peace agreement.2 Often, multidimensional
1 UN Peacekeeping Operations Principles and
Guidelines (Capstone Document).
2 UN DPKO. Handbook on UN Multidimensional
Peacekeeping Operations.

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peacekeeping operations are mandated to facilitate


humanitarian assistance. Peacekeeping operations
generally do not provide humanitarian assistance
directly. Usually the role of the mission will be to
provide security or support to humanitarian actors
who are providing humanitarian assistance outside
of the peacekeeping operation.3
Particularly, the mandates for multidimensional
peacekeeping operations will have one or more
references to women and children because the
Security Council recognizes that they often suffer
most during a conflict.
The UNMIS Mandate
Lets consider an example of a Security
Council mandate, such as the one enacted for
peacekeeping operations in the Sudan. Having
determined that the situation in the Sudan
continued to constitute a threat to international
peace and security, the Security Council decided
to establish the United Nations Mission in Sudan
(UNMIS) 4, by its resolution 1590 (2005) of 24
March 2005. It also decided that the UNMIS
mandate would be the following:
1. To support implementation of the
Comprehensive Peace Agreement by performing
the following tasks:

Monitoring and verifying the implementation

of the Ceasefire Agreement and investigating


violations;

Liaising with bilateral donors on the formation of


Joint Integrated Units;

Observing and monitoring movement of armed

groups and redeployment of forces in the areas


of UNMIS deployment in accordance with the
Ceasefire Agreement;

Assisting in the establishment of the

disarmament, demobilization, and


reintegration program (DDR) as called for

3 UN Peacekeeping PDT Standards, Core


Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.
4 Following the independence of South Sudan on
9 July 2011, UNMIS ended and the United Nations
Mission in South Sudan (UNMISS) began.

72 |

Members of the Bangladesh De-mining Company of the


UN Mission in Sudan (UNMIS) prepare to destroy the
anti-personnel landmines, previously decommissioned
by the Sudanese Peoples Liberation Army, in accordance
with the provisions of the 1997 Ottawa Treaty. (UN
Photo #172512 by Tim McKulka, 31 March 2008)

in the Comprehensive Peace Agreement,


with particular attention to the special needs
of women and child combatants, and its
implementation through voluntary disarmament
and weapons collection and destruction;

Assisting the parties to the Comprehensive

Peace Agreement in promoting understanding


of the peace process and the role of UNMIS
by means of an effective public information
campaign, targeted at all sectors of society, in
coordination with the African Union;

Assisting the parties to the Comprehensive

Peace Agreement in addressing the need for a


national inclusive approach, including the role of
women, toward reconciliation and peacebuilding;

Assisting the parties to the Comprehensive

Peace Agreement, in coordination with bilateral

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

and multilateral assistance programs, in


restructuring the police service in the Sudan,
consistent with democratic policing, to develop
a police training and evaluation program, and to
otherwise assist in the training of police;

Assisting the parties to the Comprehensive

Peace Agreement in promoting the rule of


law, including an independent judiciary, and
the protection of human rights of all people
of the Sudan through a comprehensive and
coordinated strategy with the aim of combating
impunity and contributing to long-term peace
and stability, and assisting the parties to the
Comprehensive Peace Agreement to develop
and consolidate the national legal framework;

Ensuring an adequate human rights presence,


capacity, and expertise within UNMIS to carry
out human rights promotion, protection, and
monitoring activities; and

Providing guidance and technical assistance

to the parties to the Comprehensive Peace


Agreement in cooperation with other international
actors, to support the preparations for and
conduct of elections and referenda provided by
the Comprehensive Peace Agreement;

2. To facilitate and coordinate, within its


capabilities and in its areas of deployment,
the voluntary return of refugees and internally
displaced persons, and humanitarian assistance,
inter alia, by helping to establish the necessary
security conditions;
3. To assist the parties to the Comprehensive
Peace Agreement, in cooperation with other
international partners in the mine action sector,
by providing humanitarian demining assistance,
technical advice, and coordination;
4. To contribute to international efforts to protect
and promote human rights in the Sudan, as well
as to coordinate international efforts toward the
protection of civilians, with particular attention to
vulnerable groups including internally displaced
persons, returning refugees, and women and
children, within UNMISs capabilities and in close
cooperation with other United Nations agencies,
related organizations, and non-governmental
organizations.

Members of the Indian contingent serving with the UN Mission in South


Sudan (UNMISS) on patrol in Pibor, Jonglei State. (UN Photo #557252 by
Martine Perret, 24 July 2013)

Acting under Chapter VII of the UN Charter, the


Security Council also:

Decided that UNMIS would be able to authorize

all necessary action for the protection of UN


personnel, facilities, installations, and equipment
in areas of deployment. The mandate ensures
the security and freedom of movement of United
Nations personnel, humanitarian workers, joint
assessment mechanisms, and assessment
and evaluation commission personnel. It also
protects civilians under imminent threat of
physical violence; and

Requested that the Secretary-General and the

Republic of the Sudan, following appropriate


consultation with the Sudan Peoples Liberation
Movement, conclude a status-of-forces
agreement within 30 days of adoption of the
resolution, taking into consideration General
Assembly resolution 58/82 on the scope of legal
protection under the Convention on the Safety
of United Nations and Associated Personnel,
and notes that pending the conclusion of such
an agreement, the Model Status of Forces
Agreement dated 9 October 1990 [A/45/594]
shall apply provisionally.5

5 UN DPKO. Guidelines for Troop Contributing


Countries Deploying Military Units to the United
Nations Mission in Sudan.

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1.2 The Decision to Deploy a UN


Peacekeeping Operation
As explained earlier, the Security Council
determines when and where a United Nations
peacekeeping operation should be deployed. The
Security Council will always address each crisis
on a case-by-case basis in order to find the most
suitable response for that particular case. When
there is a crisis or a dispute between countries,
either a Member of the Security Council or the
Secretary-General can ask the Security Council to
consider and debate that particular situation.
If the Security Council considers that the situation
poses a risk to international peace and security,
it may ask the Secretary-General to initiate UN
conflict prevention or peacemaking measures,
or it may choose to monitor such measures
that regional powers are already undertaking.
Depending on how the situation evolves, the
Security Council may consider whether or not the
United Nations should deploy a peacekeeping
operation.6

and its partners should also conduct a vigorous


assessment of the requirements for a longer-term
engagement. In conducting this assessment,
worst-case scenarios should be examined as an
aid in planning.

1.3 The Process for the Establishment


and Operationalization of Security
Council Mandates
The Security Council asks the Secretary-General
to advise in the form of a written report whether
a peacekeeping operation should be deployed
and what a potential peacekeeping operation
should be mandated to do. In this document, the
Secretary-General will report whether:

The situation is a threat to international peace


and security;

Regional or sub-regional organizations and

arrangements exist and are ready and able to


assist in resolving the situation;

A clear political goal exists and whether it can be


reflected in the mandate;

A ceasefire exists and parties are committed to a


peace process;

A precise mandate for a United Nations


operation can be formulated; and

Safety and security of UN personnel can


reasonably be guaranteed.

A military delegation from Bamako arrived in Tessalit, in northern


Mali, for meetings with community leaders and commanders of the UN
Multidimensional Integrated Stabilization Mission in Mali (MINUSMA). (UN
Photo #557568 by Marco Dormino, 27 July 2013)

The deployment of a United Nations peacekeeping


operation is only the beginning of a long-term
but volatile peace and capacity-building process.
When recommending to the Security Council
the necessary resources and capabilities for
the peacekeeping operation, the Secretariat

In practice, this means that the Secretary-General


considers the strategic level issues explained
in Unit I, such as whether the main parties to
the conflict will consent to the deployment of a
peacekeeping operation.
If they will not consent to the peacekeeping
operation, the Secretary-General will not
recommend the deployment of a peacekeeping
operation. If the Secretary-General recommends
the deployment of a peacekeeping operation, he
or she will also make specific recommendations,
based on a strategic assessment of the situation,
about the potential mandate, functions, and tasks
of a potential UN peacekeeping operation.

6 UN at a Glance: <http://www.un.org.en/
aboutun/index.shtml>.

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From *Integrated Mission Planning Process. See page 76.

As soon as the security conditions permit,


the Secretariat usually deploys a Technical
Assessment Mission (TAM) to the country or
territory where the deployment of a United Nation
mission is envisaged. The role of the TAM is to
analyse and assess the overall security, political,
humanitarian, and military situation on the ground,
and the implications of an eventual United Nations
peacekeeping operation. Based on the findings
and recommendations of the TAM, the United
Nations Secretary-General normally issues a
report to the Security Council, recommending
options for the possible establishment of a United
Nations peacekeeping operation, its recommended
scale, and the potential resources available.
Information and analysis of the possible
mandate and capabilities of a UN peacekeeping
operation not only involve the UN Department
for Peacekeeping Operations (DPKO) and the
Department of Field Support (DFS), but also
the wider UN system, including UN actors
already in the country, as well as Member

States that contribute troops, police, and money.


UN peacekeeping operations rely on these
contributions from Member States; therefore, they
must involve these Member States in the planning
process. UN peacekeeping operations do not have
all the resources or expertise required to fulfil every
aspect of their mandate, for instance, in areas such
as Disarmament, Demobilization, and Reintegration
(DDR), Security Sector Reform (SSR), or rule of
law. The peacekeeping operation will need to rely
on the assistance of other UN agencies, funds,
and programmes to ensure long-term sustainable
peace, and therefore, they must also be involved in
the planning process.7
The Integrated Planning Approach
Successful recovery from conflict requires the
engagement of a broad range of actors, including
the national authorities and the local population.
The rationale for the integration of activities
7 United Nations Peacekeeping Operations
Principles and Guidelines (Capstone Document).

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Provided by the Australian Defence Force Peace Operations Training Centre

undertaken by the United Nations is to better assist


countries to make this transition from conflict to
sustainable peace. The peacekeeping operation is
likely to be far more effective when it is deployed
as part of a United Nations system-wide response
based on a clear and shared understanding of
priorities, as well as a collective willingness on the
part of all United Nations actors to contribute to the
achievement of a common goal.
Integrated Mission Planning Process
In order to ensure that the Secretary-General
presents one common strategic vision of the
United Nations, the Secretariat uses an Integrated
Mission Planning Process (IMPP). The IMPP
brings together all the relevant departments and
agencies of the United Nations, and also works
with the UN Country Team (UNCT) already present
in that country to provide a strategic assessment
of the situation. Among other things, they assess
the commitment of the warring parties to the
ceasefire or peace agreement and whether
there is an achievable political goal for a UN

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peacekeeping operation in the country to which a


precise mandate can be tailored. They also assess
the extent to which the safety and security of UN
personnel can reasonably be guaranteed.
The IMPP develops and proposes the possible
tasks that a UN peacekeeping operation should
undertake, and these are included in the
Secretary-Generals report to the Security Council.
DPKO and DFS also liaise closely with Troop
Contributing Countries (TCCs), Police Contributing
Countries (PCCs), and donor countries to make
sure that there will be resources available for
a peacekeeping mission to carry out the tasks
recommended for inclusion in the mandate.
The graphic above highlights the IMPP philosophy
of overcoming the challenges of multi-agency
functionality by demonstrating a linkage between
interagency and individual agency work plans, the
mission implementation plan for the peacekeeping
operation, and the Mission support plans. 8
8 UN DPKO Integrated Training Service.
Standard Generic Training Modules.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

As discussed earlier, the Security Council reviews


the Secretary-Generals report before making a
formal decision on authorizing the deployment of a
UN peacekeeping operation. If the Council decides
to deploy a peacekeeping mission, then the
mandate is issued in a Security Council resolution.
The mandate will vary from situation to situation,
depending on the nature of the conflict and
the type of peacekeeping operation authorized
by the Security Council, whether traditional,
multidimensional, or transitional authority. In some
cases, the Security Council may amend or add
additional resolutions to the original mandate.
If changing circumstances on the ground
warrant an adjustment to a missions mandate,
this should be done explicitly on the basis of an
objective re-evaluation of the United Nations role
in the situation. If a change in mandate entails
a significant increase in the number, scope, or
complexity of the tasks assigned to a mission, the
Secretariat should seek the necessary additional
resources to match a revised mandate.
Since UN peacekeeping operations are normally
deployed to support the implementation of a
ceasefire or peace agreement, Security Council
mandates take into consideration the nature
and content of those agreements. In this way,
every mandate for a UN peacekeeping operation
is adapted to a particular conflict situation and
existing peace agreements. Security Council
mandates for peacekeeping operations also reflect
the concerns of the international community on
specific issues or themes. With respect to UN
peacekeeping operations, the Security Council is
particularly concerned about:

Women, peace, and security (the Security

Council has issued multiple resolutions on this


topic, including 1325 (2000), 1820 (2008), 1888
(2009), 1889 (2009), and 1960 (2010)

Children and armed conflict, Security Council


resolutions 1539 (2004), 1612 (2005), 1881
(2009), and 1998 (2011); and

Protection of civilians in armed conflict, Security

Council resolutions 1674 (2006) and 1898 (2011).

Kaltoum Adam Imam with one of her five children collects millet in a
land rented by a community leader in Saluma Area, near El Fasher (North
Darfur). She works with her sister Sadias (in background). Both are from
Tarne village (some kilometres away) and they emigrated to Saluma due
to security reasons. Twice a week, the African Union-UN Hybrid Operation
in Darfur (UNAMID) organizes patrols to escort women, like Imam, who
are farming and collecting firewood in rural areas. (UN Photo #456887 by
Albert Gonzalez Farran, 21 November 2010).

For this reason, the mandates for most


multidimensional peacekeeping operations will
include specific tasks related to the protection of
women, children, and civilians.

Summary
All peacekeeping personnel should have a
thorough understanding of the mandate of the
peacekeeping operation in which they are working.
They should also be aware of any changes to the
mandate authorized by the Security Council during
their deployment. The Security Council mandate
provides legitimacy for an operations presence in
the country. It is a public document which can be
shared with the local population. A peacekeeper
should be able to explain clearly to anyone in the
country why the peacekeeping operation is there
and what it is doing.
Additional documents that translate the Security
Council mandate into specific tasks for different
components of the peacekeeping operation will be
discussed later in Unit II. These documents, along

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with the Security Council mandate, will guide each


individuals work in a peacekeeping operation.
These documents are based on the Security
Council mandate, but they are documents for
internal use within the mission.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. Which United Nations body authorizes the
operations deployment and determines its
size and its mandate?

5. Mandates of multidimensional peacekeeping


operations all mention:

A. The General Assembly.

B. A specific peace agreement.

B. The Secretary-General.
C. The Security Council.
D. The Special Representative of the SecretaryGeneral.

2. Multidimensional peacekeeping operations


will have one or more references in the
mandate specifically targeting which
population group?
A. Refugees.
B. Elderly men and women.
C. Women and children.
D. People with disabilities.

3. When there is a dispute between countries,


who asks the Security Council to
consider and debate the particular situation?
A. A Member of the Security Council.
B. The Secretary-General.
C. The General Assembly.
D. Either a Member of the Security Council or the
Secretary-General

4. Information and analysis of the possible


mandate only involves:
A. The Department of Peacekeeping Operations
(DPKO) and Department of Field Support
(DFS)
B. Member States who contribute troops, police,
and money
C. The wider UN System including DPKO and
DFS, other actors already in country, and
Member states who contribute troops, police,
and money
D. The Security Council and Member States that
contribute troops, police, and money

A. A ceasefire agreement.
C. Humanitarian assistance.
D. A withdrawal date.

6. In order to ensure that the


Secretary-General presents one common
strategic vision of the United Nations, who
uses an Integrated Mission Planning Process
(IMPP)?
A. Member States
B. The General Assembly
C. Special Representative of Security Council
D. The Secretariat

7. The IMPP does not:


A. Only work with one department of the United
Nations
B. Assess the commitment of the warring parties
to a peace agreement
C. Assess the extent to which the safety and
security of UN personnel can be reasonably
guaranteed.
D. Develop the possible tasks that a UN
peacekeeping operation should undertake.

8. The Secretary-General advises in the form


of a written report whether:
A. A peacekeeping operation was successful.
B. A ceasefire exists.
C. The host country is wealthy.
D. Elections have been held.

9. Define operationalize.
10 Why must peacekeepers know how mandates
are established and operationalized?

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ANSWER KEY
1C, 2C, 3D, 4C, 5B, 6D, 7A, 8B,
9. The definition of operationalize in this context is to make something
operational. This is achieved by the development of written plans
and directives explaining how peacekeeping operations should
carry out mandated tasks and what resources they can use.
10. The missions mandate is central to all peacekeepers. It is a
document that comes directly from the Security Council resolutions.
It should specify the tasks to be carried out and will translate readily
to each component of the mission. The mandate will determine the
degree of force that can be used in order to execute the mission
and provide for the self-defence of individuals, protected personnel,
and deployed units in the operation. Locals may ask peacekeeping
personnel about what they are doing there. A peacekeeper should
be able to explain clearly why a peacekeeping operation is in a
particular country according to the functions of its mandate.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

LESSON 2
IMPLEMENTATION OF THE
MANDATE, TRANSITION, AND
WITHDRAWAL

LESSON
2

LESSON OBJECTIVES
2.1: Implementing the
Mandate
2.2: Transition and
Withdrawal
2.3: Benchmarks

The aim of this lesson is to inform peacekeeping personnel about how the
Security Councils mandate is implemented and monitored and to explain
the basis for decisions to withdraw or transition. By the end of Lesson 2,
the student should be able to meet the following objectives:

Describe how the Security Council monitors the Secretariat and the

peacekeeping operation while they are implementing the mandate; and

List and briefly describe the key benchmarks for transition or withdrawal
of multidimensional UN peacekeeping operations.

Introduction
The decision to end a missions mandate is a political one and rests
with the Security Council. A peacekeeping operation is designed
to be temporary. The goal is to stabilize the situation and lay the
groundwork for a stable and sustainable peace. The Council assesses
when peacekeeping operations can cease and when the remaining
responsibilities can be handed over to local authorities. These
assessments are not easy and the Security Council determines the
timetable with input from the Secretary-General, UN Headquarters, key
Member States, and the Special Representative of the Secretary-General
(SRSG).1

1 UN Peacekeeping Operations Principles and Guidelines (Capstone


Document).

2.1 Implementing the Mandate


The scale and tempo of the operation rises steadily
during the initial deployment and start-up phase,
reaches a plateau during mandate implementation,
and finally tapers off once handover and withdrawal
begin. Although they are conceptually distinct,
the various phases of the mission life cycle may
overlap. There will also be spikes of activity during
implementation as critical milestones and tasks are
achieved, such as during a large DDR programme,
during the period leading up to an election, or
during the critical months and years following the
formation of a new government.2

to him or her by the peacekeeping operation,


including its daily, weekly, and monthly reports to
headquarters.
Based on the information in these reports and
changes in the situation, the Security Council can
adjust or change the mandate of the peacekeeping
operation. Any changes to the mandate will
be issued in a Security Council resolution.
Peacekeepers should keep themselves informed of
any changes or additions to the original mandate
resolution.3

2.2 Transition and Withdrawal


Mission planning must include a transition or exit
strategy from the outset, with the understanding
that the strategy will require constant adjustment.
This may include coordinating, planning, and
preparing the political groundwork for a successor
mission, a systematic handover of responsibilities
to local authorities and other partners, or a joint
UN-system effort to move from post-conflict
priorities to a peacebuilding process.4

Albert Gerard (Bert) Koenders (centre), the SecretaryGenerals Special Representative and Head of the UN
Multidimensional Integrated Stabilization Mission in Mali
(MINUSMA), visits Kidal and Mopti during the second
round of presidential elections. (UN Photo #558346 by
Blagoje Grujic, 11 August 2013)

After authorizing a peacekeeping operation, the


Security Council continuously monitors how the
Secretariat and the peacekeeping operation
are implementing the mandate. They do this by
requiring the Secretary-General to submit regular
reports to the Security Council regarding the
countrys situation. The Security Council specifies
how often those reports must be submitted.
The Under Secretary-General of Peacekeeping
Operations will compile the reports on behalf of the
Secretary-General using the information provided
2 UN Peacekeeping PDT Standards, Core
Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.

Achatou Mindaoudou Souleymane (centre), Special Representative of


the Secretary-General and Head of the United Nations Operation in Cte
dIvoire (UNOCI), met with a delegation of the Higher Council of Kings
and Traditional Rulers of Cote dIvoire on 22 August 2013 to discuss
reconciliation, lasting peace and the development of Cote dIvoire. (UN
Photo #559269 by Basile Zoma, 22 August 2013)

3 UN at a Glance: <http://www.un.org.en/
aboutun/index.shtml>.
4 UN DPKO. Handbook on UN Multidimensional
Peacekeeping Operations.

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As the Security Council decides the deployment


of UN peacekeeping operations, it also makes
decisions on the withdrawal or transitions
of peacekeeping operations based on
recommendations from the Secretariat presented
in reports by the Secretary-General. In traditional
missions, the indicator for success of a mission
is clear; a traditional mission has successfully
completed its mandate once the states have
agreed to a peaceful resolution of their conflict.
For complex multidimensional missions, it is often
much harder to define when the peacekeeping
operation has successfully completed its mandate.
Through the Secretary-Generals reports and
Security Council resolutions, the United Nations
tries to set certain benchmarks or indicators of
success for individual peacekeeping operations,
but these are often difficult.
The process of handover, withdrawal, and
liquidation involves the departure of mission
personnel following the handover to all remaining
partners and the final disposal of mission assets
and infrastructure in accordance with UN rules.

In Tiebissou, Cte dIvoire, 40 km north of the capital


Yamoussoukro, convoys led by the National Armed Forces
of Cte dIvoire (FANCI) are transporting heavy weapons,
withdrawing them from the front line to relocate
them into collection centres. Disarmament is part of
the mandate of the United Nations Operation in Cte
dIvoire (UNOCI) established on 4 April 2004 (UN Photo
#72143 by Eskinder Debebe, 21 April 2005)

Progress toward the establishment of an

2.3 Benchmarks
There is no standard checklist that is applicable
to all situations. The appropriate benchmarks
are adapted to each situation. Factors depend
on the underlying causes of the conflict and their
dynamics. Benchmarks may also be amended
over time as the situation evolves. Examples of key
benchmarks include, but are not limited to:5

The absence of violent conflict and large-scale


human rights abuses as well as respect for
womens and minority rights

Completion of the DDR of former combatants

(male and female, adults and children) and


progress in restoring or establishing responsible
state institutions for security;

The ability of national armed forces and national


police to provide security and maintain public
order with civilian oversight and respect for
human rights;

5 UN DPKO. Benchmarks: <http://www.un.org/


Depts/dpko/missions/unmil/docs/html>.

84 |

independent and effective judiciary and


corrections system;

The restoration of state authority and the

resumption of basic services throughout the


country;

The return or resettlement and reintegration

of displaced persons with minimal internal


disruption or conflict in the areas of return or
resettlement; and

The establishment of legitimate political

institutions, such as a legislative branch of


government and free and fair elections where
women have equal rights to vote and seek
political office.

Wherever possible, benchmarks should be


established through dialogue with national
interlocutors. The mission should seek multiple
sources of validation in this process and should
not hesitate to report a deteriorating situation.
Remember that as the situation evolves, it may be
appropriate for the benchmarks to be amended.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

All peacekeepers should be familiar with any


conditions or benchmarks for withdrawal of their
respective peacekeeping operation as agreed upon
by the Security Council.

the Secretary-General in order to monitor the


withdrawal of the United Nations Assistance
Mission in Sierra Leone (UNAMSIL), which
completed its mandate in 2005.

For example, while not every UN peacekeeping


operation has clearly defined conditions or
benchmarks for withdrawal, the United Nations
Mission in Liberia (UNMIL) is one clear example
of how the Security Council can use detailed
benchmarks to measure progress and assess
when the peacekeeping operation has successfully
completed its mandate.
On the advice of the Secretary-General, some of
the benchmarks monitored by the Security Council
during UNMIL included:

Progress on security, illustrated by the Liberian

Governments development of a national security


strategy and the operationalization of its armed
forces and police units across the country

Reintegration of ex-combatants
Economic revitalization of the country and the

re-establishment of state authority over natural


resources

Progress on governance and rule of

law, including justice sector reform, the


promotion and protection of human rights
and the establishment of an Anti-Corruption
Commission and

Establishment of infrastructure and basic

services, including the renovation of 39 schools


and construction of 41 new schools. For more
information on these benchmarks, students
can download the Secretary-Generals reports
of 8 August 2007 (paragraphs 66 and 67 of
S/2007/479) and of 19 March 2008 (Annex I of
S/2008/183) using the relevant links at <http://
www.un.org/Depts/dpko/missions/unmil/docs.
html>.

It is important to note that the benchmarks have


become more detailed between the SecretaryGenerals reports of 2007 and 2008, and in 2008
they encompass all areas of the peacekeeping
operations mandate beyond the security-related
tasks. In a similar case, the Security Council
set certain benchmarks based on the advice of

Liberians celebrate the tenth anniversary of the Comprehensive Peace


Agreement (CPA), signed in Accra on 18 August 2003, which ended their
countrys 14-year civil war. (UN Photo #558966 by Staton Winter, 19
August 2013)

The benchmarks for UNAMSIL set by the Security


Council included:

Building the capacity of the army and police;


Reintegration of ex-combatants;
Restoration of government control over diamond
mining;

Consolidation of state authority throughout the


country; and

Ensuring progress to end the conflict in

neighbouring Liberia. For more information on


these benchmarks, students can download the
report of the Secretary-General of 5 September
2002 (S/2002/987) from <www.un.org>.

The withdrawal of a UN peacekeeping operation


should be planned and conducted in close
consultation with all relevant partners and national
stakeholders, to ensure minimal disruption of
international programmes as a result of the
missions departure and to minimize the impact on
the host population and environment.

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Summary
The Security Council monitors progress in the
implementation of the mandate by requesting
regular reports from the UN Secretary-General.
The Security Council uses these reports to assess
when a peacekeeping operation has completed its
mandate and to decide when a UN peacekeeping
operation should transition or withdraw. All
peacekeepers should be thoroughly familiar with
the mandate for their peacekeeping operation and
they should also be familiar with any established
benchmarks or conditions by which their progress
is measured.
The Security Council expressed its deep appreciation for the efforts
that have brought about the successful conclusion of the United Nations
Mission in Bosnia and Herzegovina (UNMIBH), the mandate of which will
expire on 31 December 2002. The Chair of the Presidency of Bosnia and
Herzegovina, Mirko Saric (left), delivering his statement. (UN Photo
#24474 by Mark Garten, 12 December 2002)

Traditional UN peacekeeping operations are


deployed as an interim measure to help manage
a conflict and to create conditions in which
negotiations of a lasting settlement can proceed.
As discussed earlier, a traditional United Nations
peacekeeping operation can be said to have
successfully completed its mandate once the
states have mutually agreed settlement to their
conflict. Since they have little direct involvement
in diplomatic efforts to resolve the conflict, some
traditional peacekeeping operations are deployed
for decades, due to the absence of a lasting
political settlement between parties. An example
of this is the UN Peacekeeping Force in Cyprus
(UNFICYP), an operation that has been active
since its establishment in 1964.6

6 UN DPKO. Mandates: <http://www.un.org/


Depts/dpko/dpko/index.asp>.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. The decision to end a missions mandate
rests with the:

successful once:

A. General Assembly.

A. The states have agreed to a peaceful resolution


of the conflict.

B. Secretary-General.

B. Civilian casualties decrease.

C. Security Council.

C. The ruling party of the host country is forced out


of power.

D. Secretariat.

2. Changes to a missions mandate will be


issued in a:
A. Written report by the General Assembly.
B. New peace agreement.
C. Security Council resolution.
D. Signed agreement from Member States.

3. Who compiles the monitoring reports on


behalf of the Secretary-General?
A. A Member of the Security Council.
B. The Secretary-General.
C. The General Assembly.
D. The Under Secretary-General of Peacekeeping
Operations.

4. For complex peacekeeping missions, what


can be used to assist with deciding if a
mission is successful?
A. Benchmarks.
B. Surveys.
C. Written reports from the warring parties.
D. Member State votes.

5. Mission planning must include a transition


or a ______ strategy.
A. Takeover
B. Exit.
C. Retreat
D. Winning

6. A traditional peacekeeping mission is

D. All weapon stockpiles have been destroyed.

7. The restoration of state authority is an


example of:
A. A ceasefire agreement.
B. An original mandate.
C. A key benchmark.
D. An exit strategy.

8. The United Nations Mission in Liberia


(UNMIL) is one clear example of how the
Security Council can use:
A. Military force to garner international support.
B. Media to sway public opinion.
C. National police to provide security.
D. Detailed benchmarks to measure progress.

9. Traditional UN peacekeeping operations


are deployed as a/an _____ measure to help
manage a conflict.
A. Permanent
B. Interim
C. Strictly military
D. Perilous

10 Which is not a benchmark for the success of


a peacekeeping operation?
A. The absence of violent conflict and large-scale
human rights abuses.
B. Completion of the DDR of former combatants.
C. The return or resettlement and reintegration of
displaced persons.
D. Absence of an independent judicial system.

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ANSWER KEY
1C, 2C, 3D, 4A, 5B, 6A, 7C, 8D, 9B, 10D

88 |

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

LESSON 3
TRANSLATING SECURITY
COUNCIL MANDATES INTO AN
OPERATIONAL FRAMEWORK

LESSON
3

LESSON OBJECTIVES
3.1: Key Aspects of
the Operational
Framework

The aim of this lesson is to inform peacekeeping personnel about how


additional frameworks must be put in place in order to operationalize the
Security Council mandate. By the end of Lesson 3, the student should be
able to meet the following objectives:

3.2: Key Operational


Documents

Briefly describe the key aspects of this operational framework; and

3.3: Additional Documents

List and describe the key operational documents.

Introduction
Security Council mandates can be relatively vague. They are only meant
to provide high-level strategic direction to the peacekeeping operation.
Additional frameworks must be put in place to operationalize the Security
Council mandate.
It is essential that all peacekeepers of all nations, whether military,
police, or civilian, understand and respect the key operational and legal
framework for United Nations peacekeeping operations. The conduct of
every individual represents the United Nations, and any mistake at the
tactical level may greatly affect the operation.

3.1 Key Aspects of the Operational


Framework
The framework provides clarity on how to interpret
the mandate and the roles and responsibilities
of different components in implementing the
mandated tasks. As explained in Unit I, the
Security Council delegates the operational
authority for the direction of peacekeeping
operations to the Secretary-General, who in turn
delegates that authority to the Under SecretaryGenerals of DPKO and DFS and the Head of
Mission (HOM). Once the Security Council issues
a mandate, those parts of the Secretariat use the
mandate to establish the operational framework for
the peacekeeping operation.1
Key aspects of this operational framework include:

A field-level strategic plan (this document may

comprehensive strategic overview of the priority


tasks that will be carried out by each component of
the peacekeeping operation, in order to optimize
the use of resources and to fulfil the mandate
ordered by the Security Council. The Mandate
Implementation Plan outlines the timelines, roles,
and responsibilities for different components of the
mission, and in some cases for other UN agencies
working in the country as well. Generally, it is a
plan that has been initiated by the Technical or
Strategic Assessment Team (TAM) and finalized
by the senior management group of the mission in
collaboration with UN Headquarters in NY. When a
mission is integrated with the UNCT, the Integrated
Strategic Framework is used to reference all of
these tasks critical to consolidating peace by the
entire UN system. In this context, the entire UN
system means the UN peacekeeping operation
and the UNCT.3

have different names depending on the mission,


such as the Mandate Implementation Plan or the
Integrated Strategic Framework (ISF);

Concept of Operations (CONOPS);


Rules of Engagement (ROE); and
Directive on the Use of Force (DUF).

3.2 Key Operational Documents


In order to provide greater clarity about the
UN strategy to implement the Security Council
mandate and specific tasks required as part of this
strategy, UN peacekeeping operations generally
have a strategic planning document focused on
the field level. This document has different names
in different missions. It is usually called either the
Mandate Implementation Plan or the Integrated
Strategic Framework (ISF).2
The Mandate Implementation Plan
The Mandate Implementation Plan, or the
Integrated Strategic Framework (ISF) as it is also
known in a specific context, presents a detailed and
1 UN Peacekeeping Operations Principles and
Guidelines (Capstone Document).
2 UN Peacekeeping PDT Standards, Core
Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.

Kay Rala Xanana Gusmo (third from left, left side of table), Prime
Minister of Timor-Leste, meets with Andrew Hughes (third from right,
right side of table), UN Police Adviser, and the members of the DPKO
Assessment Team, during an eleven day visit to review the key areas of
support provided by the United Nations Mission in Timor-Leste (UNMIT).
(UN Photo #171726 by Martine Perret, 18 March 2008)

Concept of Operations (CONOPS)


Both the military and police components will
maintain their own separate Concept of Operations
(CONOPS). The CONOPS is a strategic planning
document that outlines the key security objectives,
requirements, and tasks for the military and police
components to fulfil their responsibilities in the
Security Council mandate.
3 UN at a Glance. <http://www.un.org.en/
aboutun/index.shtml>.

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The Military CONOPS is prepared by the Military


Planning Service of DPKO and is an internal
UN document. In most missions, the Head of
the Military Component (HOMC) may also issue
a Military Operations Plan (often known as the
Military Operation Order) to supplement the
CONOPS. This is the HOMCs formal written
direction to the military component and is
developed to directly support the strategy and
priorities of CONOPS.4
The Standard Police CONOPS is prepared by
the Police Division of DPKO and includes the
latest situation updates, the requirements of the
police components from the mission mandate,
strategic directives from the UN Police Adviser,
and programmes for delivery and the expected
outcomes of Police operations and activities in the
mission.
The CONOPS also provides broad guidelines on
the command, coordination, administration, and
logistics, including the mandated strength of the
police component.

The Rules of Engagement (ROE)


The Rules of Engagement (ROE) outline the
authority of armed UN military personnel to use
force in implementing the mandate.5 They also
clearly state when armed UN military personnel
may not use force. The Rules of Engagement
apply to all armed military personnel and units in
the mission and they are tailored to the particular
mandate of that mission. They are legally binding
documents internal to the United Nations.
ROE are operational tools and are translated
into the mission purpose. They represent an
accommodation between the political purpose
of the United Nations deployment, the legal
constraints of the force, and the military mission.
The ROE for peacekeeping is normally restricted to
self-defence. Contributing nations will require their
personnel to comply with their own laws, which
may require some national amplification of the ROE
to ensure such compliance.
ROE authorize military personnel when force may
be used in the conduct of a mission or operation.
Thus, they:

Codify and quantify the use of force;


Provide guidance to commanders; and
Assist the soldier in executing his/her mission on
the ground.

An officer from the UN Integrated Mission in Timor-Leste (UNMIT)


Portuguese Formed Police Unit gives a self-defense lesson to members of
the Close Protection Corps (CSP), a specialized body guards unit of the
Timorese National Police, at the Police Academy in Dili, Timor-Leste. (UN
Photo #429054 by Martine Perret, 23 February 2010)

4 UN DPKO. Handbook on UN Multidimensional


Peacekeeping Operations.

92 |

ROE are issued as guidance; therefore, action


should be taken if it is judged to be necessary.
ROE also serve as a prohibition or an order not
to take specific action. However, no rule limits
the inherent right that all peacekeepers have to
self-defence. The Commander has the authority to
use any means necessary to defend the mandate
and to defend the units and UN personnel.

5 UN Peacekeeping PDT Standards, Core


Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Principles of ROE: Application of Force

The Directive on the Use of Force (DUF)

The following are the United Nations principles on


ROE:

There is an increasing number of police who are


deployed as part of a mission. The Directive on
the Use of Force (DUF) applies to all armed police
personnel and units in the mission and indicates
whether UN Police are armed and when they have
the legal authority to use force in implementing
their mandate.

Use force only when necessary;


Use minimum force;
A proportionate level of response;
Stop when hostile act has stopped;
Follow escalation procedures;
Control use of deadly force;
Minimise collateral damage;
Make positive identification of target(s); and
Comply with restrictions set by Head of Military
Component.

United Nations Master List


The United Nations Master List of numbered ROE
provides the rules from the specific ROE from
which future UNPKOs should be drawn.6 Although
the list is substantive, it is not exhaustive and may
be subject to subsequent adjustments as required.
Each mission will have its own set of ROE in
accordance with all of the legal aspects and factors
applicable to the mission. These ROE will be
printed on cards issued to each peacekeeper.7
The five basic ROE pertain to:
1. Use of force;
2. Use of weapon systems;
3. Authority to carry weapons;
4. Authority to detain, search, and disarm; and

Each DUF applies to a particular mission and


is specific to that particular mandate. All armed
UN peacekeeping personnel must be thoroughly
familiar with the relevant ROE or DUF. UN Military
or police personnel in a commanding role have a
responsibility to ensure that the personnel under
their command are thoroughly familiar with the
relevant ROE or DUF.
DPKO briefs Permanent Missions (the diplomatic
representation of a country to the United Nations)
in New York and provides copies of key documents
including CONOPS, ROE, and DUF. If an updated
copy of the ROE or DUF for a particular mission
is required in order to carry out such training,
peacekeeping training institutions should contact
their Permanent Mission to the United Nations in
New York.8
For further technical advice on training on ROE
or DUF, students may contact DPKOs Integrated
Training Service (ITS) at: <peacekeepingtraining@
un.org>.
For a more general overview of ROE, students
can also download a copy of the Guidelines for
the Development of Rules of Engagement (ROE)
for United Nations Peacekeeping Operations
from <http://peacekeepingresourcehub.unlb.org>
or contact <peacekeepingtraining@un.org> for a
copy.

5. Reaction to civil action and unrest.


Each of the five basic ROE has set pre-determined
options, with different levels of use of force and for
the control of their employment.
6 Ibid.
7 UN Peacekeeping Training. <http://www.
peacekeeping-training@un.org >.

8 Ibid.

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3.3 Additional Documents

The use of flags, uniforms, and the right to bear

There are three other documents that play key


roles in allowing a UN peacekeeping operation
to fulfil the Security Council mandate. Middle and
senior level peacekeeping personnel (military,
police, and civilian) should be aware of these
documents. These are the:

Privileges and immunities;

The Status of Forces Agreement (SOFA) (or in

missions without armed personnel it is the Status


of Mission Agreement (SOMA);

The Memorandum of Understanding (MOU)

between Troop Contributing Countries and the


United Nations; and

The Annual Results Based Budget (RBB) of the


mission.

Status of Forces Agreement (SOFA)


The Status of Forces Agreement (SOFA) is a legal
document agreed upon by the United Nations,
the host country, and the actors involved in a
peacekeeping mission in order to define the legal
status of the operation and its personnel. The
SOFA grants the privileges and immunities given
to mission commanders, UN officials, and experts
to all participants in a peacekeeping operation.
When a United Nations peacekeeping force enters
a state, the SOFA will normally have been agreed
upon previously. This will not be possible if the
state has failed or if the government is not in a
position to negotiate. The United Nations has a
standard form of SOFA (UN DocA/45/594, dated
9 October 1990).9 The SOFA applies to every
peacekeeper, so each individual should understand
what the agreement contains.
The SOFA normally includes discussions on:

The status of national contingents;

arms;

Jurisdiction: and
Claims and disputes.
Status of Mission Agreement (SOMA)
For UN peacekeeping operations or special
political missions with only unarmed personnel,
the UN establishes a Status of Mission
Agreement (SOMA), which also applies to all
mission personnel. These are legal agreements
that ensure that all peacekeeping personnel,
including military and police who are not
officially UN affiliated, are provided functional
immunity under the International Convention
on Privileges and Immunities just like UN
civilian staff. The agreements define the legal
status and arrangements for the UNs use of
facilities, transportation and other equipment,
communications, and freedom of movement in
the country, and sets out a mechanism by which
disagreements between the UN and the host
country can be resolved.
The Memorandum of Understanding (MOU)
The Memorandum of Understanding (MOU)
is a legal agreement outlining how the UN will
reimburse the governments for the troops,
formed police units, or equipment on loan to the
peacekeeping operation and details the obligations
of contributing governments in order to ensure
the due quality of said personnel and equipment.
The MOU also spells out the detailed obligations
of Troop Contributing Countries, contingent
commanders, and the troops in relation to
prevention of sexual exploitation and abuse in UN
peacekeeping operations.10

Freedom of movement within the area of


operations;

Easy access to that area;


Communications facilities necessary for the
performing of tasks;

Respect of local laws and conduct;


9 United Nations. <www.un.org>.

94 |

10 POTI. United Nations Military Observers:


Methods and Techniques for Serving on a UN
Observer Mission. 2008.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Provided by the Australian Defence Force Peace Operations Training Centre

The Results Based Budget (RBB)


The Results Based Budget (RBB) is the budget
mechanism by which the peacekeeping operation
seeks and receives funding from the UN General
Assembly to carry out its functions, activities,
personnel, equipment, supplies, and facilities. It
is important for all peacekeepers who supervise
personnel or require facilities and equipment to
ensure that their needs are covered in the annual
Results Based Budget, otherwise funding will not
be allocated for those necessities.

Summary
The UN Secretariat operationalizes Security
Council mandates through the Mandate
Implementation Plan or Integrated Strategic
Framework, the Concept of Operations (CONOPS),
Rules of Engagement (ROE), and Directive on the
Use of Force (DUF). Military personnel should be
thoroughly familiar with the Rules of Engagement,
and UN Police should be thoroughly familiar with
the Directive on the Use of Force.

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End-of-Lesson Quiz
1. The standard police CONOPS are prepared
by the:

7. The Status of Forces Agreement normally


includes discussions regarding:

A. Head of Mission (HOM)

A. Funding for equipment.

B. Special Representative of the


Secretary-General (SRSG)

B. Functional immunity.

C. Police Division of DPKO

D. Obligations to Troop Contributing Countries.

D. UN Police Advisor

2. Rules of Engagement (ROE) apply to:


A. UN Military Observers only.
B. Peacekeepers.
C. Both military and police personnel.
D. All armed military personnel and units in the
mission.

3. A strategic planning document focused on


the field level is usually called:

C. Jurisdiction.

8. The ______ is a legal agreement outlining


how the UN will reimburse the governments
for the troops, formed police units, or
equipment on loan to the peacekeeping
operation.
A. Status of Forces Agreement (SOFA)
B. Results Based Budget (RBB)
C. Memorandum of Understanding (MOU)
D. Status of Mission Agreement (SOMA)

A. The Mandate Implementation Plan or the


Integrated Strategic Framework (ISF).

9. The RBB seek funding from:

B. The Concept of Operations (CONOPS).

B. The UN General Assembly.

C. The Status of Mission Agreement (SOMA).

C. The UN Police Adviser.

D. The Memorandum of Understanding (MOU).

D. The Security Council.

4. List the United Nations principles on ROE.

10. Military personnel should be thoroughly


familiar with the ______, and UN Police
should be thoroughly familiar with the
________.

5. The Commander has the authority to use any


means necessary to:
A. Enforce the MOU.
B. Break local laws.
C. Control the civilian population.
D. Defend the mandate and to defend the units and
UN personnel.

6. To whom does DUF apply?

A. The United States.

A. Memorandum of Understanding, Directives on


the Use of Force
B. Rules of Engagement, Mandate
C. Status of Forces Agreement, United Nations
Master List
D. Rules of Engagement, Directive on the Use of
Force.

A. All armed police personnel and units in the


mission.
B. Peacekeepers.
C. Unarmed police personnel.
D. All armed military personnel.
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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

ANSWER KEY
1C, 2D, 3A,
4. The following are the United Nations principles on ROE:
Use force only when necessary;
Use minimum force;
Proportionate level of response;
Stop when hostile act has stopped;
Follow escalation procedures;
Control use of deadly force;
Minimise collateral damage;
Make positive identification of target; and
Comply with restrictions set by Head of Military Component.
5D, 6A, 7C, 8C, 9B, 10D.

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UNIT II

THE ESTABLISHMENT AND FUNCTIONING OF


UN PEACEKEEPING OPERATIONS
Provided By Australian Defence Force Peace Operations Training Centre
(ADF-POTC):

PART 2: HOW UNITED NATIONS PEACEKEEPING


OPERATIONS FUNCTION
LESSON 4: COMPONENTS OF A UN PEACEKEEPING OPERATION
4.1: Substantive and Support Components
4.2: Authority, Command, and Control
4.3: Management Structures
Lesson 4 Quiz
LESSON 5: UNDERSTANDING THE IMPORTANT WORK
OF OTHER SUBSTANTIVE COMPONENTS
5.1: The Military Component
5.2: The Police Component
5.3: The Civilian Component
Lesson 5 Quiz

LESSON 4
COMPONENTS OF A UN
PEACEKEEPING OPERATION

LESSON
4

LESSON OBJECTIVES

4.2: Authority, Command,


and Control

The aim of this lesson is to inform peacekeeping personnel about the


differences in the structure of the operation to suit each mandate that
has been authorized by the Security Council. However, regardless of the
exact structure of a peacekeeping operation, all missions have substantive
and support components. By the end of Lesson 4, the student should be
able to meet the following objectives:

4.3: Management
Structures

Explain the relationship between substantive and support components

4.1: Substantive and


Support Components

of a peacekeeping operation and mandate beneficiaries; and

List at least four main positions of authority in a UN peacekeeping


operation.

Introduction
UN peacekeeping personnel are part of a peacekeeping operation made
up of hundreds and often thousands of individuals. Every individual has
an important contribution to make, but the only way for the peacekeeping
operation to have an impact is if all personnel are working efficiently
and coherently towards the same goal. For this reason, not only do all
peacekeeping personnel need to understand their own work, but they
should also understand how their role affects and is affected by the
work of other components in the mission. All peacekeeping personnel
must understand authority, command, and control structures and the
coordination and management structures that direct and guide their work.
As explained in Unit I, Lesson 3, there are three main types of United
Nations peacekeeping operations: traditional, multidimensional operations,

and, in rare cases, transitional authorities.


However, there can be differences within the
structures of those operations. Not all traditional
peacekeeping operations will be structured in the
same way. This is also true for multidimensional
and transitional authority operations. Structures
differ because they are created to suit each
mandate authorized by the Security Council.
The mandate itself is geared to the unique
situation of the conflict of the country in question.
Therefore, there is no standard structure for
a UN peacekeeping operation, nor is there a
standard organizational chart for a traditional or
multidimensional peacekeeping operation. Each
peacekeeping mission is different.

4.1 Substantive and Support


Components
All missions have substantive and support
components that must work together for the
mandate beneficiaries (those persons or groups
whom the mission is mandated to assist). The
mission support components provide services to
the substantive components (military, police, and
civilian). Those substantive components in turn

provide services to the local beneficiaries listed in


the mandate.
There are a large number of units or offices within
the substantive and support components (as the
graphic at the bottom of the page illustrates).
Particularly on the substantive side, not all of these
different units will exist in every mission, depending
on whether it is a multidimensional peacekeeping
operation or a traditional one, and whether those
tasks are included in the mandate. For example,
landmines are not a problem in Timor-Leste, so
even though UNMIT is a multidimensional mission,
there is no demining mandate and correspondingly,
no Mine Action Unit in the mission. However,
UNMIT is mandated to provide support to the
government in holding elections, therefore it has an
Electoral Affairs Unit.1
For all UN peacekeeping operations, it can be
difficult to ensure that all components work
together in a coherent and effective manner. For
that reason, peacekeeping operations require
clear command and control structures to ensure
that decisions are effectively transmitted from the
head of the mission down to the relevant units.
It also means that peacekeeping operations
require strong management structures across the

1 UN Peacekeeping Operations Principles and


Guidelines (Capstone Document).

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various components to ensure that each is


using its resources efficiently. It also requires
that all peacekeeping personnel understand the
contribution of other components and sections
to the success of the operation, as well as the
importance of collaboration across the mission.

4.2 Authority, Command, and Control


The three levels of authority, command, and control
in UN peacekeeping operations are outlined below.
The strategic level is the highest level of authority
and focuses on the authority and responsibilities
of the Security Council, Secretary-General, and
the UN Secretariat. It also includes the Head of
Mission. The operational level is focused primarily
at the mission level and overlaps both with the
strategic level and the tactical level.2
AUTHORITY, COMMAND, AND CONTROL IN
UN PEACEKEEPING OPERATIONS

As you can see, the different levels of authority are


not as clear cut as in most military organizations,
and therefore will be explained in more detail.
As explained in Unit I, Lesson 1, the Security
Council provides the legal authority for all UN
peacekeeping operations and authorizes the UN
Secretary-General to establish a peacekeeping
mission. In Unit II, Lesson 1, we discussed how
the Security Council delegates responsibility to
the Secretary-General and the UN Secretariat to
2 UN Peacekeeping PDT Standards, Core
Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.

104 |

establish and conduct the peacekeeping operation


with responsibility for implementing the missions
mandate.
Specifically, the Secretary-General delegates
primary responsibility for the strategic level
management and direction of all UN peacekeeping
operations to the Under-Secretary-General of the
Department of Peacekeeping Operations (USG
DPKO). In exercising this responsibility the USG is
supported by other UN Departments responsible
for strategic level financial management, safety and
security oversight, and logistics and administrative
support.
As part of this responsibility to establish, direct,
and manage peacekeeping operations, the
United Nations has operational authority over all
military and police personnel participating in UN
peacekeeping operations. Operational authority is
defined as: the authority transferred by Member
States to the United Nations to use the operational
capabilities of their national military contingents,
units, Formed Police Units (FPUs), and/or military
and police personnel to undertake mandated
missions and tasks.3
Operational authority over such forces is vested
in the Secretary-General, under the authority of
the Security Council. This means that Member
States always retain national responsibility for their
military and police, such as pay, allowances, and
promotions. However, the government or national
military and police authorities of Member States
are not permitted to adjust or influence any tactical
plans, decisions, or operations supervised by the
Heads of the Military and Police Components in
the mission area. This prevents confusion in the
field. Member States may express any concerns
or interests they may have in regard to tactical
operations to the Department of Peacekeeping
Operations (DPKO) at UN Headquarters in New
York. National rules and regulations governing
the conduct and discipline of military and police
units continue to apply when deployed to a UN
peacekeeping mission. UN rules and regulations
will also apply.4
3 UN DPKO. Handbook on UN Multidimensional
Peacekeeping Operations.
4 UN at a Glance: <http://www.un.org.en/

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

The term operational authority is all-encompassing


and is not intended to be equivalent to any
particular command status in common use by
military forces around the world.
While the definition of operational authority
indicates that disciplinary matters remain a
national responsibility, the United Nations may
take administrative steps for misconduct, including
repatriation of military contingent members and
staff officers in accordance with the revised model
Memorandum of Understanding, (A/61/19 part III)
or disciplinary action for those military or police
deployed as Experts on Mission in accordance
with the UN Directives for Disciplinary
Matters Involving Civilian Police Officers
and Military Observers.

Component. The Head of Mission in MINURSO,


a traditional mission, is a civilian Special
Representative of the Secretary-General (SRSG),
assisted by a Head of Military Component who is
known as the Force Commander.
Other Positions of Authority
To maintain the integrity of the military and police
chains of command, the HOM can only exercise
authority over military and police personnel through
the respective heads of the military and police
components.

Head of Mission
The Secretary-General appoints the Head
of a UN Peacekeeping Mission (HOM). The
HOM exercises operational authority over
all civilian, military, and police personnel
employed within the UN peacekeeping
mission.
The Secretary-General and USG DPKO
grant this authority to the HOM upon
appointment. It means he or she has the
ultimate authority at the field level to direct
how the capabilities of all components in the
mission are used to carry out the mandate.
In a multidimensional peacekeeping operation,
the Head of Mission is always a civilian. He or she
generally holds the title Special Representative
of the Secretary-General, or SRSG for short. The
SRSG is the highest UN official in the country.
The Head of Mission in a traditional peacekeeping
operation is often a senior military officer who
performs the dual role of Head of Mission and
Head of the Military Component (HOMC). For
example, the Heads of Mission in UNMOGIP
(Chief Military Observer), UNTSO (Chief of Staff),
UNDOF, and UNIFIL (both are known as Force
Commanders) are all senior military officers who
serve the additional role of Head of the Military
aboutun/index.shtml>.

The Head of the Military Component (HOMC)


The Head of the Military Component (HOMC)
reports to the HOM and exercises UN Operational
Control over all military personnel and units
assigned to the mission. This authority allows the
HOMC to deploy and direct forces to accomplish
specific tasks that may otherwise be faced with
limitations or time constraints.5
The Head of the Police (HOPC)
The Head of the Police (HOPC) reports to the HOM
and exercises UN Operational Control over all UN
Police (UNPOL) in the peacekeeping operation,
including both the individual UN Police and Formed
Police Units (FPU). This authority allows the HOPC
5 UN DPKO. Authority, Control and Command in
UN Peacekeeping Operations.15 Feb 2008.

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to assign separate tasks within the mission


area to individual officers and Formed Police
Units (FPU), as required. The HOPC may
delegate this authority to subordinate police
officers for specific purposes.
The Head of the Military Component is the
principal adviser to the Head of Mission on
military issues, and the Head of the Police
Component is the principal adviser to the
Head of Mission on police issues. The
HOMC and HOPC each maintain a technical
reporting link to UN headquarters, to the
UN Military Adviser and UN Police Adviser,
Police
Advisers
respectively. This reporting link ensures
that the technical aspects of military and
Provided by the Australian Defence Force Peace Operations Training Centre
police field operations are conducted in
accordance with overarching UN policies
will vary from mission to mission, they are generally
and standards. It also assists UN Headquarters
responsible for the effective and integrated
as they are responsible for all official interactions
management of all the missions activities in line
with Member States regarding the operational
with the strategic vision and guidance from the
employment of military and police in the field.6 For
HOM. The Chief of Staff also coordinates mission
a full description of the UN command terms, see
policy and planning activities among the various
the UN DPKO/DFS Policy Authority, Command
components of the mission, including the Mandate
and Control in UN Peacekeeping Operations, 15
Implementation Plan or Integrated Strategic
February 2008 in section D on pages 3 and 4.
Framework and the RBB framework.
The Director or Chief of Mission Support (DMS/
CMS)
The Director or Chief of Mission Support (DMS/
CMS) is the most senior UN official within
the mission that is authorized to expend UN
funds associated with the missions allocated
budget. Therefore, this is a critical function in all
peacekeeping missions.
Two civilian subordinate officials may also support
the DMS/CMS: a Chief Administrative Services
(CAS) and a Chief Integrated Support Services
(CISS).
Chief of Staff
UN peacekeeping operations also have a Chief of
Staff for the mission who works closely with the
HOM. The Chief of Staff performs a senior level
staff and advisory function for the HOM and the
senior management of the mission. While their role

The Head of the Military Component, and


occasionally the Head of Police Component, may
also have a military or police Chief of Staff to
address similar issues within their own component.

4.3 Management Structures


Different management structures exist in order to
allow the Head of Mission to manage the work of
these different functions and ensure progress in
implementing the Mandate Implementation Plan or
Integrated Strategic Framework. These structures
exist at the mission headquarters level. In larger
missions there may also be regional management
structures to coordinate the work of different parts
of the peacekeeping operation in that particular
region.

6 Ibid.

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Management Structures

Political

UN Pre-Deployment Training (PDT) Standards Core PDT Materials 1st Ed. 2009.

Mission Leadership Team (MLT)


The top principals of the various components
of the peacekeeping operation are brought
together in the Mission Leadership Team (MLT), a
senior-level decision-making forum. The Mission
Leadership Team is the missions primary executive
decision-making forum which supports integrated
decision-making between different components
and in integrated missions with respect to the
UNCT.7
The Mission Leadership Team also establishes
and communicates the shared strategic vision
for achieving the mandate. The MLT generally
comprises one or more of the Deputy Special
Representatives of the Secretary-General
(DSRSGs) usually serving multiple civilian
components and in integrated missions, the UNCT.
The DMS or CMS, HOMC, and HOPC are also part
of the Mission Leadership Team.
Senior Management Group
In addition, most peacekeeping operations,
particularly larger ones, will have a Senior
Management Group (SMG), which is a wider
management, planning, and coordination forum.
7 POTI. United Nations Military Observers:
Methods and Techniques for Serving on a UN
Observer Mission. 2008.

The SMG tends to include the members of the


Mission Leadership Team as well as the heads of
various civilian components in the mission. The
diagram above shows some examples of these
components, such as political affairs, human rights,
and public information, to name a few.
Many of these may not exist in a traditional
peacekeeping operation; therefore the SMG will
be considerably smaller than in a multidimensional
peacekeeping operation with a broad range of
civilian components.
In the diagram above, the DSRSG/RC/HC stands
for the Deputy SRSG/ Resident Coordinator/
Humanitarian Coordinator. The Resident
Coordinator represents and coordinates the work of
all the UN agencies, funds, and programmes in the
UNCT. The post of DSRSG/RC exists in integrated
missions and is the means by which the mission
and the UNCT are integrated. In integrated
missions where there is also a humanitarian
emergency, the UN may appoint a Humanitarian
Coordinator as well. Often, the Humanitarian
Coordinator is also the DSRSG/RC.

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Summary
In traditional missions, the organizational
structure may be relatively simple. However,
peacekeeping operations that respond to complex
emergencies require a multidimensional structure.
Peacekeeping is a joint and combined effort,
composed of many elements and people united in
their quest for peace. They are manned by:

Military personnel, or Blue Helmets from many


Troop Contributing Countries;

UN Civilian Police; and


Civilians from many organizations of the United
Nations.

All missions have a support and substantive


component that work together.
There is a strategic and field level of authority for
peacekeeping operations. The Head of Mission
plays a key role in linking the strategic and
operational levels.
Each peacekeeping operation is different and will
have different management and command and
control structures. Common to all missions are
the Head of Mission, Head of Military Component,
and Head of Police Component. Other common
positions are the Director of Mission Support and
the Chief of Staff.

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End-of-Lesson Quiz
1. The three main substantive components of a
mission are:

6. The Head of the Military Component is the


principal advisor to the HOM on:

A. Military, Police, and UN agencies.

A. All operational issues.

B. Military, Police, and Civilians.

B. Technical aspects of the mission.

C. Military, Police, and UN Military Observers.

C. Military personnel and units.

D. UN Police Adviser, Chief of Staff, and Head of


Mission.

D. All critical incidents.

2. Which of these statements is true about


Substantive and Support Components of a
mission?
A. The mission support components provide
services to the substantive components.
B. Substantive components may not provide
services to the local beneficiaries listed in the
mandate.

7. Who is the most senior UN official within a


mission authorized to expend UN funds?
A. The Chief of Staff.
B. The Head of Mission.
C. The Director or Chief of Mission Support.
D. Chief Integrated Support Services.

C. All multidimensional operations will have a


demining mandate.

8. The _____ performs a senior level staff and


advisory function for the HOM and the
senior management of the mission.

D. Support components work independently and


do not interact with substantive components.

B. Chief of Staff

A. Director of Mission Support


C. Head of Mission

3. Which level of authority focuses on the


responsibilities of the Security Council?

D. Head of the Police

A. Tactical.

9. The _____ establishes and communicates


the shared strategic vision for achieving the
mandate.

B. Command.
C. Strategic.
D. Operational.

A. Senior Management Group

4. Define operational authority.

C. Head of Mission

5. The HOM has operational authority over UN


personnel employed as:
A. Civilian, Military, and Police.
B. Military and Civilian only.
C. Police only.
D. Special armed forces.

B. Chief of Staff
D. Mission Leadership Team

10 The SMG tends to include the members of


the Mission Leadership Team as well as:
A. Heads of various civilian components in the
mission.
B. The Senior Management Group.
C. The Mission Leadership Team.
D. All military components in the mission.

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ANSWER KEY
1B, 2A, 3C,
4. Operational authority is defined as the authority transferred by Member States
to the United Nations to use the operational capabilities of their national military
contingents, units, Formed Police Units and/or military and police personnel
to undertake mandated missions and tasks. Operational Authority is an
all-encompassing term and is not intended to be equivalent to any particular
command status in common use by military forces around the world.
5A, 6C, 7C, 8B, 9D, 10A.

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LESSON 5
UNDERSTANDING THE
IMPORTANT WORK OF OTHER
SUBSTANTIVE COMPONENTS

LESSON
5

LESSON OBJECTIVES
5.1: The Military
Component
5.2: The Police Component
5.3: The Civilian
Component

The aim of this lesson is to inform peacekeeping personnel about the


important contribution of each substantive component and function within
a mission. By the end of Lesson 5, the student should be able to meet the
following objectives:

Explain the importance of each substantive component;


Describe the main tasks of the different components and functions in a
mission; and

Understand the different national, institutional, or professional cultures


within the mission.

Introduction
All peacekeeping personnel must have a basic understanding of the
important contribution of each component and function within a mission.
Everyone in a mission has an important contribution to make in achieving
the mandate and the Mission Plan.
Understanding the importance of each others contribution is particularly
vital in multidimensional peacekeeping operations. These missions have
complex mandates and operate in difficult environments. The work of each
component affects and influences the tasks of other components.
In order for any UN peacekeeping operation to achieve its mandate, it
must strategically use the capabilities of the military, police, and civilian
components at the right moment. The strategy on how to do this is

outlined in the Mandate Implementation Plan or


Integrated Strategic Framework. Putting this into
practice requires everyone in the peacekeeping
operation to have a basic understanding of
the main tasks and functions of the different
components in a mission. It also means that
peacekeeping personnel must know how and
when to help each other while working to achieve
the mandate. All parts of a United Nations
peacekeeping operation function under the same
mandate, report to the same Head of Mission,
share a single budget, and depend on the same
integrated support services. However, they are
likely to have significant cultural differences at the
national, institutional, and professional level.

UN Pre-Deployment Training (PDT) Standards Core PDT Materials 1st Ed. 2009.

These differences are both within the components


and between them. Many civilian organizations
and government departments routinely function
with a high degree of tolerance for ambiguity,
vagueness, and uncertainty. They may also have
highly flexible management models. Military and
police staffs often minimize ambiguity by making
informed assumptions within a strong planning
culture. Peacekeeping personnel must work to
bridge these differing institutional cultures. At the
same time, it is important not to stifle the cultural
and institutional diversity that is one of the United
Nations main strengths.1

5.1 The Military Component


Military components play an instrumental role in
UN peacekeeping. In traditional peacekeeping
operations, the military component is generally
made up of unarmed military observers or lightly
armed contingents carrying out monitoring or
observation tasks. The military component carries
1 UN Peacekeeping Operations Principles and
Guidelines (Capstone Document).

out the mandated tasks to monitor or supervise any


military arrangements that parties to a conflict have
agreed upon while the peace process continues.
Over time, the tasks of UN military components
have become increasingly complex. The conflicts in
which they intervene no longer involve only national
armies, but may also now include irregular forces,
guerrilla factions, and even armed criminal gangs.
Consequently, the military capability under UN
command has changed and is no longer the lightly
armed intervention aimed at separating national
armed forces that was typical during the first 40
years of UN peacekeeping.
In multidimensional peacekeeping operations, the
primary function of the military component is to
create a secure and stable environment for other
elements of the peace process to be implemented,
such as human rights monitoring, national
reconciliation, and distribution of humanitarian
assistance. Depending on the mandate, there
may also be tasks associated with monitoring of
a ceasefire or certain boundaries. In such cases,
the military component may carry out these tasks
in collaboration with other components, such as
civilian political affairs officers.2
The Military Component
HOM/SRSG
HOMC/Force Commander
Staff

Units

Senior Military
Observer

UNMO Teams

Combat Arms
Combat Support
Arms
Combat Service
Support Arms

In multidimensional peacekeeping operations, it is


particularly important for the military component
to work in close consultation with all mission
components. This is because the success of
those missions is measured by more than just the
absence of conflict. The re-establishment and
2 UN Peacekeeping PDT Standards, Core
Pre-Deployment Training Materials, 1st ed. (2009),
Unit II, Part 1.

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development of strong institutions and respect for


the rule of law are also important conditions for
success, and these cannot be achieved through
the threat, or use, of military force alone. For those
reasons, the military component must work with all
other partners in this wider context to consolidate
peace and security.3
Three

Main Categories of
Personnel in PKO
Military
Experts on
Mission

Formed Military
Units or
Contingents

Companies Military
Battalions
Brigades

Observers

Military Liaison
Officers

Military Advisers

Military
Staff
Officers

Specialized

functions at
Mission Force
HQ or in
joint mission
structures

Arms Monitors
UN Pre-Deployment Training (PDT) Standards Core PDT Materials 1st
Ed. 2009.

Formed Units
The largest numbers of UN military personnel are
deployed as formed military units or contingents.
These are fully functioning units of armed soldiers
with their own command structure that correspond
to traditional military formations, e.g. companies
(about 120-150 soldiers), battalions (500-1,000
soldiers), or brigades (4,000-10,000 soldiers).
Generic Organizational Structure of Military
Component
The following paragraphs explain the chain of
command generally found within the military
component of a peacekeeping operation:
Head of Military Component

the functional title of Force Commander (FC) at


either the two star or three star General officer
rank (Major General or Lieutenant General
equivalent).
The Force Commander provides leadership and
exercises command over assigned forces. The
Under-Secretary-General for Peacekeeping
Operations appoints this authority, whose
responsibilities include:

Commanding the military component, being the


main military advisor to the SRSG on military
issues;

Executing the military mission; and


Being responsible for discipline and conduct.
Military Experts
Both traditional and multidimensional peacekeeping
operations also have some form of Military
Experts on Mission. These are unarmed military
personnel who carry out specific observer or
advisory functions outlined in the mandate, and
carry various titles including United Nations Military
Observer (UNMO), Military Liaison Officer (MLO),
Military Adviser (MilAd), and Arms Monitor (AM),
depending on the mandate of the mission.4
United Nations Military Observers are a group of
international officers, usually under the command
of a Chief Military Observer. They must have
a strong professional background and receive
specific training prior to deployment. The tasks
assigned to MILOBS may include the following:

Observe and report cease-fire violations;


Liaise and communicate between factions;
Patrol and report on isolated areas;
Investigate accidents;

All categories of military personnel in a


peacekeeping operation report to the Head
of Military Component (HOMC). In large
peacekeeping missions with armed military units,
the Head of the Military Component (HOMC)
is a serving military officer usually appointed in

Inspect and verify arms agreements;

3 UN DPKO. Handbook on UN Multidimensional


Peacekeeping Operations.

4 UN at a Glance: <http://www.un.org.en/
aboutun/index.shtml>.

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Negotiate and mediate between factions;


Assist in cross-boundary movements;
Facilitate body or POW exchange;

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Supervise the disarmament, demobilisation,


reintegration, and cantonment of militia and
military forces.

Monitor the separation and withdrawal of troops;


Supervise the destruction of armaments;
Observe and report alleged abuses of human
rights;

Assist in the conduct of referendum or election;


and

Provide assistance to humanitarian agencies.


Chief Military Observer
In smaller missions, comprising only unarmed
military personnel, the HOMC may hold the
functional title of Chief Military Observer (CMO),
or Chief Military Liaison Officer (CMLO) at a
colonel-equivalent rank but also up to two star
general officer rank (Major General).
Staff Officers
All peacekeeping operations also have staff
officers who are military officers deployed in
an individual capacity to perform specialized
functions at the missions force headquarters
or in joint mission structures. In some small or
traditional peacekeeping operations, these officers
have Military Observer status for the UN and
deploy as individuals. In complex peacekeeping
or large missions, the military staff includes
Non-Commissioned Officers in supporting roles,
and all members are deployed as Staff Officers.
The international composition is a characteristic
of UN Military Staff and is designed to ensure
impartiality and proportional representation of the
Troop Contributing Countries. They accomplish
the normal duties of Staff Officers, and they are
normally the rank from Major to Colonel. Each Field
Mission will organize its military staff in accordance
with the size, complexity, and mandate of the
operations.5
Successful collaborations between military
components and other parts of UN peacekeeping
operations include:
5 UN DPKO. Policies and Guidelines.

Between about 2004 and 2006, armed groups

controlled areas of Haitis capital city, Portau-Prince, including the area known as Cite
Soleil. Neither MINUSTAH nor national police
or authorities could enter and safely assist the
population. In late 2006, MINUSTAHs military
contingent used urban combat operations
to overcome the aggressive and organized
resistance of the armed groups. UN Police
played a supporting role by providing a standby
force capacity and non-lethal means to arrest
gangsters. As the UN military component
secured control in these neighbourhoods, UN
Police were able to enter and work with the
Haitian National Police to re-establish law and
order, and civilians, including civil affairs officers
from the mission as well as UN and NGO
humanitarian and development agencies, were
able to work with local authorities and community
groups to re-establish public services.

In 2006, UNMIL and the government of Liberia

set up a Rubber Plantation Task Force to


normalize the situation in unstable, informally
exploited, or occupied plantations to increase
long-term government revenue from rubber
production and trade. UNMILs task force
involved military and police components, the
DDR, civil affairs, judicial, human rights, and
environmental units for joint planning, analysis,
and action. The task forces first objective was
to address a plantation being operated by
former combatants who had taken control of the
plantation during the war. The joint operation,
led by the DDR section, allowed the military and
police components to work in support of the
substantive civilian sections within UNMIL, and
also insisted on the participation of the Liberian
National Police once they were ready to deploy.
A series of Quick Impact Projects were put in
place to immediately improve conditions for the
inhabitants of the plantation.

The military component of MONUC contributed

to the success of the 2006 elections in the


Democratic Republic of Congo by providing
escorts for the distribution and collection of
electoral materials to 12,000 voter centres run by
UN civilian personnel and national authorities.

In MONUC, UN Military Observers (UNMOs)

were seconded to the DDR section. The UNMOs

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provided excellent liaison between the DDR unit


and the rest of the missions military component,
which during 2008 allowed the DDR unit to
effectively take advantage of the security cover
provided by the military component in order
to access areas and local armed groups that
otherwise would have been impossible.

5.2 The Police Component


Generally, United Nations Police (UNPOL) are
deployed to multidimensional peacekeeping
operations because they play a critical role in
establishing public safety, preventing crimes, and
facilitating the rule of law. Civilian police officers
help build confidence in local communities. In doing
so, they work with the host country police and in
close collaboration with civilian components such
as human rights, judicial, and civil affairs.

Formed Police Units


An FPU is a stand-alone unit of police officers
that is deployed from the same country. The FPUs
generally consist of about 140 officers. Their
roles are to provide public order support to the
peacekeeping operation.
Head of Police Component
All categories of UN Police report to the Head
of the Police Component (HOPC). The Head of
the Police Component is a serving senior police
officer. He or she is normally appointed as the
mission Police Commissioner. The role of the
Police Component differs between peacekeeping
missions so the Police Commissioner is chosen
for the specific skills required for the missions
mandate. Examples of these skills include:

National police capacity building;

The role and functions of civilian police are


constantly changing and are directed toward
sustaining national capacity for law and order and
assisting in the development of good governance.
Since the 1900s, their roles have varied from
monitoring, advising, and assisting, to executive
roles in recent complex missions. In the political
context, executive roles are normally mandated,
due to a potential lack of national government
authority or an inability to maintain law and order.
In these cases, UN Civilian Police carry out their
duties as they would in their home country, with
powers to arrest and investigate local citizens.

Mentoring and monitoring of national police; and

UNPOL are also sometimes used in traditional


missions to assist with observer functions such
as monitoring the buffer zone in Cyprus. UN
Police are usually police officers and other law
enforcement personnel on active duty in their
home countries who are temporarily seconded
to a peacekeeping operation. The secondment is
usually for about six months to one year.6

Monitor law enforcement activities of local

Increasingly, there are two categories of UN Police.


First are the individually deployed UN Police
officers, and second are Formed Police Units
(FPUs).

Exercising executive policing authority during a

period of transition from international supervision


to the installation of a new national government.

Organized in groups and teams under the


command of a Civilian Police Commander, Civilian
Police (CIVPOL) have the following responsibilities:

Ensure that law and order are maintained


effectively and impartially;

Ensure that human rights and criminal justice


standards are fully respected;
officials;

Supervise or control the local civilian police;


Carry out general police duties, such as
investigations of incidents;

Supervise the return of refugees or POWs;


Supervise the demobilization of local police
forces;

Assist in registration and election procedures;


and

Assist in retraining of local police forces.


6 Ibid.

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Potential Sources for Misunderstandings


Police officers come from many countries with
different legal systems and various structures
by which police operate. Countries with an
Anglo-Saxon legal tradition tend to follow a
common law system, based on legal precedents
and trial by jury, while other countries with a
continental or Napoleonic legal tradition tend to
follow civil law, based on codified procedures of
prosecution. This can result in different approaches
to the same issues. Sometimes these different
approaches can lead to misunderstandings over
the local legal systems.
The key for UN Police and those working with
them is to quickly develop a basic understanding
of the local laws, especially as they relate to arrest,
detention, search, seizure, and constitutional rights.
Another common source of misunderstanding
is related to the role of the police. Particularly in
states under civil law jurisdiction, police are seen
as part of the judiciary system, while in common
law jurisdictions, police are considered part of the
executive branch of the state. In some countries,
police are subservient to military authority while,
in others, they are separate. This can result in
challenges in police-military relations between
individuals who do not have the same experiences
or traditions. Examples of how UN Police facilitate
the work of other mission components include:

In the United Nations Operation in Burundi

(ONUB), which existed from 2004 to 2006, the


unit responsible for DDR and Security Sector
Reform (SSR) received support from the UN
Police in seeking donor funding for training and
the provision of equipment for the Burundian
National Police (PNB). Working together, the
UN Police and the DDR/SSR unit were able
to convince donors to pay for 34 four-by-four
HILUX vehicles, 35 trucks, communication
equipment, and housing blocks to serve as
training centres. The ONUB Police provided
material and technical assistance for the use
of this equipment, contributing to the overall
objective of the DDR/SSR unit and the missions
overall mandate. (Please note that in 2006, the
United Nations Integrated Office in Burundi
[BINUB] replaced the United Nations Operation
in Burundi [ONUB]).

During the first round of presidential elections

in Timor-Leste in 2007, UN Police played a lead


role in ensuring security during the elections,
providing escorts when ballot papers were
transported to the districts by national authorities
in collaboration with the civilian Electoral
Assistance Section, and by maintaining a
visible presence at all polling centres. During
the presidential campaign, some 131 campaign
events took place and minor security incidents
were recorded in only 18 of the campaign events.
Though 12 of these events allegedly involved
intimidation, after investigation, none were
considered to have had any tangible effect on
voters.

5.3 The Civilian Components


There are a wide variety of civilian components
and functions in UN peacekeeping operations on
both the substantive and support sides. The type
of civilian substantive components that are in a
peacekeeping operation depends on the mandate
of the mission. Traditional peacekeeping operations
are primarily military operations and therefore
have a limited number of substantive civilian
components. In multidimensional peacekeeping
operations, there are many different civilian
substantive components.
In general, some or all of the following substantive
civilian components exist in most multidimensional
peacekeeping operations: political affairs, civil
affairs, human rights, gender, public information,
etc.
There are no uniforms or collective reporting lines
for these substantive civilian components, although
they all ultimately report to the Head of Mission.
Director of Mission Support / Chief of Mission
Support
As explained earlier, the Director of Mission
Support or Chief of Mission Support is a civilian
responsible for the provision of necessary logistics
and administrative support to the mission. Civilian
staff provides administrative services, such as
ensuring payment of mission personnel, as well as
other services such as health and safety personnel

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or IT and telecommunications services, all of which


are crucial for the functioning of any peacekeeping
operation. While units responsible for logistical
support are headed by civilians, these services are
in fact provided by integrated or joint structures, the
Integrated Support Services (ISS) or Joint Logistics
Operations Centre (JLOC), which combine military,
police, and civilian personnel. These integrated
structures also report to the DMS/CMS.
Examples of civilian components facilitating the
work of others in a UN peacekeeping operation
include:

During the 2007 Presidential elections, UNMIT

was mandated to assist the government,


including logistical support. This involved strong
collaboration between the Electoral Assistance
Division, the Integrated Support Services,
UN Police and the International Security
Forces (regional military peacekeeping forces
not under the UN peacekeeping operation).
Frequent briefings for sharing information and
joint planning permitted maximum flexibility,
which allowed UNMIT to react promptly when
it became clear that an inadequate number of
ballots had been distributed. UNMIT provided
crucial logistical support to move reserve ballot
papers by helicopter and car from the capital to
seven of the 13 districts. International Security
Forces delivered ballots to a further four districts,
without which the elections would have failed.

In MONUC in 2008, the Disarmament,

Demobilisation, and Reintegration (DDR) unit


worked with the Public Information Office
(PIO) to produce a video that reached past
the leadership of foreign armed groups in the
Democratic Republic of Congo to play on the
homesickness of the rank and file and entice
them to participate in the DDR programme.

Information Technology Section (CITS), the UN


Police were able to improve the original Excel
table and develop a computerized SQL database
in which more than 21,000 national police were
registered along with information used for the
vetting and certification process.

Summary
The main substantive components in a
peacekeeping mission are the military, police, and
civilians. All peacekeeping personnel must have a
basic understanding of the important contributions
that each component makes in achieving the
mandate and the mission plan. It is also important
to know how to support the work of other
components in the mission. There is potential for
misunderstanding between and within the different
components because of the different national,
institutional, and professional cultures that people
bring with them to the mission. It is important to
take time to understand each others roles and
interests.
There is a strategic and field level of authority for
peacekeeping operations. The Head of Mission
plays a key role in linking the strategic and
operational levels. Each peacekeeping operation is
different and will have different management and
command and control structures. The positions
of Head of Mission, Head of Military Component,
and Head of Police Component are common to all
missions.

As part of the UNMIS mandate to support the

restructuring of national police for consistency


with democratic policing and development of
police training and evaluation programmes, the
UN Police Reform and Restructuring Unit set
up a user-friendly database for South Sudanese
police services in 2008 containing all relevant
data on national police personnel, their training,
vetting, recruitment, military service, and relevant
details. With the help of the Communication and

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Functions and Activities within a Multidimensional Peacekeeping Mission


Component:

Civilian Substantive

Functions and Activities:


Developing Disarmament, Demobilization, and Reintegration (DDR) programs
with military, humanitarian, and development partners
Electoral assistance
Gender mainstreaming
Justice and corrections
Mine action assistance
Public relations and communications
Building human rights and rule of law
Capacity building of the host country government
Support to emergence of legitimate political institutions and participatory
processes

Civilian Mission Support

Administrative services
Ensuring health and safety of mission personnel
Communications
Financial support: preparation and execution of mission budget, paying staff
and vendors
Logistical support to all components
Recruitment, training, and career development
Capacity building of the host country government
Monitoring mission compliance with local laws and respect for UN privileges
and immunities and Status of Forces or Status of Mission Agreement

Military

Sector security
Provision of a secure environment by: 1) Conducting patrols or establishing
and operating checkpoints, 2) Securing major routes to facilitate mobility,
3) Securing key facilities (hospitals, power plants, police recruiting
stations, etc.)

Police

Restoration of rule of law


Reform of host country police
Vetting, training, and mentoring of host country police
Providing public order and responding to public security challenges through:
1) Static guard and close protection duties for dignitaries, 2) Preventive
patrols and checkpoints, 3) Tactical support for high risk operations, 4)
Security for demonstrations.

UN Pre-Deployment Training (PDT)


Standards Core PDT Materials 1st Ed.
2009.

Provision of a secure environment by: 1) Conducting patrols or establishing


and operating checkpoints, 2) Securing major routes to facilitate mobility,
3) Securing key facilities (hospitals, power plants, police recruiting
stations, etc.)
Provision of executive policing in the absence of an established national
police framework

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End-of-Lesson Quiz
1. In traditional peacekeeping operations, the
military component is made up of:
A. Unarmed military observers or lightly armed
contingents.
B. Large, robustly armed military units.
C. National armies.

6. This lesson lists nine responsibilities of the


UN Police Component. List as many of these
as you can.
7. All civilian components ultimately report to
the:

D. Civilian volunteers.

A. Chief Military Observer.

2. The primary function of the military


component is to:

C. Director of Mission Support.

B. Staff Officers.

A. Replace the host countrys police force if


necessary.
B. Train the local defence force.
C. Create a secure and stable environment.
D. Negotiate a peaceful resolution to the conflict.

3. All categories of military personnel in a


peacekeeping operation report to the:
A. Military Experts.
B. Head of Military Component (HOMC).
C. Chief Military Observer.
D. Staff Officers.

4. Tasks undertaken by MILOBS include:


A. Monitoring the separation and withdrawal of
troops.
B. Assisting internally displaced persons.
C. Avoiding isolated areas.
D. Establishing a judiciary.

D. Head of Mission.

8. The Director of Mission Support or Chief of


Mission Support is a civilian responsible for
the:
A. Provision of necessary logistics and
administrative support to the mission.
B. Distribution of humanitarian assistance.
C. UNMO Teams.
D. Advisory functions outlined in the mandate.

9. DDR, electoral assistance, gender


mainstreaming, justice and corrections, and
mine action are among the responsibilities
of:
A. The Civilian Substantive component.
B. The Civilian Mission Support component.
C. The Military component.
D. The Police component.

10. Sector security is the responsibility of:

5. The Head of the Military Component is


appointed by the:
A. General Assembly.

A. The Civilian Substantive component.


B. The Civilian Mission Support component.
C. The Military component.
D. The Police component.

B. Head of Mission.
C. Chief of Staff.
D. Under-Secretary-General for Peacekeeping
Operations.

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ANSWER KEY
1A, 2C, 3B, 4A, 5D,
6. Ensure that law and order are maintained effectively and impartially; Ensure that Human
Rights and criminal justice standards are fully respected; Monitor law enforcement activities
of local officials; Supervise or control the local civilian police; Carry out general police
duties, such as investigations of incidents; Supervise the return of refugees or POWs;
Supervise the demobilization of local police forces; Assist in registration and election
procedures; and Assist in retraining of local police forces.
7D, 8A, 9A, 10C.

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UNIT III

EFFECTIVE MANDATE IMPLEMENTATION


Provided By Swedish Armed Forces International Training Centre (SWEDINT):

PART 1A: INTERNATIONAL LAW RELEVANT TO


PEACEKEEPING OPERATIONS
LESSON 1: INTERNATIONAL HUMANITARIAN LAW
1.1: Whom International Humanitarian Law Protects
1.2: Essential Rules of International Humanitarian Law
1.3: Who is Bound by International Humanitarian Law
Lesson 1 Quiz
LESSON 2: INTERNATIONAL HUMAN RIGHTS LAW
2.1: Definition of Human Rights
2.2: Human Rights Most Frequently at Risk in Conflict and Post-Conflict Situations
2.3: Application of International Human Rights Law
2.4 Refugee Law and Guiding Principles on Internally Displaced Persons
Lesson 2 Quiz

LESSON 1
INTERNATIONAL
HUMANITARIAN LAW

LESSON
1

LESSON OBJECTIVES
1.1: Whom International
Humanitarian Law
Protects

The aim of this lesson is to inform peacekeeping personnel about how


international humanitarian law (IHL) affects the peacekeeping operations
and peacekeeping personnel at large. After completing this lesson, the
student should be able to:

1.2: Essential Rules


of International
Humanitarian Law

Identify who is protected by, and who is bound by international

1.3: Who is Bound by


International
Humanitarian Law

Introduction

humanitarian law; and

List the essential rules of international humanitarian law.

In previous lessons, the procedure for establishing a UN peacekeeping


operation and the mandate governing this operation were discussed. The
aim of this lesson is to provide peacekeeping personnel with a general
understanding of how missions can implement their mandates effectively
by applying international humanitarian and human rights rules, principles,
and policies in their everyday tasks.
The UN position, which is contained in Security Council resolutions
and UN policy, is that conflict can only be addressed effectively when
peacekeeping operations ensure respect for international humanitarian
and human rights law, including the rights of women and children in
conflict. It is also understood that the protection of human rights will limit
the negative impact of war and lead to a more sustainable and lasting
peace.1
1 United Nations, Charter of the United Nations, 24 October 1945. <http://
www.un.org/en/documents/charter/>

All UN peacekeeping operations are specifically


mandated by the Security Council to promote
and protect human rights, including the human
rights of women and children. These are groups
who are usually most affected by the conflict.
Therefore, all peacekeeping personnel are
expected to protect children from violence and
illegal recruitment into armed forces as child
soldiers. The Security Council has instructed
United Nations peacekeeping operations to do a
better job of protecting children from the effects of
conflict, including recruitment as child soldiers. All
peacekeeping personnel should promote gender
equality in their work. Peacekeeping operations
should more effectively involve women in peace
and security activities and protect women and
children from sexual violence in conflict.

Valerie Amos, Under-Secretary-General and Head of the Office for the


Coordination of Humanitarian Affairs (OCHA), addresses the high-level
event organized by her Office, The World Humanitarian Summit:
Partnerships in the Changing Humanitarian Landscape. (UN Photo
#563675 by Rick Bajornas, 26 September 2013)

The Security Council has issued several


resolutions highlighting its concerns on three key
themes of particular relevance for peacekeeping.
These are:

Security Council resolutions 1325 (2000),

1820 (2008), 1888 (2009), and 1889 (2009) on


Women, Peace, and Security

Security Council resolution 1612 (2005), 1882

(2009), and 1998 (2001) on Children and Armed


Conflict and

Security Council resolution 1674 (2006) on the


Protection of Civilians in an Armed Conflict.

The resolutions referenced here are based


on international law and are also binding on
Member States. They condemn in the strongest
terms all acts of violence or abuses committed
against civilians in situations of armed conflict.
This particularly includes torture, gender-based
and sexual violence, violence against children,
the recruitment of child soldiers, the trafficking
of human beings, and the intentional denial of
humanitarian assistance.
All peacekeeping personnel should be informed
about the content of international humanitarian
law, human rights law, and refugee law as well the
central Security Council resolutions mentioned
in this lesson that focus on the protection of
women, children, and other civilians in armed

Further Reading:
The Security Council resolutions highlighting women, peace, and
security; children and armed conflict; and protection of civilians
in armed conflict (the three themes of particular relevance for
peacekeeping) are available online. These resolutions, together
with supporting documentation to UNSCR 1325 developed by
the United Nations Development Fund for Women (UNIFEM),
are recommended for further reading. This will provide an
understanding of how a Security Council resolution is structured,
and also offer more detail on how UN peacekeeping forces
should work to promote and protect women, peace, and security,
children in armed conflict, and civilians in armed conflict.

UNIFEM supporting implementation of Security Council


resolution 1325 available at <http://www.unrol.org/doc.
aspx?d=2888>

Security Council resolution 1820 on Women, Peace,


and Security available at <http://www.unrol.org/doc.
aspx?n=women_peace_security_resolution1820.pdf>

Security Council resolution 1612 on Children and Armed


Conflict available at <http://www.unrol.org/doc.aspx?n=Securit
yCouncilResolution1612_en.pdf>

Security Council resolution 1674 on the Protection of Civilians


in Armed Conflict available at <http://www.unrol.org/doc.
aspx?n=S-Res-1674%20on%20protection%20civilians%20
in%20armed%20conflict%20(28Apr06).pdf>

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conflict. All peacekeeping personnel should also


be knowledgeable about how to apply these
laws and resolutions in order to prevent violence
against civilians and to address its impact where
it takes place. Therefore, this lesson will focus on
the international law and the international legal
standards that govern international humanitarian
law and particularly, the essential rules of IHL. In
the next lesson, this will be complemented by a
focus on the definitions of human rights that are
protected under international law. The current
lesson will also focus on who is protected by IHL
and who is bound by it.

IHL. In such instances, the law protects UN


peacekeeping personnel.
IHL is a set of rules seeking to limit the negative
impact of armed conflict on humanity and reduce
suffering during war. It is particularly intended
to protect persons who are not or are no longer
participating in the hostilities, including prisoners
and wounded combatants. It also protects civilians,
especially women and children, medical personnel,
and humanitarian workers.2

1.2 Essential Rules of International


Humanitarian Law
The main rules of IHL are found in the Geneva
Conventions and their Additional Protocols. As
noted earlier, the law protects those who are not
participating in the hostilities. However, it also
restricts the means and methods of warfare. The
parties to the conflict do not have an unlimited right
to choose the methods and means of warfare.

On her first official visit to Myanmar from 3-7 December, UN UnderSecretary-General for Humanitarian Affairs, Valerie Amos, stopped at
displacement camps in Myanmars Rakhine State and saw first-hand the
projects implemented by humanitarian partners in the region. (UN Photo
#537242 by David Ohana, 05 December 2012)

1.1 Whom International Humanitarian


Law Protects
International humanitarian law (IHL) is also known
as the law of war or the law of armed conflict.
These alternative terms indicate that IHL applies
in times of armed conflict. IHL is applicable in both
international and internal conflicts. However, it is
not applicable in instances of internal tensions or
disturbances such as isolated acts of violence.
The law only applies once conflict has begun, and
consequently, it applies equally to all sides of the
conflict, including UN peacekeeping personnel if
the UN forces are considered to be parties to the
conflict. If UN forces are deployed in a context of
armed conflict, but are not themselves involved
in hostilities, they are considered civilians under

128 |

To limit the negative impact of armed conflict, the


law forbids the use of certain weapons such as
incendiary weapons (weapons that cause fire).
These weapons are forbidden because they cause
undue suffering. It is also forbidden to impersonate
a Red Cross, Red Crescent, or other medical or
humanitarian personnel, in order to protect the
integrity of these workers.
The limitations to armed conflict outlined above
are detailed in the essential rules of international
humanitarian law. Because these rules constitute
part of customary international law, they do not
require a signed treaty to be binding against any
party to the conflict. More will be presented about
customary international law in the next lesson. All
peacekeeping personnel must remember these
essential rules of IHL:
1. Civilian targets cannot be attacked. Attacks
may be made solely against military objectives.

2 Secretary Generals Bulletin Observance by


United Nations forces of international humanitarian
law (ST/SGB/1999/13 Secretariat 6 August 1999).
<http://www.un.org/peace/st_sgb_1999_13.pdf>

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At all times, the parties of an armed conflict must


distinguish between the civilian population and
combatants in order to spare the civilian population
and civilian property. This means that neither
the civilian population as a whole, nor individual
civilians may be attacked. Attacks may be made
solely against military objectives. According to
Article 52(2) of Additional Protocol of the Geneva
Convention, a military objective is defined as
objects which by their nature, location, purpose,
or use make an effective contribution to military
action, and whose partial or total destruction,
capture, or neutralization, in the circumstances
ruling at the time, offers a definitive military
advantage.

been captured by an opposing faction, enjoy the


basic human right to a fair trial. As the preceding
rule established, they cannot be tortured under
any circumstances. Neither should they be treated
cruelly or inhumanely. Captured civilians and
combatants are entitled to exchange news with
their families, receive aid, and enjoy basic judicial
guarantees.

2. Civilians and anyone no longer taking part


in hostilities must be respected and treated
humanely.
Everyone who does not (or no longer can) take
part in hostilities must be respected and treated
humanely. This applies to all parties without any
favourable distinction whatsoever.
3. Anyone who surrenders or stops fighting (e.g.,
wounded) cannot be killed.
Civilians and combatants who have surrendered,
and as a result no longer take part in the fighting,
are protected. This means that it is forbidden to
kill or wound an adversary who surrenders or who
can no longer take part in the fighting, for instance
because this adversary has been wounded in
combat.
4. Torture is prohibited at all times and in all
circumstances.
The right to freedom from torture is a basic human
right, inscribed in the Universal Declaration on
Human Rights. In armed conflict, there are no
exceptions to this rule.
5. Captured combatants and civilians must
be respected and protected against all acts of
violence or reprisal.
All persons, including civilians and combatants
who have surrendered or who have otherwise

Secretary-General Ban Ki-moon (seventh from left, front row) and his
wife Yoo Soon-taek meet with both the senior staff and the staff-atlarge of the International Federation of the Red Cross (IFRC) in Geneva,
Switzerland. (UN Photo #148619 by Eskinder Debebe, 06 July 2007)

6. It is forbidden to use weapons or methods


that are likely to cause excessive injury or
unnecessary suffering.
This essential rule restricts both the means and
the methods of armed conflict. The use of many
weapons, including those that use exploding
bullets, blinding laser weapons, or incendiary
weapons is forbidden, as they may cause
unnecessary suffering. Methods of warfare that use
indiscriminate and disproportionate attacks are also
prohibited. This is due to the fact that such attacks
are expected to cause civilian deaths or damage to
civilian property that is excessive in relation to the
concrete military objective derived from the attack.
7. Wounded and sick must be collected and
cared for.
The party who has control over the wounded or
sick must collect them and care for them. It does
not matter if they are the partys enemy or not.

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8. Medical personnel and medical


establishments, transports, and equipment must
be respected and protected.
As non-combatants in position to aid the wounded
of all sides to an armed conflict, these parties are
essential to the provision of humanitarian aid. They
need to be respected and protected in order to be
able to perform their medical duties.
9. The Red Cross and Red Crescent emblems
are signs of protection and must be respected.
These emblems have a distinct appearance, with a
Red Cross or Red Crescent on a white background.
They indicate that objects or persons bearing
them are non-combatants performing neutral
and impartial humanitarian aid duties. Objects
or personnel bearing them must therefore be
respected.

Further Reading:
The essential rules of International Humanitarian Law are
available online and provided by the International Committee of
the Red Cross. To further develop an understanding of these
rules, they are recommended for further reading.
The rules are available at <http://www.icrc.org/customary-ihl/
eng/docs/v1_rul>

1.3 Who is Bound by International


Humanitarian Law
As mentioned above, international humanitarian
law applies to armed conflict. When an armed
conflict has begun, the law is equally binding to
all sides of the conflict. The law does not take into
account if the armed conflict was initiated by an
aggressor in breach of international law. Therefore,
in short, all parties to a conflict are bound by the
rules of IHL.
This means that the rules and principles of
international humanitarian law are also applicable
to United Nations forces acting under a Security

130 |

Council mandate if the United Nations forces


are considered parties to the conflict. The
Secretary-General has made adherence to IHL,
regardless of the status of the UN forces, explicit in
the rules of the United Nations. In these rules, the
Secretary-General has indicated that UN military
personnel who violate international humanitarian
law are subject to prosecution in their national
courts. To this fact, it can be added that UN
peacekeeping personnel act as role models. As
a peacekeeper, one performs a moral duty as an
ambassador of the United Nations and his or her
home country in every action. Therefore, a UN
peacekeeper must uphold the highest standards of
behaviour and integrity.3
UN peacekeeping missions are guided by
documents such as the Rules of Engagement
and the Directive on the Use of Force.4 These
documents are always drafted in accordance with
IHL. Similarly, in the Status of Mission Agreement
(SOMA) or the Status of Forces Agreement
(SOFA), concluded between the United Nations
and the country in which the peacekeeping mission
operates, it is specified that UN peacekeeping
forces will operate in accordance with the rules and
principles of IHL.
The obligations imposed on all parties to a conflict
by international humanitarian law are coupled with
sanctions for warring factions that violate the law.
Grave breaches of the Geneva Conventions and
their Additional Protocols or other serious violations
of international humanitarian law constitute war
crimes and may be sanctioned by prosecution
and criminal court proceedings.5 Examples of
such war crimes are: attacking civilians, recruiting
children as soldiers, torturing prisoners, and
sexual violence. To the highest extent possible,
sanctions against war crimes should be handled
by national court proceedings. If this is not
3 Ibid.
4 UN Infantry Battalion Manual, UN Peacekeeping
Resource Hub. <http://peacekeepingresourcehub.
unlb.org/PBPS/Pages/Public/viewdocument.
aspx?id=2&docid=1243>
5 Inter-Agency Standing Committee (IASC)
Guidelines and References for Complex
Emergencies, January 2009. <http://www.
humanitarianinfo.org/iasc/>

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Further Reading:
The obligations of UN peacekeeping personnel under IHL have been made explicit in the Secretary-Generals
bulletin ST/SGB/1999/13, of 6 August 1999. The bulletin is recommended for further study, especially for
contingent commanders with command responsibility over UN peacekeeping personnel. The bulletin can be
downloaded from <http://peacekeepingresourcehub.unlb.org>.

possible due to the inability or unwillingness of


the national judiciary system to prosecute against
war crimes, international criminal courts can be
mandated to prosecute individuals indicted for war
crimes. The International Criminal Court (ICC) is
an international court where war crimes are tried.
Historically the UN has also established ad hoc
criminal tribunals for war crimes committed in the
former Yugoslavia and Rwanda.6 Regardless of the
existence of these courts and special tribunals, the
main responsibility to prevent and prosecute war
crimes rests firmly with each state.

or other serious violations of IHL constitute war


crimes and should be prevented and prosecuted
by a state. When a state is unable or unwilling to
prosecute war crimes, the International Criminal
Court or an ad-hoc tribunal can be tasked to
prosecute individuals indicted for war crimes.

Summary
International humanitarian law (IHL) is a set of rules
mainly derived from the Geneva Conventions and
their Additional Protocols. The law protects civilians
and other non-combatants, especially women
and children from the harmful effects of armed
conflict. It also protects humanitarian aid workers
and medical personnel. The essential rules of IHL
aim to protect these individuals as well as to limit
the means and methods of armed conflict that may
cause excessive injury or unnecessary suffering
in an armed conflict. The essential rules are part
of customary international law, and are therefore
binding to each state without the need for a treaty
to be ratified.
The law applies to all instances of armed conflict,
international as well as internal. The law binds
all parties to an armed conflict, including United
Nations forces acting under a peacekeeping
mandate in a conflict zone. Grave breaches of the
Geneva Conventions and their Additional Protocols
6 OHCHR, New Core International Human Rights
Treaties. <http://www.ohchr.org/Documents/
Publications/newCoreTreatiesen.pdf>

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Additional References
These references offer deeper insight into the
issues we have explored in this lesson and are
recommended as further reading on the topic of
international humanitarian law. However, these
recommended further readings are not part
of the required reading for this course, and no
examination questions will be based solely on
information found in these readings. For further
discussion of this topic and many of these readings,
also consider the Peace Operations Training
Institute courses titled International Humanitarian
Law and Human Rights.
1. Charter of the United Nations, <http://www.
un.org/en/documents/charter/>.
2. Universal Declaration of Human Rights, <http://
www.un.org/en/documents/udhr/index.shtml>.
3. Secretary Generals Bulletin Observance by
United Nations forces of international humanitarian
law (ST/SGB/1999/13 Secretariat 6 August 1999)
<http://www.un.org/peace/st_sgb_1999_13.pdf>.
4. 1951 Convention relating to the Status of
Refugees (available at: <http://www.unhcr.org/
protect/3c0762ea4.html>).
5. Guiding Principles on Internal Displacement
(available at: <http://www.reliefweb.int/ocha_ol/pub/
idp_gp/idp.html>).
6. DPKO/DFS Policy Directive on Quick Impact
Projects (QIPs), 2007.

9. Inter-Agency Standing Committee (IASC)


Guidelines and References for Complex
Emergencies, January 2009, available at: <http://
www.humanitarianinfo.org/iasc/> (Click on the link
Products).
10. UN Women supporting implementation of
Security Council resolution 1325, <http://www.
unrol.org/doc.aspx?d=2888>.
11. Security Council resolution 1820 on Women,
peace and security, <http://www.unrol.org/doc.
aspx?n=women_peace_security_resolution1820.
pdf>.
12. Security Council resolution 1612 on Children
and armed conflict, <http://www.unrol.org/doc.
aspx?n=SecurityCouncilResolution1612_en.pdf>.
13. Security Council resolution 1674 on the
Protection of civilians in armed conflict, <http://
www.unrol.org/doc.aspx?n=S-Res-1674%20
on%20protection%20civilians%20in%20armed%20
conflict%20(28Apr06).pdf>.
14. Rules of International Humanitarian Law,
available through the International Committee of
the Red Cross, <http://www.icrc.org/customary-ihl/
eng/docs/v1_rul>.
15. UN Infantry Battalion manual, provided on
the UN Peacekeeping Resource Hub, <http://
peacekeepingresourcehub.unlb.org/PBPS/Pages/
Public/viewdocument.aspx?id=2&docid=1243>.

7. DPKO/DFS Guidelines on Joint Operational


Initiatives: UN Peacekeeping Operations and the
World Bank, 2007 OHCHR, The Core International
Human Rights Treaties <http://www.ohchr.org/EN/
PublicationsResources/Pages/ReferenceMaterial.
asp>.
8. OHCHR, New Core International Human
Rights Treaties, <http://www.ohchr.org/Documents/
Publications/newCoreTreatiesen.pdf>.

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End-of-Lesson Quiz
1. The aim of IHL is to:

6. Define war crime.

A. Enforce ceasefire conditions.


B. Prevent internal conflicts from becoming
international conflicts.l

7. International humanitarian law applies to:

C. Protect the entire population in times of internal


unrest.

B. Some instances of armed conflict, depending on


the parties involved.

D. Limit the negative impact of armed conflict and


reduce suffering during war.

2. According to the UN, the protection of


human rights will limit the negative impact
of war and:
A. Lead to a more sustainable and lasting peace.
B. Bring a quicker end to the conflict.
C. Protect the host countrys economy.
D. Enforce the mandate.

3. The International Criminal Court (ICC) is


an international court where:
A. Ceasefire violations are examined.
B. War crimes are tried.
C. International peace treaties are ratified.
D. UN personnel are reprimanded for violating IHL.

A. Instances of internal tensions.

C. All instances of armed conflict, international as


well as internal.
D. International disputes over trade tariffs.

8. Who holds the main responsibility to prevent


and prosecute war crimes?
A. Each individual state.
B. International courts.
C. INTERPOL.
D. The United Nations.

9. List the essential rules of IHL that all


peacekeeping personnel must remember.
10. UN military personnel who violate
international humanitarian law are subject
to:
A. Written censure.

4. In which situation is international


humanitarian law not applicable?

B. Two warnings before being dismissed from their


position.

A. Internal tensions.

C. Prosecution in their national courts.

B. Internal conflict.

D. Limited reprimand.

C. International conflict.
D. When UN peacekeeping forces are parties to a
conflict.

5. The main rules of IHL are found in the:


A. Rules of Engagements (ROE).
B. Directive on the Use of Force (DUF).
C. Mandate of the mission.
D. Geneva Conventions and their Additional
Protocols.

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ANSWER KEY
1D, 2A, 3B, 4A, 5D,
6. War crimes are serious violations of the laws applicable in armed
conflict. This includes grave breaches of the Geneva Conventions
and their Additional Protocols and other serious violations of
international humanitarian law.
7C, 8A,
9. 1. Civilian targets cannot be attacked. Attacks may be made solely
against military objectives.

2. Civilians and anyone no longer taking part in hostilities must be


respected and treated humanely.

3. Anyone who surrenders or stops fighting (e.g., wounded) cannot


be killed.

4. Torture is prohibited at all times and in all circumstances.

5. Captured combatants and civilians must be respected and


protected against all acts of violence or reprisal.

6. It is forbidden to use weapons or methods that are likely to cause


excessive injury or unnecessary suffering.

7. Wounded and sick must be collected and cared for.

8. Medical personnel and medical establishments, transports, and


equipment must be respected and protected.

9. The Red Cross and Red Crescent emblems are signs of


protection and must be respected.

10C.

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LESSON 2
INTERNATIONAL
HUMAN RIGHTS LAW

LESSON
2

LESSON OBJECTIVES
2.1: Definition of Human
Rights
2.2: Human Rights
Most Frequently
at Risk in Conflict
and Post-Conflict
Situations
2.3: Application of
International Human
Rights Law
2.4 Refugee Law and
Guiding Principles on
Internally Displaced
Persons

The aim of this lesson is to inform peacekeeping personnel about


international human rights law, focusing on definitions and applicability of
the law. By the end of Lesson 2, the student should be able to meet the
following objectives:

Define and give examples of human rights protected under international


law; and

Identify who is protected by, and who is bound by international human


rights law.

Introduction
By contrast to International Humanitarian Law (IHL), international human
rights law applies both in war and in peacetime and to all human beings.
The universality of human rights is highlighted in the UN Charter, which
commits Member States to promote and encourage respect for human
rights and fundamental freedoms for all, without distinction as to race, sex,
language, or religion.
The codification of human rights into law is a relatively new phenomenon.
What began as a gradual development in individual States to protect basic
human rights was developed into international law when the UN General
Assembly adopted the Universal Declaration of Human Rights (UDHR)
on 10 December 1948. Drafted as a common standard of achievement
for all peoples and nations, the UDHR has been widely accepted as a

fundamental norm for human rights that everyone


should respect and protect.1
The UDHR and national bills of rights constitute
examples of how over time and through peoples
struggles, claims for respect for human dignity
have moved from the realm of ethics to the realm of
law, and human rights have come to be protected
by domestic laws, national constitutions, and
international law. Because several human rights
are established in customary international law, they
are internationally guaranteed, and do not require
a treaty to bind an individual state to the protection
and promotion of these rights. Today, the UDHR is
the cornerstone of human rights standards widely
adopted by the worlds states.

2.1 Definition of Human Rights


The Universal Declaration on Human Rights
emphasizes that fundamental freedoms and human
rights (civil, cultural, economic, political, and
social) are universal and guaranteed to everyone.
They are not earned by virtue of belonging to any
country or territory whether or not a country
is independent, non-self-governing, or under
any other limitation of sovereignty. Instead,
human rights are entitlements that every person
possesses by virtue of being human.
Furthermore, human rights are universal
because every human being is entitled to them
regardless of his/her race, colour, sex, language,
religion, political or other opinion, national or
social origin, property, birth, or other status.
This non-discrimination principle is central to the
concept of human rights.
As every human being is entitled to human rights,
no other human or institution can take them away.
Frequently, human rights are violated through
decisions and acts of others, but such violations
do not mean that the human rights are taken away
from the person concerned.
1 DPKO/DFS Guidelines on Joint Operational
Initiatives: UN Peacekeeping Operations, World
Bank, 2007. OHCHR, The Core International
Human Rights Treaties. <http://www.ohchr.org/EN/
PublicationsResources/Pages/ReferenceMaterial.
asp>

Flags of member states fly at the entrance of Palais des Nations.


Photograph is taken during the 18th session of the Human Rights Council.
(UN Photo #485261 by Jean-Marc Ferr, 20 September 2011)

Another key principle is that human rights are


interdependent. This means that the realization
(achievement) of one human right is linked to
the realization of the others. For example, in
order to be able to express a genuine political
opinion through a vote, citizens must have access
to adequate and relevant information. As the
human rights are interdependent, they are also
naturally equally important the right to freedom
of expression is less valuable if one is not allowed
to seek information or to assemble peacefully,
as is information without freedom to spread this
information.
The International Bill of Human Rights
As mentioned earlier, the Universal Declaration
of Human Rights outlines the basic human rights
and emphasizes their universality. The UDHR is
complemented by two additional documents, the
Covenant on Economic, Social and Cultural Rights
and the Covenant on Civil and Political Rights.
Together, these binding documents make up the
International Bill of Human Rights.2
In recognition of the fact that there are both acts
of man that must be specifically forbidden and
sanctioned, and that there are groups that are likely
to suffer more than others in times of armed conflict
and civil unrest, the International Bill of Human
2 Universal Declaration of Human Rights, <http://
www.un.org/en/documents/udhr/index.shtml>

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Provided by the Swedish Armed Forces International Training Centre

Rights is supplemented by additional human rights


treaties. These treaties focus on specialized areas,
such as the prevention of genocide and torture,
minorities and persons with disabilities, etc. The
protection of the rights of women and children are
also key areas of international human rights law.
Together, all documents in the field of international
human rights law detail the universal human rights
and the obligation of states to promote and protect
these human rights.
As indicated by the names of the Covenants that
complement the UDHR, human rights can broadly
be divided into two categories: Civil and Political
Rights and Economic, Social and Cultural Rights.
Examples of Civil and Political Rights are:

The right to life;


The right to be free from torture;
The right to be protected from discrimination;
The right to freedom of expression;
The right to a fair trial; and
The right not to be held in slavery.
Examples of Economic, Social and Cultural Rights
are:

The right to join a trade union;

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The right to education;


The right to food;
The rights to housing and medical care;
The rights to social security and to work; and
The right to equal pay for equal work.
International human rights law and its cornerstone,
the International Bill of Human Rights, protect
certain types of human rights, as shown in
the examples above. In addition, through
supplementary treaties to the International Bill
of Human Rights, international human rights law
also points to groups of persons who may require
special protection because of their vulnerability
or because they suffer disproportionately from
discrimination. Women and children are two such
groups who may require special protection in a
conflict zone. Other groups whose human rights
may be particularly at risk during conflict include:

Minorities: Minorities are groups with common

ethnic, religious, or linguistic characteristics


different from the majority of the population and
who may be subject to persecution by members
of the majority because of these differences;

Detainees: Detainees are persons in detention,


either awaiting trial or serving a judicial
sentence;

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2.2 Human Rights Most Frequently


at Risk in Conflict and Post-Conflict
Situations

A group of Congolese women wave to UN Deputy High


Commissioner for Human Rights Flavia Pansieri, as she
arrives in Mambassa, Ituri district, eastern Democratic
Republic of the Congo (DRC). The Deputy High
Commissioner inaugurated a newly built police station
in Mambassa, which is to house a special unit for the
protection of women and children. (UN Photo #559320 by
Sylvain Liechti, 24 August 2013)

Persons with disabilities: People who have been


injured or maimed, or who have developed or
been born with physical or mental disabilities;
and

Refugees and internally displaced persons

(IDPs): Refugees are persons who have fled their


homes as a result of armed conflict, persecution,
systematic human rights violations, or natural
disasters. A fundamental human right is the right
to freedom of movement and residence within
the borders of each state. Furthermore, everyone
has the right to leave any country, including his
own, and to return to that country. These rights
have been violated by public officials or other
groups who wish to expel parts of the population
(ethnic cleansing) or to limit the free movement of
citizens. If persecuted, everyone has the right to
seek and to enjoy asylum in another country.

There is an important distinction between refugees


and IDPs. Refugees are individuals who have fled
their homes and have crossed an international
border in that process. IDPs have fled their homes
but stay within their country of residence and
therefore remain within the jurisdiction of their
home country.

Conflicts inherently affect human rights. When the


rules of international humanitarian law are broken,
such as when indiscriminate attacks are carried out
unjustified by any military objective, the rights to
life and property of civilians in a conflict zone are at
high risk. Furthermore, internal tension preceding
an armed conflict may result in repressive
legislation aimed at stifling opposition. In such
instances, the rights to freedom of expression and
freedom of peaceful assembly and association are
frequently violated in the name of stability.
As the task of UN peacekeeping personnel is
to uphold International Humanitarian Law and
international human rights law in a conflict zone,
it is important that peacekeeping personnel are
familiar with the human rights that are most
frequently at risk in conflict and post-conflict
situations.
Definitions of key human rights at risk in conflict or
post-conflict situations include:

The right to life: The state has an extensive

obligation to protect the right to life of persons


under the states jurisdiction. This includes the
protection of persons from arbitrary or random
killings due to war, genocide, or mass violence.
This applies both to random killings by State
officials and other parties. The state also has a
special duty to prevent the death of any persons
under arrest. Persons under 18 years of age may
not be sentenced to death;

Prohibition of torture and cruel, inhumane, or

degrading treatment: Torture is defined as the


act of public officials that intentionally inflict
severe physical or mental pain or suffering
in order to fulfil a certain purpose, such as
the extortion of information or a confession
from an individual under detention. Torture is
also frequently used to punish, intimidate, or
discriminate against a person. As discussed in
the previous lesson, torture is strictly forbidden
at all times and under any circumstances by
international humanitarian law;

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Prohibition of slavery: Slavery is considered any


act related to the acquisition, exchange, trade,
or sale of another person, and regardless of
the purpose, constitutes a grave violation of the
human rights of any individual held in slavery;

Prohibition of violence against women:

Defined as all forms of physical, sexual, and


psychological violence, whether occurring in the
community, in the family (domestic violence), or
committed by public officials;

Prohibition of arbitrary arrest and detention:

Public officials or persons appearing to act in


a public capacity may not confine anyone in a
prison or detention facility without a valid, legal
reason. More specifically, arrest and detention
is considered arbitrary if they fail to respect
due process of law. Arrest or detention is also
considered arbitrary when it is discriminatory
(meaning that different persons are treated
differently under the same circumstances),
disproportionate to the act, or when it is without
fair cause. A clearly specified, legitimate reason
is required to arrest or detain any individual,
which must apply to any person in the same
situation carrying out the same act. The
arrest should also have clear support in law or
established legal procedures;

The right to a fair trial: Also defined as due

process of law, meaning that a person accused


of a crime has the right to a fair trial in a court
that is governed by established legal procedures,
with minimum guarantees to be heard objectively
by the court before a ruling is made;

Prohibition of trafficking persons: Meaning the

threat or use of force, coercion, abduction,


fraud, deception, or abuse of power to recruit,
transport or harbour persons for the purpose of
exploitation;

The right to food: In a conflict or post-conflict

situation, resources are scarce and may be


controlled by hostile groups. The right to basic
sustenance is frequently violated;

Bolivian United Nations peacekeepers distribute water


and meals to the residents of Cit Soleil, Haiti. (UN
Photo #425128 by Marco Dormino, 15 January 2010)

The right to housing/shelter: The destruction of

any persons dwelling violates this right. Human


life depends on shelter;

Freedom of thought, conscience, and religion:

The right to worship, observe, practice, and


teach the religion or belief of ones choice,
both in private and in community with others.
This also means the free right to change ones
religion or belief;

Freedom of expression: Everyone has the right

to freedom of opinion and expression; including


the freedom to hold opinions without interference
by public officials or other individuals and the
freedom to seek, receive, and impart information
and ideas through any media and regardless of
frontiers; and

Freedom of peaceful assembly and association:


The right to prepare, conduct, or participate in
a peaceful assembly or demonstration. While
the freedom of association protects the rights of
individuals to express their opinions or beliefs
in community with others, it also protects
individuals from being compelled to belong to
any particular association.

The right to water: The contamination or

destruction of water sources violates this right;

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2.3 The Application of International


Human Rights Law
The Universal Declaration of Human Rights
and many other international human rights and
humanitarian law instruments indicate that there
are rights, such as to freedom from torture, that
are granted equally to all individuals by virtue of
being human. Because states and institutions do
not administer these rights, they are compulsory for
all states and a treaty is not required. International
law that is binding for a state without the ratification
of a treaty, such as the provisions of the UDHR, is
called customary international law. Such provisions
apply to all persons, regardless of citizenship.
In addition to the basic human rights set forth by
the International Bill of Human Rights, there are
rights that are codified in treaties. For a state to be
bound by the contents of a treaty, that state must
have ratified the treaty. Treaty ratification is defined
as the process by which a state government
or legislature formally adopts or endorses an
international treaty and thereby agrees to be
legally bound by it. The treaty then becomes part
of that States national legislation, and the State
undertakes the legal obligation to act to protect and
promote the rights covered by those documents.
Every Member State of the United Nations has
ratified at least one human rights treaty and has
therefore committed itself to protect and promote
the rights contained in these treaties. This means
that the treaties they have signed bind nations
hosting UN peacekeeping operations to protect
and promote the rights spelled out in these treaties.
In addition, peace agreements also increasingly
include obligations for the signatories to comply
with international human rights treaties and
standards.
A state that is bound by the rule of law fulfils its
human rights obligations through the actions of
actors and institutions that are normally found in
the state machinery. Such actors and institutions
may be parliaments, judges, the police, the armed
forces, ministries, and other local authorities.
These actors are responsible for protecting the
population and addressing their needs. Actors
who formally may not be part of the government or

Further Reading:
The human rights outlined by the Universal Declaration of
Human Rights are structured and readily available to the
reader in the 30 articles of the UDHR. To further develop an
understanding of these rights, the UDHR is recommended for
further reading. The UDHR is available at <http://www.un.org/en/
documents/udhr/index.shtml>

state machinery, but who are acting on behalf of


the state, will also have human rights obligations.
This may include private contractors acting
under a contract with the government to perform
certain tasks that normally fall under the states
competence.
In exceptional circumstances, a state that has
ratified a human rights treaty may choose to
temporarily suspend some human rights in a
time of public emergency that threatens the life
of the nation. Such a declaration of a state of
emergency must only be performed under very
strict conditions.3
The event of a state of emergency must be officially
declared and made known to the population.
Any derogations must be strictly required by the
extraordinary circumstances of the situation.
Any infringements to the human rights caused
by this state of emergency must be universally
applicable to all citizens, and must therefore not
be discriminatory in terms of race, colour, sex,
language, religion, or social origin.
Regardless of circumstances, all UN peacekeeping
operations should be conducted with full respect
of international human rights and should seek
to promote and protect human rights through
the implementation of their mandates. UN
peacekeeping personnel whether military,
police, or civilian should act in accordance with
international human rights law. They should never
become predators of human rights abuses and
3 Inter-Agency Standing Committee (IASC)
Guidelines and References for Complex
Emergencies, January 2009, <http://www.
humanitarianinfo.org/iasc/>.

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should always respect human rights in dealing with


colleagues and with local people, in their public and
private lives. As discussed in the previous lesson,
this is part of the mandate, and any breaches of
this responsibility may lead to sanctions by the
judiciary system of the Troop Contributing Country.

2.4 Refugee Law and Guiding


Principles on Internally Displaced
Persons (IDPs)
As noted in the previous section, anyone under
persecution has the right to seek and enjoy asylum
in other countries. In times of conflict, the number
of individuals that flee their homes in search of
asylum may be very high. Not all these persons
cross an international border, potentially becoming
displaced in their own country of residence.

Internally Displaced Persons (IDPs) ride a bus to return


from the IDP camp in Aramba to their original village
in Sehjanna, near Kutum, North Darfur. The voluntary
repatriation program is organized by the Office of the
United Nations High Commissioner for Refugees (UNHCR)
and the Sudanese Humanitarian Aid Commission. (UN
Photo #480078 by Albert Gonzlez Farran, 14 July 2011)

It is often a major undertaking by a UN


peacekeeping operation to ensure a safe and
secure environment for persons displaced
by armed conflict and civil unrest. All UN
peacekeeping personnel should therefore be
aware of refugee law and the guiding principles on
Internally Displaced Persons (IDPs).4

This well-founded fear may be based on his or


her race, religion, nationality, political opinion, or
membership in a group. International refugee law
guarantees the human rights of refugees and spells
out obligations for States to protect refugees living
in their territory.

Refugee law defines a refugee as a person who


has fled his or her country and lives in a different
country. The person is also unable to return to their
home and enjoy the protection of his or her country
because of a well-founded fear of persecution.

In most post-conflict situations, peacekeeping


personnel will also be confronted by internally
displaced persons (IDPs). IDPs are persons who
have also fled their homes and are unable to return.
By contrast to refugees, they have not crossed an
international boundary.
In order to promote the development of a stable
post-conflict society, many UN peacekeeping
operations are mandated to facilitate the safe
return home of refugees and internally displaced
persons. UN peacekeeping personnel should
only work toward a security situation that allows
refugees and IDPs to safely return to their homes.

An aerial view of Zaatri refugee camp, host to tens of thousands of


Syrians displaced by conflict, near Mafraq, Jordan. (UN Photo #537329
by Mark Garten, 07 December 2012)

4 Relief Web. Guiding Principles on Internal


Displacement <http://www.reliefweb.int/ocha_ol/
pub/idp_gp/idp.html>.

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The Security Council stresses this mandate to


UN peacekeeping operations in its resolution
number 1674 on the protection of civilians.5 In
5 UN Rule of Law. SC resolution 1674 Protection
of Civilians. <http://www.unrol.org/doc.
aspx?n=S-Res-1674%20on%20protection%20
civilians%20in%20armed%20conflict%20
(28Apr06).pdf>

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this resolution, the Security Council reaffirms


that, when it is appropriate to the situation, United
Nations peacekeeping operations will be mandated
to create conditions conducive to the voluntary,
safe, dignified, and sustainable return of refugees
and internally displaced persons.
Security Council Resolution 1674 also encourages
UN peacekeeping operations to take all measures
that are feasible and within the confines of their
mandates to ensure security in and around refugee
and IDP camps.
Support
International human rights law, refugee law, and
international humanitarian law can be technical
and in some cases complicated. There are always
legal experts in the mission (i.e. human rights and
judicial affairs officers, military and police advisers),
as well as staff in UN agencies, like the UN High
Commissioner for Refugees (UNHCR), who can
advise on the best way to handle a legal issue.
Nevertheless, as peacekeeping personnel one
must always be familiar with the essential aspects
of international human rights and humanitarian law
that we have covered in these two lessons. These
are the basic rules that govern a UN peacekeeping
operation as well as all parties to a conflict, in the
context of international humanitarian and human
rights law.
All UN peacekeeping personnel need to know
these basic rules in order to be able to perform
their tasks and to regulate their conduct. The next
lessons will provide a detailed understanding of
how peacekeeping personnel must work to protect
human rights and secure the protection of women
and children, as instructed by the Security Council
in its resolutions on those issues.

Summary
The universal human rights that apply to all
individuals by virtue of being human are formulated
in the International Bill of Human Rights. This bill
consists of the Universal Declaration of Human
Rights together with the Covenant on Economic,
Social and Cultural Rights and the Covenant on
Civil and Political Rights. Because a State or
institution does not grant these human rights, they
cannot be taken away from any individual.
The rights are interdependent and therefore equally
important there can be no meaningful freedom of
expression without freedom of peaceful assembly
or the right to seek and impart information. Treaties
do not govern basic human rights outlined by the
International Bill of Human Rights, such as the right
to freedom from torture. They are part of customary
international law and therefore binding to all States.
Other rights are governed by treaties, which
required ratification by States in order to be legally
binding to these States. All Member States have
signed at least one human rights treaty and are
therefore bound to protect and uphold these rights.
Human rights are often violated individual rights
are infringed upon, and specific groups, such as
minorities, detainees, persons with disabilities, and
refugees or Internally Displaced Persons (IDPs)
are more vulnerable to violation of their rights by
the majority population, a warring faction, or other
actors in a conflict or post-conflict zone.
All UN peacekeeping personnel are obligated to
know the essential rules of international human
rights law and international refugee law. It is a
core function of the UN peacekeeping operation
to protect and promote human rights as well as
the rights of vulnerable groups like refugees and
IDPs. When the security situation is appropriate,
many UN peacekeeping operations are also
mandated to facilitate a voluntary, safe, dignified,
and sustainable return of refugees and internally
displaced persons.

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End-of-Lesson Quiz
1. Human rights are:
A. Fundamental freedoms aimed at protecting
civilians in armed conflict.
B. Rights that are equally important and ensure
human dignity at all times.
C. Fundamental freedoms that are internationally
protected.
D. Universal and guaranteed to everyone.

2. Human rights originate from the realm of:


A. Law.
B. Ethics.

5. In what situation can a state, which has


ratified a treaty on human rights, suspend
some of these human rights?
A. Human rights may be suspended by the state in
order to ensure other human rights.
B. During a public emergency that threatens the
life of the nation.
C. When the suspension of rights has been
officially declared and made known to the
population.
D. These rights can never be suspended.

6. What is the difference between a refugee and


an IDP?

C. Morals.
D. International agreements.

A. A refugee, unlike an IDP, is unable to return to


their home.

3. International human rights law points to


groups of persons who may require special
protection because:

B. A refugee, unlike an IDP, is unable to enjoy the


protection of his/her country.

A. They are defenceless and easy targets of


violence.

C. A refugee, unlike an IDP, has a well-founded


fear of prosecution based on grounds of
discrimination.

B. They are poor and therefore discriminated


against.

D. A refugee, unlike an IDP, has crossed an


international boundary.

C. They are vulnerable or suffer disproportionately


from discrimination.
D. They do not speak the language or do not
share other common characteristics of the
majority population.

4. Minorities are defined as groups with


common:
A. Ethnic, religious, or linguistic characteristics
that differ from the majority of the population.
B. Political ideas that differ from the majority of the
population.

7. Human rights can broadly be divided into


two categories: Civil and Political Rights
and:
A. Economic, Social, and Cultural Rights.
B. Refugee Rights.
C. Minority Rights.
D. The Right to Education.

8. Define IDP.

C. Cultural characteristics that differ from the


majority of the population.
D. Historical traits that differ from the majority of
the population

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9. International law that is binding for a state


without the ratification of a treaty, such as the
provisions of the UDHR, is called:
A. International humanitarian law.
B. Established legal procedure.
C. Customary international law.
D. Obligatory mandate.

10. List the human rights most frequently at risk of


violation in conflict and post-conflict areas.

ANSWER KEY
1D, 2B, 3C, 4A, 5B, 6D, 7A.
8. Persons who have fled their homes as a result of armed conflict, persecution, systematic
human rights violations or natural disasters, but who remain in their country of residence.
9C.
10. Human rights most frequently at risk of violation in conflict and post-conflict areas are:

The right to life


The freedom from torture and cruel, inhumane or degrading treatment
The prohibition of slavery
The freedom from arbitrary arrest and detention
The right to a fair trial
The prohibition of trafficking persons
The right to food
The right to water
The right to housing/shelter
The freedom of thought, conscience, and religion
The freedom of expression
The freedom of peaceful assembly and association
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UNIT III

EFFECTIVE MANDATE IMPLEMENTATION


Provided By Swedish Armed Forces International Training Centre (SWEDINT):

PART 1B: HOW UNITED NATIONS PEACEKEEPING


OPERATIONS FUNCTION
LESSON 3: THE HUMAN RIGHTS BASE LINE
3.1: Linkages Between Human Rights, Security, and Development
3.2: UN Policy on Human Rights in Integrated Missions
3.3: Applying Human Rights in Peacekeeping
Lesson 3 Quiz
LESSON 4: HUMAN RIGHTS IN UN PEACEKEEPING OPERATIONS
4.1: What Peacekeeping Personnel Can Do
4.2: Human Rights Roles in the Context of Peacekeeping Operations
4.3: Other Mission Components Contributing to Human Rights
4.4: UN Police and Human Rights
4.5: Military Peacekeepers and Human Rights
Lesson 4 Quiz

LESSON 3
THE HUMAN RIGHTS BASE LINE

LESSON
3

LESSON OBJECTIVES
3.1: Linkages Between
Human Rights,
Security, and
Development
3.2: UN Policy on Human
Rights in Integrated
Missions
3.3: Applying Human
Rights in
Peacekeeping

The aim of this lesson is to inform peacekeeping personnel about how


the linkages between human rights, security, development, and UN policy
affect the peacekeeping operations and peacekeeping personnel at large.
By the end of Lesson 3, the student should be able to meet the following
objectives:

Explain the linkages between human rights, security, and development;


Discuss UN policies on human rights that are relevant to peacekeeping
settings;

Have an understanding of the responsibility of individual peacekeeping

personnel to the protection and promotion of human rights, and how this
is applied in a UN peacekeeping operation.

Introduction
Many modern conflicts originate through violations of human rights by
state officials or through human rights abuses by non-state actors such as
rebel groups. In order to find a resolution to a conflict, it is often essential
to address human rights issues in negotiations and treaties. Consequently,
the success of a peace operation may be dependent on the ability of
the peacekeeping personnel to address human rights issues. Therefore,
modern multinational peace operations include human rights as a part
of their mandate and structure. It is essential that all peacekeepers of all
nations, whether military, police, or civilian, understand and respect the
key operational and legal framework for United Nations peacekeeping
operations. The conduct of every individual represents the United

Nations, and any mistake at the tactical level may


greatly affect the operation. Both peacekeeping
operations and the individual personnel within
the mission need to work actively to ensure the
promotion and protection of human rights. To be
able to expect individual personnel to fulfil this
task, it is especially important that persons with
a leadership or command role have a profound
awareness of UN policies on human rights in
peacekeeping.
The ability to promote and protect human rights
requires the ability to recognize human rights
violations and abuses when they occur. UN
peacekeeping personnel and organizations must
also be prepared to respond appropriately to
such actions within the limit of their mandate and
their competence.1 This lesson will discuss how
such violations and abuses in a conflict zone are
identified.
A key conclusion from previous lessons is that
all peacekeeping personnel have an individual
responsibility to protect, respect, and promote
human rights. They must therefore be familiar
with their operations human rights mandate. To
support this mandate, an integrated UN mission will
have a human rights component, with the leading
and coordinating role on human rights issues in
the mission. However, other components of UN
peacekeeping operations also play an important
role in protecting and advancing human rights. This
will be discussed in detail in the section outlining
UN policy on human rights in integrated missions.
The nature of an internationally mandated and
organized peacekeeping operation is that it is
made up of peacekeeping personnel from different
parts of the world. Each individual may therefore
already have knowledge of human rights contained
in their own countrys legislation and practice.
When preparing for work in a UN peacekeeping
operation, it is important to recognize that there
may be many different views on human rights
brought to the operation by its individual members.
1 Secretary-Generals Note of Guidance on human
rights in integrated missions, 2006, <http://www.
regjeringen.no/upload/UD/Vedlegg/missions/
sgnote.pdf>.

Demonstration outside World Conference on Human Rights at the Vienna


Conference Centre. (UN Photo #319239 by A Rauscher, 25 June 1993)

General definitions:
Human rights violation: is a term which indicates that human
rights have been violated by the action (or mission) of a State
official or agent, such as a police officer, soldier, judge, local
administrator, or parliamentarian, while they have been acting in
their official capacity (or have been perceived to be acting in their
official capacity).
Human rights abuse: is a broader term, which includes abuses
of human rights committed by non-State actors, such as rebel
groups, corporations, etc.

When these individuals from different parts of


the world come together to work under a single
UN mandate, they must also become familiar
with the concept and definition of human rights
as developed by the international community. As
mentioned in the previous lessons on international
human rights law and international humanitarian
law, human rights are conceptualized and
defined by a number of different instruments. The
responsibility to protect, respect, and promote
human rights is part of this internationally defined
concept that must guide the actions of UN
peacekeeping personnel, instead of any different
individual or national views held by individual
members of the operation.

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3.1 Linkages between Human Rights,


Security, and Development
In a speech to the General Assembly at
the 60th anniversary of the UN, the former
Secretary-General Kofi Annan declared, We will
not enjoy development without security, we will not
enjoy security without development, and we will
not enjoy either without respect for human rights.2
Embodied in this statement is the UN position
that development, security, and human rights
are mutually dependent on each other. This idea
underscores the importance of a peacekeeping
operations success to address human rights
issues. The UN has a clear conviction that strong,
durable, and equitable peace and security can only
be attained if it is built on respect for human rights.
The protection and promotion of human rights are
key elements to the full spectrum of peace and
security activities. This means that human rights
protection and promotion should be present in
all actions undertaken by the UN, from conflict
prevention to peacemaking, peace enforcement,
peacekeeping, and finally to peacebuilding.
Any armed conflict will
have dire consequences
Remedies: a term that refers to
that are easily
reparations or legal redress to
recognized through
provide justice or compensation to
the reports of media,
victims of a human rights violation.
non-governmental
organizations, and other
actors. It is important,
however, to distinguish between a conflicts
consequences the apparent effects on the
civilian population, economy, and other aspects
of society and its root causes. A root cause is a
factor without which the conflict would not occur.
As mentioned in the introduction, all too frequently,
human rights violations and abuses constitute such
root causes.3
2 Report of the Secretary-General, In larger
freedom: towards development, security and
human rights for all (A/59/2005), <http://
www2.ohchr.org/english/bodies/hrcouncil/docs/
gaA.59.2005_En.pdf>
3 Inter-Agency Standing Committee (IASC)
Guidelines and References for Complex
Emergencies, January 2009, <http://www.

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It is the UN position that peace processes must


address the root causes of a conflict, and not just
these consequences. This includes addressing
the plight of the most marginalized of groups in a
society affected by conflict. Seeking justice and
providing compensation or remedies can be an
important way to address the plight of communities
and individuals affected by conflict.
In order for the peace process to go beyond
the cessation of hostilities and the mitigation of
immediate consequences, it is important that a fair
and balanced legal process related to human rights
violations is enacted in a post-conflict society. As
discussed in previous lessons, the responsibility
to prosecute perpetrators of serious human rights
violations lies mainly with each Member State.
Accordingly, the Secretary-General has stated
that the UN will not endorse, support, or recognize
amnesty for war crimes, crimes against humanity,
or grave violations of human rights or international
humanitarian law.4
Such amnesty might be negotiated in a peace
agreement between governments or rebel groups.
Amnesty may be effective in persuading warring
factions to end hostilities in order to guarantee a
certain protection from legal retribution. However,
recognition of such amnesties may hinder the
peace process and stop the often long process of
re-establishing security and initiating post-conflict
development in a society affected by armed
conflict.

3.2 UN Policy on Human Rights in


Integrated Missions
In multidimensional UN peacekeeping operations
where the mandate has strong linkages with the
objectives and programmes of UN agencies,
the United Nations has adopted an integrated
approach for all parts of the UN system that are
active in that country. This means that the UN
peacekeeping operation and the UN Country
Team are all working toward the same strategic
humanitarianinfo.org/iasc/>.
4 Report of the Secretary-General, Renewing
the United Nations: A Programme for Reform
(A/51/950), <http://www.un.org/millennium/
documents/a_51_950>.

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vision. The concept of an integrated mission will be


discussed further in Part 2 of this Unit.
While different functions in the integrated mission
have different responsibilities, human rights are
a concern that cuts across all components of an
integrated mission, and therefore must be fully
incorporated into such peacekeeping operations.
As seen in a number of instances, all UN entities
and personnel are responsible for promoting
and protecting human rights. This notion is
contained in the UN policy on human rights in
integrated missions, which was established by the
Secretary-General in 2006.
As the most senior officer of an integrated
mission, the Special Representative of the
Secretary-General (SRSG) has a responsibility to
uphold human rights law in the implementation of
the missions mandate and make sure that all UN
peacekeeping personnel are aware of and abide
by international human rights law. This includes
military, police, as well as civilian personnel
working in the UN mission.5
5 Secretary Generals bulletin Observance by
United Nations forces of international humanitarian
law (ST/SGB/1999/13 Secretariat 6 August 1999)
<http://www.un.org/peace/st_sgb_1999_13.pdf>.

The policy also states that the SRSG shall have a


human rights law adviser who is also the head of
the human rights component of the mission. This
component coordinates all human rights functions
carried out by the peacekeeping mission. The
SRSGs human rights adviser also functions as the
representative of the UNs High Commissioner for
Human Rights in the country and is part of the UN
Country Team (UNCT). This structure, where the
human rights adviser reports both to the SRSG
and to Office of the High Commissioner for Human
Rights (OHCHR), is intended to ensure that all
parts of the UN system have a consistent policy on
human rights, while units in the integrated mission
work effectively with the OHCHR.
In order to inform all relevant organs outside the
integrated mission of the human rights situation
in the area where the integrated mission works,
the policy stipulates that regular reports should be
issued on the human rights situation in the country
or area where the mission works. These reports
are made public in order to ensure a widespread
international understanding of the situation. The
reports are issued either by the SRSG and the
mission, or by the OHCHR.

Further reading:
There are a number of key UN reform documents that highlight the link between human rights, security, and development. To
deepen ones understanding of how these aspects of social relations work together, and how this has influenced the position
of the UN for many years, the following documents are recommended for download and study:
The 1997 report of the Secretary-General entitled Renewing the United Nations: A Program for Reform (A/51/950). The
report made it explicit that human rights cut across all of the UNs substantial areas of work. The report is available at: <http://
www.un.org/millennium/documents/a_51_950>
In 2000, a landmark report of the Panel on United Nations Peace Operations stated it is essential that the United Nations
system adhere to and promote international human rights instrumentsin all respects of its peace and security activities
(A/55/305 S/2000/809). For the full report <http://www.un.org/peace/reports/peace_operations/docs/a_55_305.pdf>
In 2004, the High Level panel on Threats, Challenges and Change not only highlighted the link between development,
security and human rights, but also indicated that the international community had a responsibility to protect populations in
the event of gross human rights violations. The Panels recommendations were taken on by the Secretary-General in his
reform package presented to the General Assembly at the UNs 60th anniversary, in his report entitled In Larger Freedom
(A/59/2005). The report is available at: <http://www2.ohchr.org/english/bodies/hrcouncil/docs/gaA.59.2005_En.pdf>

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The High Commissioner for Human Rights is the principal


UN human rights official, whose mandate comes from the
General Assembly. The Office of the High Commissioner for
Human Rights (OHCHR) is located in Geneva, Switzerland. The
OHCHR regularly monitors and issues reports on the human
rights situation in conflict areas.
As the principal United Nations office mandated to promote
and protect human rights for all, OHCHR leads global human
rights efforts and speaks out objectively in the face of human
rights violations worldwide. The OHCHR provides a forum for
identifying, highlighting and developing responses to todays
human rights challenges, and acts as the principal focal point
of human rights research, education, public information, and
advocacy activities in the United Nations system. The OHCHR
main focus areas are:

Mainstreaming human rights;


Partnerships;
Standard-setting and monitoring; and
Implementation on the ground.
The Human Rights Council, established on 15 March 2006 by
the General Assembly and reporting directly to it, replaced the
60-year-old United Nations Commission on Human Rights as
the key United Nations intergovernmental body on the topic. The
Council is primarily a political body with a comprehensive human
rights mandate and a forum empowered to prevent abuses,
inequity, and discrimination, protect the most vulnerable, and
expose perpetrators.

3.3 Applying Human Rights in


Peacekeeping
As mentioned in the introduction, a UN mandated
integrated mission brings together military,
police, and civilian personnel from many different
countries to fulfil the missions mandate. While
the diversity provided by such a multinational
environment is beneficial to the re-establishment
of peace, security, and development in a conflict
zone, the personnel contributing to the fulfilment
of the mission have different cultural, legal, and
national backgrounds. In order to avoid potential
conflicts and misunderstandings between these
different cultural and legal traditions, it is important
that the mission relies on a common framework
when conducting their work. Therefore, human
rights standards developed in the context of the

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United Nations and with their universal character


provide a common standard of achievement and
conduct for all people serving in a peace operation.
Peacekeeping must be conducted in full respect for
the principles, norms, and spirit of the international
human rights conventions and other instruments
relevant to the conduct of military, police, and
civilian personnel.6 This does not only apply to
the UN mission, but also to the host government,
which must respect the norms and principles of
human rights. As discussed in previous lessons
and mentioned in connection with the legal basis
for human rights, the UN Charter commits the UN
to promote universal respect for human rights,
without discrimination. This means that all UN
personnel are equally bound to promote, protect,
and respect human rights when serving in a peace
operation. The host Government undertakes similar
obligations: to refrain from committing human rights
violations, to protect the right of people under its
jurisdiction, and to promote their advancement.
All peacekeeping personnel should be able to
recognize a human rights violation in order to
ensure that their own conduct and that of their
colleagues adhere to human rights standards.
Furthermore, they should also be able to recognize
human rights violations committed by local actors.
This will allow the peacekeeping operation to take
appropriate action. Without such recognition and
ensuing action, the UN mission will not fulfil its
mandate to promote and protect human rights. In
short, the responsibility to protect and promote
human rights starts with each and every individual
serving in a UN peacekeeping operation.
How do human rights violations occur?
As discussed in the definition of a human rights
violation, it is the behaviour of a State official or
agent acting in their official function, or appearing
to act in their official function that may constitute
a human rights violation. When non-State actors,
such as a rebel group, violate human rights, it is
termed human rights abuse. The most apparent
6 Secretary-Generals Note of Guidance on human
rights in integrated missions, 2006, <http://www.
regjeringen.no/upload/UD/Vedlegg/missions/
sgnote.pdf>.

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type of human rights violations or abuses


are those which include a deliberate
action. Examples of such actions include:

Arrest or detention made without a


warrant or reasonable cause;

Torture committed against a detainee


while in police or military custody;

Rape of women or children;


Bribes or ransoms taken by judicial or
legislative officials; and

Firing against or attacking of peaceful


demonstrators by law enforcement.

Human rights violations that are more


difficult to observe and report are those
that occur through a lack of action. Such
absence or neglect of a required action
may result in a human right not being
fulfilled or protected. Some examples
include:

Thousands of civilians march in commemoration of the 17th anniversary of the Santa


Cruz massacre caused by the Indonesian military after opening fire on a group of
pro-independence supporters during a peaceful demonstration. (UN Photo #205351 by
Martine Perret, 12 November 2008)

A government not taking action to

provide basic rights and services such as food,


water, and adequate shelter to a population of
Internally Displaced Persons (IDPs); or

A local representative of the Ministry of

Education not taking measures to enable girls to


attend school to the same extent as boys.

Summary
Development, security, and human rights are
mutually dependent. There can be no security
without development, no development without
security, and neither security nor development
without the respect for human rights. The
understanding that human rights are at the
centre of the ability to provide the security and
development that can guarantee a smooth
transition from conflict to lasting peace should
guide all UN peacekeeping operations. Therefore,
there are mechanisms in place to ensure the
protection and promotion of human rights in every
integrated UN mission.
The SRSG has a special responsibility to uphold
human rights and make sure peacekeeping

personnel are aware of and abide by international


human rights law. To ensure this, the SRSG shall
have a human rights law adviser who coordinates
all human rights functions carried out by the
mission through the missions human rights
component. The human rights law adviser reports
to the High Commissioner for Human Rights,
thus ensuring a smooth cooperation between
the mission and the OHCHR. Regular and public
reports on the human rights situation in the country
or area in which the mission works guarantee a
wider understanding of the situation.
The UN will not endorse, support, or recognize
amnesties for war crimes, crimes against
humanity, or grave violations of human rights or
international humanitarian law, as this may inhibit
the reconciliation and establishment of security
that is necessary in a post-conflict society. Rather
than treat the most apparent consequences of a
conflict, peace processes must address the root
causes to a conflict, including the plight of the most
marginalized of groups in a society affected by
conflict.
Although certain functions have a special
responsibility to coordinate human rights work
in the mission, all UN mission personnel have a

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responsibility to promote and protect human rights.


Violations and abuse should be reported, and the
appropriate action taken to resolve the situation
within the mandate of the UN mission. Failure to
identify, report, and act on human rights violations
means the failure of the UN mission to uphold its
mandate.
An understanding with all UN peacekeeping
personnel, but especially with commanders, for
what constitutes a human rights violation or abuse
is therefore essential. Human rights violations
and abuses can be performed both through the
deliberate actions of State officials or non-State
actors, such as through an unwarranted arrest or
the rape of women and children. However, human
rights violations may also occur through the failure
to act for instance by not providing food and
water to IDPs.

Further reports on the human rights situation


The Secretary-Generals 2006 Note of Guidance on human rights
in integrated missions provides a clarification of the different
responsibilities in a UN integrated mission on the over-arching
subject of human rights. It is recommended as further reading,
to improve ones knowledge of the structure of an integrated
mission and of how UN policy relates to human rights issues. It is
available at: <http://www.regjeringen.no/upload/UD/Vedlegg/
missions/sgnote.pdf>
Reports on the human rights situation in areas where integrated
missions work can be found at: <http://www.ohchr.org/EN/Pages/
WelcomePage.aspx>

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End-of-Lesson Quiz
1. Modern multinational peace operations
include human rights as a part of their ___.
A. Police component.
B. Mandate and structure.
C. Additional protocols.

5. Human rights violations that are more


difficult to observe and report are those that
occur:
A. Through deliberate action.
B. By UN personnel.

D. Responsibility to observe.

C. Through a lack of action.

2. Even though peacekeeping personnel might


have knowledge of human rights, they need
to be aware of __________.

6. What is the difference between a human


rights violation and a human rights abuse?

A. Human rights as contained in their own


countys national legislation and practice.
B. Human rights as contained in the nation where
the mission is situated.
C. The concept and definition of human rights as
developed by the nation where the mission is
situated.
D. The concept and definition of human rights as
developed by the international community.

3. The UN position is that development,


security, and human rights are:
A. The responsibilities of each host country.
B. Mutually dependent on each other.
C. Key elements of a ceasefire.
D. Separate but equally important factors.

4. What is the responsibility of the SRSG in the


mission?

D. In remote countries.

7. All UN personnel are _____ to promote,


protect, and respect human rights when
serving in a peace operation.
A. Highly encouraged.
B. Equally bound.
C. Not required.
D. Forced.

8. All peacekeeping personnel should be able to


recognize a human rights violation in order
to:
A. Gain the trust of the host countrys population.
B. Report violations to their superiors.
C. Ensure that their own conduct and that of their
colleagues adhere to human rights standards.
D. Ignore such situations.

A. Uphold human rights law in the implementation


of the missions mandate and ensure that
personnel know and abide by international
human rights law.
B. Function as the representative of the UNs High
Commissioner for Human Rights in the country.
C. Represent the Human Rights Council at
the mission and bear full responsibility for
promoting and protecting human rights.
D. Act as a role model to ensure peacekeeping
personnel know and promote human rights.

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9. What are the functions of the SRSGs human


rights law adviser in a mission?
10. Which one of the following statements is
true?
A. Each state creates its own human rights.
B. International courts can discriminate if the
discrimination results in a promotion of human
rights.
C. Peacekeeping personnel are allowed to act
outside of their mandate if the action a taken
promotes human rights.
D. Human rights provide a common standard of
achievement and conduct.

ANSWER KEY
1B, 2D, 3B, 4A, 5C,
6. A human rights violation means that a human right has been violated by the action or an
omission of an action by a State official agent (e.g. police, soldier, judge, local administrator,
etc.) while acting in their official capacity (or have been perceived to act in the official capacity).
A human rights abuse is a broader term that includes abuses of human rights by non-State
actors such as rebel groups, corporations etc.
7B, 8C
9. The SRSGs human rights law adviser is the head of the human rights component of the
mission. This component coordinates all human rights functions carried out by a peacekeeping
mission. The SRSGs human rights law adviser also functions as the representative of the UNs
High Commissioner for Human Rights in the country and is part of the UN Country Team. In this
way, the Secretary-General ensures that all parts of the UN system have a consistent policy on
human rights and work effectively with the office of the High Commissioner for Human Rights in
Geneva.
10D.
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LESSON 4
HUMAN RIGHTS IN UN
PEACEKEEPING OPERATIONS

LESSON
4

LESSON OBJECTIVES
4.1: What Peacekeeping
Personnel Can Do
4.2: Human Rights Roles
in the Context
of Peacekeeping
Operations
4.3: Other Mission
Components
Contributing to
Human Rights
4.4: UN Police and Human
Rights
4.5: Military Peacekeepers
and Human Rights

The aim of Lesson 4 is to continue to explore the importance of human


rights to promote security and development in conflict and post-conflict
societies. This lesson will inform peacekeeping personnel about what they
can do to protect and promote human rights as well as how human rights
protection is organized in a UN mission. After completing this lesson, the
student should be able to:

Discuss the relevance of human rights to the work of peacekeeping


personnel and ways to promote and protect human rights;

Explain the importance of coordination of human rights-related actions


with the missions human rights component and other components of
the integrated mission;

Provide examples of how other components of the integrated mission


work with human rights issues; and

Provide examples of what UN peacekeeping personnel should do when


observing a human rights violation or abuse.

Introduction
In previous lessons, we have focused on the importance of understanding
fundamental human rights law as a peacekeeper and the UN policies that
guide the behaviour of peacekeeping personnel. We have also covered
how human rights violations and abuses are recognized. We will now turn
to the active protection and promotion of human rights, and focus on what
peacekeepers can do when observing a human rights violation.

The lesson will also focus on the activities of the


different components that typically exist in an
integrated UN mission to protect human rights
law. These components are there to provide an
expertise on human rights issues and should be
contacted for guidance when sensitive situations
arise. In general, protection and promotion of
human rights permeates all work carried out by the
UN mission as this helps build a stable post-conflict
society. Respecting and protecting human rights
also helps the operations credibility and legitimacy.

4.1 What Peacekeeping Personnel Can


Do
The actions of peacekeeping personnel are
governed by a number of factors, including the
missions mandate, the Rules of Engagement, and
UN policy. As a result, there are clear limitations
on what peacekeeping personnel can do. All
peacekeeping personnel should be familiar with
these limitations.
However, when observing a human rights
violation, all peacekeeping personnel should take
certain steps, starting with reporting the violation.
Reporting on violations is crucial because it is a
necessary condition for further action. However,
all actions including the collection of information
must be performed carefully. Human rights work is
very complex, and maximum care must be taken to
avoid ill-devised interventions that can harm, rather
than help, victims of violations. When observing a
human rights violation, peacekeeping personnel
should:
Note the Facts and Immediately Report
Violations
At the very least, take note of the facts and
prepare a report. The report should be based on
the procedures in place within the mission. Make
sure to familiarize oneself with these procedures.
Immediately report the information through the
chain of command or management structure. The
human rights component should receive a copy of
the report.

A contingent of Uruguayan peacekeepers with the UN Organization


Stabilization Mission in the Democratic Republic of the Congo (MONUSCO)
lands on a beach near Uvira, South Kivu province. The troops conduct
an operation Tanganyika Lake to protect commercial navigation against
piracy and armed groups, who carry out attacks and extort illegal taxes.
(UN Photo #533055 by Sylvain Liechti, 16 October 2012)

Reporting on human rights violations is a delicate


function. Sensitive information may directly or
indirectly fall in the hands of perpetrators of
violations and abuses and cause further damage
to victims, witnesses, or sources. Therefore, it
is crucial that peacekeeping personnel handle
sensitive information with due care. When
gathering information or reporting on human rights
violations, ensure that the identity of victims,
witnesses, or sources are not unduly disclosed.
The same applies to the content of statements
made by witnesses or other information supplied by
sources. If such information were to be disclosed,
it could endanger the safety of victims, witnesses,
or sources. Always consult with the human rights
component on these issues.
If working together with a local translator, be
sure of his or her integrity, profile, and basic
interviewing skills. The integrity of the translator
and all other persons coming into contact with
sensitive information is crucial to avoid such
sensitive information falling into the wrong hands.
The interviewing skills of a translator are important
to ensure that information collected from interviews
is correct and complete. This is not human rights
specific, but applies to all situations in which a
translator or other persons may come into contact
with sensitive information or the identity of persons
on whom the mission relies for information.

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Take Action Based on the Situation, in Keeping


with the Mandate and Ones Functions
Do not raise false expectations with victims and
witnesses. Be frank; explain the mandate and its
limits.
If the situation and mandate allows, decide on
appropriate intervention to stop the abuse. The
kind of intervention will depend on the role of
the component and the mandate of the mission.
Military personnel may take direct military action to
protect the lives of civilians, while UN Police may
intervene through police authorities.
Coordinate with the Human Rights Component

General definitions:
Internal reports are produced for use by
and dissemination within the human rights
component, the peacekeeping operation,
or the Office of the High Commissioner for
Human Rights (OHCHR).
Public reports are disseminated to the public
at large, including host societies, international
bodies, donors, and the media. The purpose
of these public reports is to ensure a wider
understanding for the human rights situation in
a mission area, beyond the UN organization.

In all cases, it is important to coordinate actions


with the missions human rights component. This
starts with reporting human rights violations or
abuse to the human rights component.

and abuse while simultaneously empowering the


population. This builds on the notion that human
rights, security, and development are linked and
equally important.

Always keep human rights officers and other


relevant components informed on human rights
problems that require their unique intervention or
assistance.

Based on the active monitoring of the situation


in the mission area, the reports produced by the
human rights component can be either internal
or public. The distinction between internal and
external reports is highlighted above.

Follow the Situation


Continue to follow the situation. In the case of
military peacekeepers, this can be done through
repeated patrolling and observation.

The active monitoring and investigation of human


rights violations and abuses is in part dependent
on the reports provided by personnel in all
components of the mission observing and reporting
human rights violations and abuses.

4.2 Human Rights Roles in the Context


of Peacekeeping Operations
As noted in the previous lesson, an integrated
UN mission will always have a human rights
component, under the leadership of a human
rights adviser. The human rights adviser reports
both to the SRSG and to the High Commissioner
for Human Rights. The task of the human rights
component is to lead and coordinate the missions
human rights work. Some of the core functions of
the human rights component are depicted in the
graphic to the right.
The overall goal of the activities performed by
the human rights component is the protection of
the population in a mission area from violations

162 |

Provided by the Swedish Armed Forces International Training Centre

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Other core functions of the human rights


component are advocacy and intervention on
human rights issues. Such advocacy can range
from quiet diplomacy to public condemnation. To
protect human rights, the human rights component
also works to strengthen the capacity of local
actors, such as governments, civil society, and
national human rights institutions.
As the responsible body for coordination of the
missions human rights work, the human rights
component is also the body that coordinates
human rights across the work of the peacekeeping
operation, the UN Country Team (UNCT), and the
Humanitarian Country Team. This effort is mainly
carried out by advising and assisting the different
actors on how they can best integrate human rights
into their work. The role of the human rights adviser
as a coordinator of human rights efforts between
different UN organizations is reflected in the
advisers function as the country representative of
the High Commissioner for Human Rights.1

Further reading: Rule of Law


The rule of law is a notion by which governmental decisions are
guided by known legal principles, rather than by an arbitrary
process or informal decisions. The rule of law does not in itself
guarantee that the decisions that are made are moral. However,
it does guarantee that the decisions follow a due process. The
Secretary-General defines the rule of law as follows:
For the United Nations, the rule of law refers to a principle
of governance in which all persons, institutions and entities,
public and private, including the State itself, are accountable
to laws that are publicly promulgated, equally enforced and
independently adjudicated, and which are consistent with
international human rights norms and standards. It requires,
as well, measures to ensure adherence to the principles of
supremacy of law, equality before the law, accountability to the
law, fairness in the application of the law, separation of powers,
participation in decision-making, legal certainty, avoidance of
arbitrariness and procedural and legal transparency.

Upcoming lessons (Unit III, Part 2, Lessons 1 and


2) will provide a more detailed explanation of the
function of the UN Country Team (UNCT) and the
Humanitarian Country Team.

law or judicial affairs, corrections, gender, and child


protection.

4.3 Other Mission Components


Contributing to Human Rights

When present, the Rule of Law/Judicial Affairs


component helps develop comprehensive
strategies related to the rule of law and reform of
the judicial system. The judicial affairs officers are
available to provide advice and training to people
working in the justice system and monitor justice
developments. The rule of law makes enjoyment
of human rights possible, combats impunity, and
prevents violations and discriminatory practices in
the context of the justice system.2

While the human rights component is the


component with the overarching responsibility for
human rights work in the mission, much work is
also done in other components of the mission to
protect and sustain human rights. The sustained
ability of local actors, particularly the state, to
protect and promote human rights without the
assistance of a UN mission is of great importance,
as there will come a time when peacekeeping
personnel will be gone.
Many if not all civilian offices in a mission have a
contribution to make to human rights protection.
Some of the civilian offices that work most closely
with the human rights unit in a mission are: rule of
1 Secretary Generals Bulletin Observance by
United Nations forces of international humanitarian
law (ST/SGB/1999/13 Secretariat 6 August 1999)
<http://www.un.org/peace/st_sgb_1999_13.pdf>.

Rule of Law/Judicial Affairs

Corrections
The corrections office deals with operational
aspects related to the prison system. To make
things work better, they will advise on development
of policy and procedures, and it is important that
these are in line with international human rights
standards on detention. As mentioned in previous
lessons, detention without cause constitutes a
2 UN and the Rule of Law website, available at:
<http://www.un.org/en/ruleoflaw/index.shtml>.

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human rights violation. Rehabilitation of cells


and prisons, coaching, and mentoring of national
corrections officers, including proper treatment for
detainees, are also part of their tasks. In the human
rights components task to monitor human rights,
a key function is to monitor places of detention.
Coordination between the components is therefore
essential.3
Gender Adviser
This office supports the establishment of laws,
policies, institutions, and practices that safeguard
the equal rights of women and girls and facilitates
the implementation of human rights treaties
that fight discrimination and enhance womens
participation in society.4

Further reading: Security Sector Reform


Security Sector Reform is a key task which can help prevent
countries from relapsing into conflict. SSR therefore lies at the
core of peacekeeping mandates to help national actors restore
security and put in place viable mechanisms for ensuring
stability. The concepts security sector and security sector
reform first appeared in the late 1990s, and although these
relatively new terms have become widely used, no single
globally accepted definition has yet emerged.
Acknowledging that there is no one model for security, the
United Nations Secretary-General in his 2008 report refers to
security sector reform as a process of assessment, review
and implementation as well as monitoring and evaluation of the
security sector, led by national authorities, and that has as its
goal the enhancement of effective and accountable security for
the State and its peoples, without discrimination and with full
respect of human rights and the rule of law.

3 OHCHR, Standard Minimum Rules for the


Treatment of Prisoners, available at: <http://www2.
ohchr.org/english/law/treatmentprisoners.html>.
4 Security Council resolution 1820 on Women,
Peace, and Security. <http://www.unrol.org/doc.
aspx?n=women_peace_security_resolution1820.
pdf>

164 |

Child Protection
This office identifies protection needs of children,
focusing on a variety of human rights challenges
such as children affected by armed conflict, sexual
abuse, abduction, trafficking, and child labour.
They monitor and report on activities relating to
the implementation of relevant international human
rights instruments such as the Convention on the
Rights of the Child.5
In addition to these components, there are a
number of additional civilian offices that contribute
to human rights protection in peacekeeping
operations. These include:
Security Sector Reform (SSR)
Peacekeeping components that are tasked with
supporting SSR should ensure that reforms
reflect human rights norms and principles. Human
rights training should be incorporated into the
core training of new military forces and police
services. Vetting of new forces and accountability
mechanisms within security institutions should also
be a part of SSR strategies.6
Civil Affairs
All activities which involve building public
administration, advising, and training civilian
officials must ensure that the institutions and their
officials understand how human rights principles
apply to and govern their work of running a state.
Electoral
The right to vote and to run for office are basic
political rights. Electoral units contribute to fulfilling
the human rights mandate of a mission by ensuring
that the whole population understands the process,
has the opportunity to register, and the freedom to
vote without interference, whether they are literate
or not, and without discrimination.
5 Security Council resolution 1612 on Children
and Armed Conflict, <http://www.unrol.org/doc.
aspx?n=SecurityCouncilResolution1612_en.pdf>.
6 UN Security Sector Reform website, available at:
<http://unssr.unlb.org/>.

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Humanitarian Affairs
Humanitarian affairs work, such as that
coordinated by the UN Office for the Coordination
of Humanitarian Affairs, strives to coordinate
humanitarian actors and to provide a coherent
response to emergencies. The humanitarian affairs
component promotes human rights by advocating
the rights of people in need.
Disarmament, Demobilization, and
Reintegration (DDR)
DDR processes contribute to security and stability
in post-conflict environments so that recovery
and development can begin. Among other things,
they ensure that minors and women are given
special protection during the demobilization of
military forces and armed groups. This dedicated
programme enables the support and reintegration
of former members of these forces and groups into
peaceful society.
Political Affairs
The Department of Political Affairs (DPA) monitors
the political development in the country, including
the conflict area, and provides advice to the
mission leadership. They can play a crucial role in
negotiating or renegotiating agreements between
parties in conflict and they can support the
inclusion of human rights in those discussions. The
DPA has information related to potential disputes
and conflicts in the area. By working with human
rights partners, they can prevent human rights
violations and abuse.
SRSGs Office
As discussed in the previous lesson, the Special
Representative of the Secretary General is the
official responsible for fulfilment of the UN missions
mandate. The SRSG must therefore promote
and protect human rights and give prominence
to human rights in policy making and senior
discussion. The SRSG should be a human rights
model and display the missions clear commitments
toward protection from and response to violations
of international human rights and humanitarian law.

Further reading: DDR


DDR helps create an enabling environment for political and
peace processes by dealing with security problems that arise
when ex-combatants are trying to adjust to normal life, during the
transition period from conflict to peace and development.
Disarmament is the collection, documentation, control, and
disposal of small arms, ammunition, explosives, and light and
heavy weapons from combatants and often from the civilian
population.
Demobilization is the formal and controlled discharge of
active combatants from armed forces and groups, including a
phase of reinsertion which provides short-term assistance to
ex-combatants.
Reintegration is the process by which ex-combatants acquire
civilian status and gain sustainable employment and income.
It is a political, social, and economic process with an open
time-frame, primarily taking place in communities at the local
level.
Further reading on DDR can be found at: <http://www.un.org/en/
peacekeeping/issues/ddr.shtml>

4.4 UN Police and Human Rights


In many integrated missions, there is a UN Police
function. The mandate of UN Police is different
in each mission. In some missions, it is limited to
mentoring the host countrys police services, while
in more complex missions, the mandate includes
training and advising of existing police services,
or to help establish host country police services
and enhance their work. In some cases, where
there is no or limited host country police services,
the UN police engages in actual performance of
law enforcement functions. As with all other UN
peacekeeping functions, they must in all aspects of
their work ensure compliance with and respect for
international human rights standards.

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UN Police functions typically include:


Mentoring
UN Police are often mandated to mentor the
national police on a daily basis, especially with
regard to:

Arrest and detention procedures, including

making sure those arrests are conducted legally


and that the rights of persons arrested are
respected. This includes ensuring that persons
arrested are registered and treated humanely;

Conditions of detention in police holding cells,


to ensure compliance with the UN minimum
standards of detention; and

Investigations and interrogations, making sure

that purposes are legitimate and procedures are


respected.

Further reading: UN Standard Minimum Rules for


the Treatment of Prisoners
In 1955, the UN Congress on the Prevention of Crime and
Treatment of Offenders adopted the Standard Minimum Rules
for the Treatment of Prisoners. The rules provide comprehensive
guidance on the minimum standards of detention that should be
applied by any member State. The rules are found at: <http://
www2.ohchr.org/english/law/treatmentprisoners.html>

Vetting, training, and advising


After a conflict or as a result of peace agreements
between state and rebel forces, there will often be
a security sector reform programme, which means
that UN Police may be involved in vetting, training,
and advising a new or restructured local police
service. This is a perfect opportunity to make sure
human rights principles are incorporated into the
core training of the new police service. Human
rights components often work alongside UN Police
to provide human rights training for local police
services and to advise on vetting procedures (the
process of performing background checks on
individuals before offering them employment or
other functions that require integrity).

166 |

The Human Rights Office holds a fair in Phom Penh,


Cambodia to encourage and publicise the growth of
organizations that promote human rights. (UN Photo
#76359 by Pernaca Sudhakaran, 01 December 1992)

Vetting is an important aspect of institutional reform


efforts for countries in transition, by which persons
who lack integrity are identified and excluded from
working in public institutions. Integrity relates to the
qualities which enable a person to fulfil his or her
mandate in accordance with fundamental human
rights, professional, and rule of law standards.7
Investigating
In some missions, UN Police may be called upon
to assist human rights teams within the human
rights component with investigations into serious
human rights violations. UN Police officers have
been seconded to staff such investigation teams
in order to supply additional expertise to these key
tasks of monitoring and investigating human rights
violations and abuses.
Reporting
A number of functions within the UN mission
besides the human rights component have a
responsibility to investigate human rights violations.
As these functions often lack properly trained and
equipped field personnel, they are dependent
7 OHCHR, Rule of Law Tools for Post Conflict
States Vetting: An Operational Framework,
available at: <http://www.unrol.org/files/
RuleoflawVettingen.pdf>.

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on UN Police and UN military units to collect


information. UN Police usually work alongside
national police in the host country and, as with
military peacekeepers, should act as the eyes and
ears of the human rights component. They should
carefully document all suspected human rights
violations and share this information with their
human rights component and with other colleagues
(such as the Child Protection or Gender Adviser)
for their analysis and follow up.

4.5 Military Peacekeepers and Human


Rights
In the conduct of their daily tasks, military
peacekeepers can contribute in several ways to
fulfil the missions human rights mandate. This
includes:

Women living in a remote community in the Democratic Republic of the


Congo (DRC), where Civilian Liaison Assistants (CLAs) work to create a
link between the UN Stabilization Mission in the DRC (MONUSCO) and
communities whose civilians MONUSCO seeks to protect from violence.
(UN Photo #556773 by Myriam Asmani, 12 July 2013)

Protection

Supporting Partners

Military peacekeepers provide protection,


particularly armed protection. They patrol, control
borders, and establish checkpoints and cordons
close to refugee or IDP (Internally Displaced
Persons) camps or in areas characterized
by conflict. The armed presence of military
peacekeepers can act as an important deterrent
to human rights violations. As development is
dependent on security, the protection offered
by military peacekeepers can often mean that
vulnerable groups and individuals can raise their
living standards in a conflict or post-conflict area.

As supporting partners, military peacekeepers offer


escorts and exchange information with partners
such as human rights officers. They discuss
challenges related to a specific area and plan
joint visits. This may increase the effectiveness of
the human rights work in the mission. This will be
further discussed in Part 2.

Contributions to Human Rights Monitoring and


Reporting
Because they are often larger than other
components and have a wider operational
presence, military peacekeepers can observe
and monitor the actions of both armed groups and
the civilian population. They can gather important
information about the human rights situation and
any potential incidents that could lead to violations.
By reporting this information to the missions
human rights component, appropriate analysis and
response can be undertaken.

Military peacekeepers are in routine contact with


different regular and irregular armed groups.
They can discuss human rights issues with
their counterparts, including local senior military
personnel and leaders of armed groups. In some
cases, they may have a direct role in training and
reforming local armed forces. They can provide
the local armed forces with an example of a
law-abiding military that respects the human rights
of the population they protect. This goes back to
the fundamental notion that all UN peacekeeping
personnel act as role models for others.
By protecting human rights, preventing violations,
and setting a standard for military conduct, military
peacekeepers can maintain the credibility of the
peacekeeping operation in the eyes of the host
population and the international community.

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Summary
In this lesson we have learned that, besides
being a fundamental responsibility of all UN
peacekeeping personnel, respecting and protecting
human rights can help build and maintain the
operations credibility and legitimacy.
Integration of human rights in all aspects of
peacekeeping operations so that all UN entities
fulfil their human rights responsibilities is the
key aspect of UN human rights policy reform.
Coherence of leadership and integrated human
rights work that is coordinated by experts is crucial.
The detailed description provided in this lesson of
how different components and offices of the UN
mission work to promote and protect human rights
offers an understanding of how this coordination
takes place.
Reporting on violations is crucial but it is also a
delicate function. If ill-devised, an activity to gather
information, report, or to otherwise intervene in a
human rights violation or abuse may cause more
harm to the vulnerable population. Therefore,
peacekeeping personnel should get in contact with
human rights experts to receive guidance.
Accountability is crucial to protect human rights.
UN peacekeeping operations must prevent and
respond effectively to human rights violations and
abuses. Victims of human rights violations or abuse
have a right to seek redress.

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End-of-Lesson Quiz
1. List the basic steps peacekeeping personnel
can take if human rights violations or abuses
are observed.

6. _____ enables the support and reintegration


of former members of armed forces and
groups into peaceful society.
A. DDR

2. Reporting on violations is crucial because:

B. SSR

A. The host country requires this information.

C. The corrections office.

B. It is a necessary condition for further action.

D. SRSG

C. It is the most action a peacekeeper can take.


D. The UN collects these statistics.

7. The mandate of UN Police is:


A. Always to inform law enforcement functions.

3. The human rights component has a number


of core functions, but what is the overall goal
of these functions?
A. Protection and empowerment of the population.
B. Protection and judicial control of the population.
C. Monitoring and empowermentof the population.
D. Monitoring and judicial control of the
population.

4. The _____ is the body that coordinates


human rights across the work of the
peacekeeping operation, the UNCT, and the
Humanitarian Country Team.
A. Head of Military Component
B. UN Police
C. Corrections office
D. Human rights component

B. Created by security sector reform.


C. Different in each mission.
D. Identical in each mission.

8. The armed presence of military


peacekeepers __________.
A. Can act as important deterrent to human rights
violations.
B. Acts as a significant reason for the occurrence
of human rights violations.
C. Can come across as provocative and often
cause human rights violations.
D. Increases an interest in human rights within the
host population.

9. Military peacekeepers are:


A. Never allowed to discuss human rights issues
with their counterparts.

5. The Gender Adviser supports the


establishment of laws, policies, institutions,
and practices that:

B. In routine contact with different regular and


irregular armed groups.

A. Safeguard all basic human rights.

D. Often mandated to mentor the national police.

B. Protect children.
C. Safeguard the equal rights of women and girls.
D. Safeguard human rights related to sexual
identity.

C. Not permitted to control borders.

10 Victims of human rights violations or abuse


have a right to:
A. Expel UN forces from their community.
B. Sue for damages.
C. Retaliate accordingly.
D. Seek redress.

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ANSWER KEY
1. If violations or abuses are identified, peacekeeping personnel should:

Note the facts;


Report the violation;
Take action that is in keeping with the mandate, function, and the situation;
Coordinate with the human rights component; and
Follow the situation.
2B, 3A, 4D, 5C, 6A, 7C, 8A, 9B, 10D

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UNIT III

EFFECTIVE MANDATE IMPLEMENTATION


Provided By Swedish Armed Forces International Training Centre (SWEDINT):

PART 1C: WOMEN, PEACE, AND SECURITY:


THE ROLE OF UN PEACEKEEPING OPERATIONS
LESSON 5: THE ROLES OF MEN AND WOMEN
5.1: Exploring the Roles of Men and Women
5.2: The Impact of Conflict on Men and Women
Lesson 5 Quiz
LESSON 6: WHAT PEACEKEEPING PERSONNEL CAN DO
6.1: Changes in Responsibilities
6.2: Reintegration of Combatants
6.3: Displacement
6.4: Violence Against Civilians and Sexual Violence
6.5: Collapse of Law and Order
6.6: Collapse of Public Services and Infrastructure
Lesson 6 Quiz

LESSON 5
THE ROLES OF MEN AND WOMEN

LESSON
5

LESSON OBJECTIVES
5.1: Exploring the Roles of
Men and Women
5.2: The Impact of Conflict
on Men and Women

The aim of this lesson is to inform peacekeeping personnel about how the
roles of women and men affect peacekeeping operations. The lesson will
explore how gender affects the impact of conflict and how peacekeeping
personnel can relate to gender issues. By the end of Lesson 5, the student
should be able to meet the following objectives:

Explain the impacts of conflict on women/girls and men/boys; and


Explain how women are both victims of conflict and key partners

for peacekeeping and peacebuilding activities of UN peacekeeping


operations.

Introduction
UN policies determined by the Security Council and the Department of
Peacekeeping Operations/Department of Field Support (DPKO/DFS)
require that all peacekeeping personnel promote gender equality in their
work. The Security Council has also instructed peacekeeping personnel to
do a better job at involving women in peace and security activities, and to
protect women and children from sexual violence in conflict.
The focus of this lesson is to provide background on how the different
roles of men and women impact conflict. The purpose of the lesson is
to provide a framework of understanding for gender issues in a conflict
or post-conflict area. This will pave the way for understanding how UN
peacekeeping personnel can actively contribute to the promotion of
gender equality and thereby uphold the DPKO/DFS Policy on Gender
Equality in United Nations Peacekeeping Operations (2006).

5.1 Exploring the Roles of Men and


Women
It is important to understand the distinction
between the term gender and the term sex.
Many languages lack a literal translation for the
word gender, so it is often impossible to translate
the term. When the term sex is used, it refers
to the biological differences between men and
women. Meanwhile, gender is a social construct
that refers to what men and women learn from
society, from a young age to adulthood, about
how each should behave. The word gender is
therefore used to describe learned behaviour,
rather than biological differences.
Difference between Men and Women:
Biological or Imposed by Society?
In many ways, the differences between men and
women are based on roles and stereotypes that
are imposed by society and culture. Stereotypes
and roles are often very different in different
cultures, and what is considered to be typical for
women/girls (a stereotype) in one culture, might
be considered something that both men/boys and
women/girls do in another culture. All of these
differences refer to gender rather than sex. The
difference between sex and gender characteristics
can be seen in the following statements:

Women menstruate and bear children while men


do not (sex characteristic); and

In Saudi Arabia, men are allowed to drive cars


while women are not (gender characteristic).

Areas where these gender-based differences


are relatively clear are differences in expected
behaviour, jobs, and social and cultural
restrictions upon women/girls and men/boys.
These stereotyped roles can be identified by
asking questions like women/girls should never/
always and men/boys should never/always.
By comparing the answers to such questions in
different cultural settings, the influence of culture
and society on gender roles can be seen.
Every society creates certain expectations about
what women and men can and should do, say,
or act. However, in the UN context, there are

Secretary-General Ban Ki-moon (right) meets with Tawakkul Karman,


winner of the 2011 Nobel Peace Prize. Ms. Karman, a national of Yemen,
was awarded the prize for her non-violent struggle for the safety of
women and for womens rights to full participation in peacebuilding
work. (UN Photo #491309 by Eskinder Debebe, 19 October 2011)

standards of equality between men and women,


which every UN peacekeeper must promote. In
some cases, this may mean that a conflict will
occur with the gender stereotypes and roles
created by the culture in a mission area. By
understanding that gender is closely linked to
culture, one becomes better prepared to handle
such situations and to uphold gender equality.
History shows us that what our parents learned has
changed men and women are different from their
parents and grandparents and act differently from
them. What was considered inappropriate for men
and boys to do a few decades ago, like cook and
care for children, is now considered normal and
acceptable behaviour. In many cultures, women
have jobs and responsibilities that may have been
uncommon before, such as working with heavy
equipment, leading large businesses, or fighting
in the army. These activities might have been
considered inappropriate in their mothers time.
The previous examples show that cultures change
continuously, and men and women change with it.
Often war and conflict bring about rapid social and
cultural shifts in what men and women do and how
they think, which can also cause additional stress
in a post-conflict zone. This will be explored further
in this lesson.

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It is not the purpose of UN peacekeeping


operations to change a culture. Nevertheless, a
peace operation, by its very presence, contributes
to cultural change. Culture is always in a state
of change; it is not static. Conflict accelerates
changes in the culture, and therefore the
presence of a UN peacekeeping mission can
have a significant impact on this cultural change.
Peacekeeping personnel have a duty to uphold
what is fair and just, according to United Nations
standards. This includes the promotion of gender
equality. Therefore, peacekeeping personnel must
be aware of the kind of cultural changes that bring
more equality between men and women and work
to support those changes.

Further reading: Gender and Culture


Gender refers to the socially determined ideas and practices
of what it is to be female or male. This is distinct from sex,
which refers to the biological differences by which someone is
categorized as male or female.
Culture is the distinctive patterns of ideas, beliefs, and norms
which characterize the way of life and relations of a society or
group within a society.
Further reading on the definitions of gender and culture can be
found in the UN Civil Affairs Handbook, available at: <http://
www.un.org/en/peacekeeping/documents/civilhandbook/
Civil_Affairs_Handbook.pdf>

DPKO has a strict policy that women and men


are equal and that all peacekeeping personnel
must promote equality between men and women.
This applies to all peacekeeping personnel no
matter whether they are military, police, or civilian,
substantive or support staff, or whether they work
in the field or in headquarters. In practice, this
means that peacekeeping personnel must support
specific actions to end discriminatory laws, policies,
and practices that prevent women and girls from
accessing and enjoying their full and equal rights in
post-conflict societies.1
1 DPKO Policy Directive on Gender Equality
in Peacekeeping Operations, available at
<http://www.un.org/womenwatch/feature/wps/
Policy%20directive%20gender%20equality%20

176 |

In Unit I, we found that the UN Charter states that


one of the main purposes of the United Nations is
to promote the human rights of all people. When
learning about the importance of international
humanitarian law and international human rights
law in previous lessons of Unit III, it must be
remembered that international human rights
standards do not allow discrimination against
anyone on the basis of their sex. The equality of
men and women is therefore based on international
human rights standards.
Many modern conflicts have started because
of violations of human rights. For this reason,
the Security Council usually mandates UN
peacekeeping operations to promote and protect
human rights, including the rights of women and
children who may have suffered more during the
conflict.
Some of the worst causes of female suffering in
conflicts are rape and sexual assault by the fighting
forces. In some cases men and boys may also be
sexually assaulted, but usually women and girls are
the primary target when rape is used as a weapon
of war. For this reason, the Security Council
has instructed peacekeeping operations and
governments to do a better job at protecting women
and girls from sexual violence in conflicts.
Another reason to focus on the protection of
womens human rights in conflict is that it aids the
peace process. A society that has suffered from
war and massive human rights violations can only
be healed if all people, men and women, feel that
justice is being done for the wrongs they have
suffered. Therefore, an approach to peacebuilding
activities that primarily focuses on rebuilding
society in terms of legal and physical infrastructure
(getting government, courts, roads, and other
infrastructure to work) does not fully address the
plight of all members of a post-conflict society.
Often, wrongs done to women are not considered
as serious as those done to men. Ignoring the
violations committed against women may slow
down the national reconciliation and healing
process and negatively affect the peace process.
FINAL%202006.pdf>.

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In addition to a peacekeepers obligation to


promote human rights, they also serve as a role
model for others, as an ambassador of the UN and
their home country. A peacekeepers behaviour
demonstrates whether or not the UN is serious
about the principles of equality between women
and men. This means in every office, team site,
and in relation with local people, a peacekeeper
must always treat women and men with equal
respect.
Peacekeeping personnel are powerful in relation
to the local population because they have money,
mobility, access to food, water, and other goods.
They also have the ability to use force. This results
in a power imbalance between peacekeeping
personnel and the host population. This power
must be used to protect the vulnerable, not exploit
them. This can be achieved by supporting dignity
and equality between women and men, as the UN
Charter states.
The United Nations does not tolerate exploitation
of local people. Under no circumstances should
anyone, regardless of the power of their position,
exploit women or children. Besides the moral
failure of such behaviour, exploitation can have
far-reaching impacts on the success of the
peacekeeping operation. Exploitation of women
or children by even one person of the missions
personnel can call into question the legitimacy of
the whole peacekeeping operation.
As this lesson has emphasized, the United Nations
has strict policies that women and men must
be treated equally. This is specifically outlined
in DPKOs Policy on Gender Equality in UN
Peacekeeping Operations, which must be followed
at all times. The rest of this section will explain this
policy in more detail.
There is a strict Zero Tolerance policy prohibiting
sexual exploitation and abuse by peacekeeping
personnel. It will be detailed further in Unit IV, Part
1 when discussing Conduct and Discipline.

Sadias Adam Imam collects millet in a land rented by a community


leader in Saluma Area, near the Zam Zam IDP Camp in El Fasher, North
Darfur. Today, she is escorted by Jordanian peacekeepers. Twice a week,
the African Union-United Nations Hybrid Operation in Darfur (UNAMID),
organizes patrols to escort women who are farming and collecting
firewood in rural areas surrounding the camp. (UN Photo #456886 by
Albert Gonzalez Farran, 21 November 2010)

5.2 The Impact of Conflict on Men and


Women
In order for peacekeeping personnel to protect
women properly, they must first understand
how conflict impacts women and girls. It is also
important to be aware of the many different ways
that conflict affects women, men, boys, and girls.
An understanding of this will help UN peacekeeping
personnel plan and conduct peacekeeping
activities. In the following section, we will outline a
number of guiding questions and answers that will
help illustrate the impact of conflict on women and
men.
What kinds of things will women/girls have a
harder time with in a conflict situation?
During conflict, it is often harder for women to get
food, fuel, and water in safety. Women might also
have more people to care for, as they might have to
take responsibility not only for the immediate family,
but also for extended family members.

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Further reading: Gender Advisers, UN policy,


and resolutions 1325 and 1820
As post-conflict periods will inherently reshape societies,
it is important to work with gender related questions in a
post-conflict context. In order to put the issue of gender
equality on the agenda, some missions have the opportunity to
work with gender advisers. These advisers work with mission
staff (civilian as well as uniformed) and mission counterpart
institutions in host countries and provide practical guidance on
strategies to address the specific needs of men and women.
Gender advisers are responsible for supporting the
implementation of Security Council resolution 1325 and work
with innovative strategies in addition to guiding peacekeeping
personnel. They can also provide capacity-building and training
support to counterpart institutions in government and civil
society in host countries.
The DPKO Policy Directive on Gender Equality in UN
Peacekeeping Operations (November 2006) provides guidance
on how peacekeeping operations must implement UN Security
Council resolution 1325 on Women, Peace and Security. UN
Security Council Resolution 1820 on Women, Peace and
Security reinforces resolution 1325 and explicitly identifies
sexual violence as a tactic of war. The UN policy, resolutions
1325 and 1820, as well as UN Womens supporting documents
to resolution 1325, are found by following the links below.:

DPKO Policy Directive on Gender Equality in

Peacekeeping Operations, available at <http://


www.un.org/womenwatch/feature/wps/Policy%20
directive%20gender%20equality%20FINAL%202006.
pdf>

UNIFEM supporting implementation of Security Council


resolution 1325, available at <http://www.unrol.org/doc.
aspx?d=2888>

Security Council resolution 1325 on Women, Peace,

and Security (2000), available at <http://www.un.org/


events/res_1325e.pdf>

Security Council resolution 1820 on Women, Peace,

and Security (2008), available at <http://www.unrol.org/


doc.aspx?n=women_peace_security_resolution1820.
pdf>

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What kinds of things will men/boys have a


harder time with in a conflict situation?
A conflict may force men to take up arms and
become involved in conflict. Conflicts can also
make it harder for men to support their families.
What kinds of things might happen to women/
girls and men/boys?
Women and girls are often abducted and raped
and used as sexual slaves and so-called bush
wives, while boys are often forcefully conscripted
into combat. Women and girls who are abducted
may be rejected by their families and might find it
difficult to find partners after the conflict has ended.
How might the roles of women/girls and men/
boys change?
After the conflict, men may not be able to work
and provide for their families, due to a collapsed
economy or to injuries sustained during the conflict.
Men may also become disillusioned and resort to
violence.
What kind of things are women/girls and men/
boys now able to do that they were not able to
do before?
As men take to arms, women may have to take
on a greater responsibility to provide for the
family. This may have a positive outcome after the
conflict has ended, as it stimulates further equality
between men and women. However, this may
quickly revert back to the normal state once the
conflict has ended, if a culture of gender equality
is not promoted. In addition, disillusioned men,
often suffering from the psychological traumas that
armed conflict can cause, may resort to violence
against family members.
What might happen to the situation of women
and men after the conflict?
DDR programs may target only boys and men who
are deemed to have been combatants. As a result,
these programs may ignore the needs of women
and girls. Women may have to resort to prostitution
to survive in a failed post-conflict economy.

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Peacekeeping personnel can act to reduce the


impact of conflict on women and men. What
peacekeeping personnel can do will be explored in
the next lesson.

Summary
Differences between women and men can be
biological or imposed by society. The term sex
refers to biological differences, whereas the term
gender is used to describe differences and
learned behaviour that are imposed by society.
Every society creates different perceptions of how
women/girls and men/boys are expected to behave.
However, peacekeeping personnel must promote
UN standards of equality between men and women
that are outlined in UN policy. This policy applies
to all peacekeeping personnel no matter if they are
military, police, or civilian.
To be able to promote these perceptions, it
is important for peacekeeping personnel to
understand how gender is closely related to
culture. This is especially important considering
that conflicts often bring rapid cultural change
to a society. With these changes, there may be
opportunities to work actively towards ending the
discriminatory practices that continually place
women at a disadvantage. While it is not the
responsibility of a UN peacekeeping mission to
change culture, the very presence of peacekeeping
personnel in a country will have an impact on
cultural change.
Most modern conflict starts because of violations
of human rights and many UN peacekeeping
operations are mandated to protect and promote
human rights, including the rights of women. Often
the wrongs done to women are not considered
as serious as those done to men, but ignoring
the plight of women may slow down the national
reconciliation and healing process and also
negatively affect the peace process.

In observance of International Womens Day, participants march from


the centre of Monrovia to the Temple of Justice, home of the Liberian
Supreme Court, where they held a peaceful sit-in protest against genderbased violence. (UN Photo #140514 by Eric Kanalstein, 08 March 2007)

Peacekeeping personnel have money, mobility,


access to food, water, and other goods. They
also have the ability to use force. This results in a
power imbalance between the peacekeepers and
host populations. This advantage must be used
to protect the vulnerable, by showing respect to
all and supporting dignity and equality between
women and men, as the UN Charter states.
The United Nations does not tolerate exploitation
of local people. Under no circumstances should
anyone exploit women or children because they are
in a powerful position. Besides the moral failure of
such behaviour, exploitation can have far-reaching
impacts on the success of the peacekeeping
operation.
In order to protect women properly, peacekeeping
personnel must understand how conflict impacts
women and girls. Since conflict can affect men,
women, boys, and girls differently, peacekeeping
personnel must remember to take these differences
into consideration when planning and conducting
peacekeeping activities.

Peacekeeping personnel are role models for


others and ambassadors of the UN and their home
country. A peacekeepers behaviour will reflect
on both the UN and their country. Peacekeepers
should remember that they are in a powerful
position in relation to the local population.

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End-of-Lesson Quiz
1. To what does the term gender refer?
A. Biological differences between men and
women.
B. Sexual differences between men and women.
C. Roles imposed by society and culture.
D. The function of a UN mission component.

2. Which of the following is true of gender?


A. Gender roles stay the same even if society and
culture change.
B. Every society creates certain expectations
about what men and women should do.
C. Gender inequalities promote stability within a
nation.
D. Education about gender brings about rapid
social and cultural changes.

3. How does armed conflict affect gender?


A. Armed conflict does not affect gender when the
issue is put into a long-term perspective.
B. In armed conflict, men are often forced to feel
emasculated by women.
C. Armed conflict often brings about rapid social
and cultural shifts in what men and women do
and how they think.
D. Armed conflict creates a sense of urgency to
return to traditional gender roles.

5. What can happen if wrongs done to women


are not considered as serious as wrongs done
to men?
A. Local women may be unable to reconcile with
the local men, which slows down the process
of returning men to a productive status in
society.
B. It hampers the work of civilian components of
the UN mission and other humanitarian relief
efforts.
C. It may slow down the national reconciliation
and healing process and negatively affect the
peace process.
D. It may hamper the rebuilding of national
infrastructure.

6. Why are peacekeeping personnel powerful in


relation to the local population?
A. They have the ability to use force and control
rations.
B. They have access to money, mobility, food, and
water and are able to use force.
C. They outnumber the local population in certain
areas.
D. They can employ and discharge local support
personnel.

7. Exploitation of local people can:


A. Be permitted in certain situations.

4. Why is sexual violence a concern for UN


peacekeepers?

B. Have far-reaching impacts on the success of


the peacekeeping operation.

A. Sexual violence is sometimes used as a


weapon of war.

C. Result in a stern warning from a peacekeepers


superior.

B. Sexual violence may be used against


peacekeepers.

D. Sometimes help national reconciliation.

C. Women should enjoy special protection .


D. Men are especially vulnerable in situations of
armed conflict.

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8. The United Nations has strict policies that


women and men must:
A. Be treated equally.

ANSWER KEY
1C, 2B, 3C, 4A, 5C, 6B, 7B, 8A, 9D, 10A.

B. Aspire to participate in peacekeeping activities.


C. Have different roles during a conflict.
D. Fulfil traditional gender roles.

9. During conflict, it is often harder for women


to:
A. Find shelter.
B. Fight in armed conflict.
C. Report human rights violations.
D. Get food, fuel, and water in safety.

10. As men take to arms, women may have to:


A. Take on a greater responsibility to provide for the
family.
B. Accept human rights violations.
C. Adhere to traditional gender roles.
D. Become disillusioned and resort to violence.

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LESSON 6
WHAT PEACEKEEPING
PERSONNEL CAN DO

LESSON
6

LESSON OBJECTIVES
6.1: Changes in

Responsibilities

6.2: Reintegration of
Combatants
6.3: Displacement
6.4: Violence Against
Civilians and Sexual
Violence
6.5: Collapse of Law and
Order
6.6: Collapse of Public
Services and
Infrastructure

The aim of this lesson is to expand on the theoretical framework of


women, peace, and security, and provide guidance on what peacekeepers
can actively do to promote gender equality. The lesson deals with a
number of topics that are common in a post-conflict environment, where
peacebuilding activities must include both men and women. This includes,
among other topics, reintegration of combatants, displacement, and the
many aspects in which society collapses during conflict. By the end of
Lesson 6, the student should be able to meet the following objectives:

Provide examples of the changing responsibilities between men

and women as a consequence of armed conflict, and describe how


the information and decision-making power of women can be used
to promote gender equality and to improve the effectiveness of
peacebuilding operations;

Provide examples of the importance of gender equality in disarmament,


demobilization, and reintegration (DDR) efforts;

Demonstrate how displacement and sexual violence affect women and

children and provide examples of what peacekeeping personnel can do


to promote the protection of women and children in conflict areas; and

Demonstrate how the breakdown of law and order, public services, and

infrastructure affects men and women differently, and provide examples


of what peacekeeping personnel can do to promote gender equality in
activities to rebuild society.

Introduction
The previous lesson presented gender as a
socially constructed role, comprising the behaviour,
activities, and attributes that a particular society
considers appropriate for men or women. In
previous lessons, it was also discussed that human
rights are universal and granted to all people by
virtue of being human. Therefore, situations may
arise in which the gender roles of a particular
society conflict with the universality of human
rights, such as not allowing girls to attend school.
UN policy strictly promotes the equality of men
and women. It is therefore the responsibility of
all UN peacekeeping personnel to promote such
equality and to actively work against discriminatory
practices. The peace process is enhanced when
the plight of all members of the population is
addressed, not just the male half. This may also
considerably impact the success of the operation.
As information becomes more complete, the
legitimacy of the peacekeeping mission is
strengthened and security sector reform activities
become more effective.
This lesson will present strategies to actively
promote gender equality in a number of typical
situations in which peacekeeping personnel may
become involved.

6.1 Changes in Responsibilities


When men go to war, women take on the
responsibilities of absent men. Some women may
also go to war as combatants, but in societies
where the traditional role of men is to be the head
of family, this will mean that there are changes in
the responsibilities of women who stay at home. As
heads of the family or the households, they provide
for their families and make all family decisions.
They will find ways to earn money for their families,
make decisions about when it is too dangerous to
stay home, and in case of danger, decide when and
where to flee.
As a result of armed conflict, women may have
more informal decision-making powers in a
community than traditionally expected. Women
may also have access to valuable information

Shadia Marhaban, President of the Aceh Womens League (LINA), speaks


to reporters after participating in a closed, informal (known as Arria
Formula) meeting of the Security Council commemorating International
Womens Day, on the role of women in mediation and conflict resolution.
(UN Photo #507643 by Eskinder Debebe, 08 March 2012)

Further reading: Security Council Resolution 1325


on Women, Peace, and Security
The legal framework for gender issues in peacebuilding
activities, including UN peacekeeping operations, is provided
by Security Council Resolution 1325 (2000). This was the first
resolution to address the disproportionate and unique impact
of armed conflict on women. In the resolution, the Security
Council calls on all actors to adopt a gender perspective when
negotiating and implementing peace agreements. This lesson
provides examples of how the gender perspective can be
implemented in the activities of UN peacekeeping personnel.

about how the community functions, fighting or


tension in the community, or potential threats in the
area. Female combatants may also have valuable
information about the fighting forces.
In traditional societies, the local community is
often led by men, and they become a common
point of contact for UN peacekeeping personnel.
To avoid missing the valuable information held by
women in such societies, peacekeeping personnel
involved in security or political assessments of local
communities, or in rebuilding of local administrative
or community institutions (for example UNMOs,

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security officers, UN Police, political affairs officers,


civil affairs officers, human rights officers etc.)
should:

Consult both women and men about the status

of their community, their needs, and their


perspective on threats and the conflicts impact;

Talk to women and men separately, perhaps

using female peacekeepers to interview the


local women to encourage their participation;
and

Include information received from women and


womens groups in reports to headquarters.

By consistently following the above advice,


peacekeeping personnel can advance the goal of
promoting human rights and gender equality by
basing their actions on information received from
both men and women. As discussed, this will also
improve the quality of work performed by the UN
mission as it may promote the missions legitimacy
in the country.

Example: Sierra Leone and Liberia


In a DDR programme implemented in Sierra Leone, handing
over a gun was a criterion for participating in the programme.
But many female combatants or camp followers did not have
their own gun, and were therefore ineligible for support.
After learning from the situation in Sierra Leone, the DDR
programme after the 2003 peace agreement in war-torn
Liberia established looser eligibility criteria.
The Liberian operation accepted anyone who had either
a weapon or ammunition and took in female and child
combatants who had neither. That brought in more women,
but also men who may not have been combatants but had
managed to acquire arms or ammunition. These examples
serve to highlight the complexity of establishing DDR
programmes that target the proper audience, but also the
importance of including women who have not taken part in
fighting activities in the reintegration process.
Further reading on the application of DDR programmes in
post-conflict environments can be found at: <http://www.
un.org/africarenewal/magazine/october-2005/reintegrationex-combatants>

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6.2 Reintegration of Combatants


The reintegration of combatants is a prominent
feature of peacebuilding activities, which is often
structured in a formal process of disarmament,
demobilization, and reintegration (DDR). The
objective of the DDR process is to contribute to
security and stability in post-conflict environments
so that recovery and development can begin. DDR
helps create an enabling environment for political
and peace processes by dealing with security
problems that arise when ex-combatants are trying
to adjust to normal life during the vital transition
period from conflict to peace and development.
The process may include incentive packages to
encourage ex-combatants to move from military
to civilian life and to participate in the civilian
economy.1
Post-conflict demobilization and reintegration
efforts should not focus only on male
ex-combatants. The role of women is often
neglected during and after conflict. In past
demobilization programmes, female combatants
have found their needs either partially or
completely ignored in the demobilization incentive
packages given to ex-combatants. Demobilization
packages may have included only male clothing or
implements of little use to women. Disarmament,
demobilization, and reintegration (DDR) work
should meet the needs of all and must also
consider the needs of female ex-combatants.
Disarmament activities can also gain from focusing
on women as well as men. For example, women
often know of stockpiles of weapons and are keen
to rid their communities of arms.
It is important to include wives and dependants of
combatants in DDR activities. As mentioned in the
previous lesson, a common issue in post-conflict
societies is that women and girls are frequently
abducted to serve as sex slaves for combatants.
Their partners may reject these women and girls
after the war. If they are not accepted back by their
families, these women and their children may be
1 United Nations Peacekeeping Operations,
Disarmament, Demobilization, and Reintegration,
available at <http://www.un.org/en/peacekeeping/
issues/ddr.shtml>.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

abandoned and left destitute. Women exposed to


sexual violence or other forms of abuse during the
conflict may need support or assistance finding
a job and feeding their children. However, they
might not be included in DDR programmes that
have been designed only with the situation of male
combatants in mind.

Example: Nicaragua
During the revolution in Nicaragua, about 30 per
cent of the combatants of the Sandinista National
Liberation Front were women.

When conflict changes womens responsibilities, it


may also cause women to join fighting forces. As
combatants, women may likely experience more
equal treatment with men than they do in civilian
life. As they take the risks and responsibilities of
combat together, male and female combatants may
see each other as equals.
While some women may choose to join the
fighting forces, others may have been abducted or
forcefully recruited. Men and boys are often forcibly
conscripted or abducted to serve in armed forces
or militias and face the dangers of fighting and the
risk of death or injury in combat. Women and girls
are also forced to support combatants in a range
of activities, as messengers, porters, cooks, and in
other roles.
These examples of female involvement in armed
conflict and the need to design programmes that
address both men and women lead to the following
guidance for peacekeeping personnel working on
disarmament, demobilization, and reintegration of
combatants:

Peacekeeping personnel should consult with

women separately when questioning community


members about arms caches;

Demobilization programmes need to take

account of and provide for dependants of


combatants and other camp followers; and

Peacekeeping personnel should ensure that

womens needs are considered in demobilization


incentive packages and services;

If available, information should be provided

about support programmes and psychosocial


counselling and how they can be accessed.

6.3 Displacement
Conflict, especially civil war, results in major social
and economic disorder and civilians, particularly
women and children, have often been deliberately
targeted. Many flee their home communities in
search of safety away from conflict zones.
Women and children constitute the majority of
refugees and internally displaced persons (IDPs).
They often arrive at reception centres traumatized
by attacks before and during flight. The nature of
the attacks may vary depending on whether the
victims are women and girls or men and boys. As a
result, each group has different needs for support
and rehabilitation.
Women and girls in refugee camps may be
subjected to further abuse, including sexual abuse
by other camp residents or camp officials who
might demand sex in exchange for rations or other
benefits. Men in refugee and displaced camps are
often frustrated by the loss of their traditional roles
as head of the household or protector of the family
and can become depressed or violent.
As a result of these common forms of abuse,
peacekeeping personnel such as humanitarian
liaison officers, UN Police, and civil affairs and
human rights officers who work with refugees or
internationally displaced persons should:

Be aware of the different numbers of women,


men, girls, and boys in the refugee or IDP
population;

Assess the different needs and threats that

women and children have or face as IDPs or


refugees;

Include information, numbers of women and


children, and their needs in reports; and

Ensure that, if needed, different programmes or

activities are put in place for men and women, so


that they can enjoy an equal level of safety and
security.

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6.4 Violence Against Civilians and


Sexual Violence

information on when and how rape and sexual


violence is used as a weapon of war.2

Violence against civilians, particularly sexual


violence, is a prevalent feature of current conflict.
Often without men to protect them, women and
girls face increased risk of physical assaults and
vulnerability to sexual and other exploitation.

When facing situations where sexual violence


occurs, peacekeeping personnel should:

Provide information to mission leadership about


where and when sexual violence has taken or
continues to take place and to help identify the
alleged perpetrators;

Talk to women and men separately, perhaps


using a female peacekeeper to interview the
local women; and

Find out about local organizations which provide


medical and psychological assistance to victims
in order to advise victimized persons where they
can find help.

6.5 Collapse of Law and Order

A girl at the Mother and Child Health Center in Mogadishu, Somalia, during
a visit by Zainab Bangura, the Secretary-Generals Special Representative
(SRSG) on Sexual Violence in Conflict. The SRSG also visited Internally
Displaced Persons (IDP) camps and womens shelters as part of her visit to
Somalia. (UN Photo #546718 by Tobin Jones, 02 April 2013)

Women and girls, and often men and boys, too, are
tortured and sexually abused with impunity. Sexual
violence causes the victim psychological and
physical damage and is used to humiliate, terrify,
and intimidate victims and their loved ones. It is
used as a weapon of war, often as a tactic of ethnic
cleansing. Sexual violation of women erodes the
fabric of a community in a way that few weapons
can. The damage of rape can be devastating, not
only because of the physical and psychological
suffering of the victim, but also because of the
strong communal reaction to the violation and pain
inflicted on entire families. The harm caused in
such cases on a woman by a rapist is an attack on
her family and culture as well as an affront against
an entire communitys cultural and spiritual values.
The Security Council has condemned sexual
violence and has called for stronger efforts to end
sexual violence in conflict. The Security Council
has requested that the Secretary-General include

188 |

Any society will put restraints on unacceptable


conduct through social mores promoted by
culture and tradition and informally enforced by
other members of the society. A society under
the rule of law will complement these mores with
formal regulatory systems of law and order, where
unacceptable conduct is punished by the justice
system. During armed conflict, both formal and
informal restraints may disappear. When this
happens, it often means that women and children
lose special protection.
For example, poverty, desperation, and the
weakness of the rule of law may allow violent crime
to increase dramatically in post-conflict societies.
This is often exacerbated by the increased number
of small arms and weapons that become available
as an inevitable consequence of armed conflict.
Women and children are vulnerable to violent
crime and often fall prey to organized crime, which
fills a void left by the collapse of the ordinary
economy and justice system. Organized crime
may force women and children to turn to begging
and prostitution as they face increasing difficulties
in order to earn a living. Trafficking of women and
children is also a feature of a post-war criminal
2 UN Security Council Resolution 1960 (2010)
available at: <http://www.un.org/ga/search/view_
doc.asp?symbol=S/RES/1960(2010)>.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

economy, where the justice system is weak or


collapsed.
As mentioned in the previous lesson, a common
effect of armed conflict is also that disillusioned
men may resort to violence. It is well documented
that domestic violence in the home by males
against women and children increases in
post-conflict societies.
Under no circumstances may peacekeeping
personnel take advantage of this situation.
Exploitation and abuse, especially sexual
exploitation and abuse, of women and children is
strictly prohibited for all peacekeeping personnel.
Not only is this a violation of human rights, official
UN policy, and usually the laws of the Troop
Contributing Country, but also, the misconduct of
even one person may undermine the legitimacy of
the entire mission.
Peacekeeping personnel involved in restoring rule
of law in communities or refugee and IDP camps
should:

Know the different numbers of women and men


in the community;

Talk to women and womens groups about


threats to their safety;

Make sure that programmes to restore law and

order address the concerns of women and men


equally; and

Encourage equal representation of women

and men in local security forces or community


organizations involved in community safety.

6.6 Collapse of Public Services and


Infrastructure
More visible than the collapse of a formal or
informal justice system are the effects of conflict
on the economy and the way a society has chosen
to organize itself in terms of public services
and infrastructure. Conflict destroys or disrupts
government and social services, such as education
and health; it also causes shortages in goods and
services. Prices of essential commodities may rise
and an illegal black market for such goods may
grow.

Near the Haitian National Palace, a Brazilian peacekeeper of the United


Nations Stabilization Mission in Haiti (MINUSTAH) puts out a fire in a
burning tire started during protests against escalating food prices. (UN
Photo #173403 by Logan Abassi, 08 April 2008)

Physical infrastructure, such as roads, bridges,


transport, power, and communications lines, is
often badly damaged in times of conflict. Women
also lose access to reproductive health care
and schooling for their children. Pregnant and
nursing women often face life-threatening medical
emergencies and require immediate medical
assistance right where they are. Armed conflict
puts restrictions on movement for many reasons;
the security situation may not allow travel, and
damage to infrastructure such as roads and
bridges may make patient transport impossible.
The collapse of the economy and a thriving black
market may also limit access to healthcare and
medication for women with little or no money.
Peacekeeping personnel will find that the
period immediately following war is volatile
and that violence can take many new forms.
As we have discussed, men and women face
different challenges when normal services and
infrastructure collapse and have different needs
and reactions to those challenges. Peacekeeping
personnel should be aware of such differences and
factor them into the planning and implementation of
peacekeeping activities, and include them in their
routine reporting duties.
When the ordinary economy collapses, men
and women often lose their peacetime jobs
and pensions. The land they used to farm may
have been mined or their crops may have been

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destroyed. Women who may already have


limited access to jobs and means of survival
before the conflict are especially vulnerable to
this environment. They may now be heading
households and may be the sole providers for
extended families of children and elderly relatives.

Work with partners in the mission to find creative

Peacekeeping personnel who affect economic


opportunities, such as civil affairs officers, DDR
personnel, and support personnel who can
issue contracts or recruit local personnel to local
companies, should:

Summary

Investigate challenges in accessing social


services;

Make sure that women and men have equal

access to land ownership and any other


economic opportunities in society, as well as
jobs and contracts in the mission;

Investigate why women may not have equal

access to such economic opportunities; and

Further reading: Addressing Sexual Violence


Building on the Security Councils efforts to address the issue
of women, peace, and security through resolutions (most
notably through resolution 1325), resolution 1820 explicitly
links sexual violence as a tactic of war with women, peace,
and security issues. The resolution also highlights that sexual
violence in conflict constitutes a war crime.
Resolution 1888 requests that the Secretary-General
appoint a Special Representative on sexual violence during
armed conflict. The Office of the Special Representative
of the Secretary-General on Sexual Violence in Conflict
(OSRSG-SVC) is mandated to engage in advocacy efforts with,
among others, governments and parties to armed conflict in
order to address sexual violence.
A key message in this section has been the importance of
all UN peacekeeping personnel to promote gender equality
and particularly to protect the human rights of women. This
is emphasized in resolution 1960, which calls upon Member
States to provide all military and police personnel with
adequate training on sexual and gender-based violence, inter
alia, to carry out their responsibilities and further requests the
Secretary General to continue to provide and deploy guidance
on addressing sexual violence.

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short term or long-term solutions, e.g. advertise


mission vacancies in media which women are
more likely to see. Seek out and work with
companies that have fair and equal employment
practices.

This lesson has provided insight into the many


consequences of armed conflict and how these
consequences impact men and women differently.
The purpose of the lesson has been to provide
guidance on what peacekeeping personnel can
do to actively promote gender equality in all
peacebuilding activities. There are many different
tasks and activities of a peacekeeping operation
that can have a direct, beneficial impact on
womens safety and security as well as on gender
equality.

Promote equality: All UN peacekeeping

personnel are obligated to promote gender


equality. Make sure that as a peacekeeper, any
assistance given, any service provided, and any
jobs or contracts created benefit women and
men equally;

Observe carefully: When on patrol or involved in

any other activity, observe the different activities


of men and women as well as when and where
they occur. Consider any security issues for
children going to school and different risks for
boys and girls. Where do women go to get food,
fuel, and water? How safe are these areas?;

Investigate properly: In conflict zones, the roles

and responsibilities of women and men change.


Often women increase their informal decisionmaking power. Talk to both women and men
to find out the full story. Do not assume that
men can give the whole picture, or know what
the women think. Local women may be more
comfortable talking to female peacekeepers or
talking in a group; and

Report accurately: Make sure that reports reflect


the realities for both women and men. Always
have a checklist of the issues that need to be
covered in any reports so that all of the relevant
facts about the situation for women and for men
are included.

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End-of-Lesson Quiz
1. Why is it important to involve women when
performing security or political assessments
of local communities or in rebuilding
institutions?

5. Refugee camp residents or camp officals


might sexually abuse women and girls in
exchange for:

A. Women will be discriminated against if they are


not involved in these processes.

B. Medical care.

B. It is UN policy.
C. Women may have access to information
valuable to the mission.
D. Women may have participated in combat and
should be heard.

2. How can the role of women and girls change


during conflict?
A. They need to cook for a larger amount of
people.
B. They often have to find ways to flee.
C. They often gain more informal decision-making
powers.
D. They must always carry the burden of lost
family members.

3. How can disarmament activities gain from


including women?
A. Women can be a useful source for identifying
criminals.
B. Women often know of weapons stockpiles and
are keen to rid their communities of arms.
C. Women often know how to gain information and
can thus help locate stockpiles of weapons.

A. Protection from other men in the refugee camp.


C. Valuable information.
D. Rations and other benefits.

6. What is the purpose of using sexual violence


as a weapon of war?
A. To create a distraction from combat for soldiers.
B. To establish male-dominated gender roles in a
changing culture.
C. To humiliate, terrify, and intimidate victims and
their loved ones.
D. To recruit bush wives for soldiers and officers
far from home.

7. When facing situations where sexual violence


occurs, peacekeeping personnel should:
A. Talk to women and men separately.
B. Keep the information to themselves.
C. Not attempt to help identify the alleged
perpetrators.
D. Speak with men and women at the same time.

8. What should peacekeeping personnel do


when restoring rule of law in communities?

D. Women often know in which parts of the


community disarmament will be successful.

4. When conflict changes womens


responsibilities, it may also cause women to:
A. Join fighting forces.
B. Revert to traditional gender roles.
C. Voluntarily join the IDP population.
D. Be more comfortable speaking with male,
rather than female, peacekeepers.

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9. Peacekeeping personnel who affect economic


opportunities should:
A. Rebuild the infrastructure.
B. Award contracts to more women than men.
C. Work with other UN personnel only.
D. Investigate challenges in accessing social
services.

10. As a peacekeeper, any assistance given, any


service provided, and any jobs or contracts
created should benefit:
A. Nationals of the host country.
B. Women and men equally.
C. Women above all others.
D. UN personnel above all others.

ANSWER KEY
1C, 2C, 3B, 4A, 5D, 6C, 7A,
8. When restoring rule of law in communities affected by armed conflict, peacekeeping
personnel should:

Know the different numbers of women and men in the community;


Talk to women and womens groups about threats to their safety;
Make sure that programmes to restore law and order address the concerns of women
and men equally; and

Encourage equal representation of women and men in local security forces or community
organizations involved in community safety.

9D, 10B.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

UNIT III

EFFECTIVE MANDATE IMPLEMENTATION


Provided By Swedish Armed Forces International Training Centre (SWEDINT):

PART 1D: PROTECTION OF CHILDREN:


THE ROLE OF UN PEACEKEEPING OPERATIONS
LESSON 7: PROTECTION OF CHILDREN
7.1: All Children Have Human Rights
7.2: The Protection of Children Under International Human Rights Law
7.3: The Impact of Conflict on Children
7.4: Child Soldiers in Armed Conflict
7.5: What Peacekeeping Personnel Can Do
Lesson 7 Quiz

LESSON 7
PROTECTION OF CHILDREN

LESSON
7

LESSON OBJECTIVES
7.1: All Children Have
Human Rights
7.2: The Protection of
Children Under
International Human
Rights Law
7.3: The Impact of Conflict
on Children
7.4: Child Soldiers in
Armed Conflict
7.5: What Peacekeeping
Personnel Can Do

The aim of this lesson is to inform peacekeeping personnel about how


children are affected by armed conflict and how international law and the
peacekeeping personnel protecting them should act in order to promote
child protection during armed conflict. By the end of Lesson 7, the student
should be able to meet the following objectives:

Provide the definition of a child in international law;


Explain how international law protects children affected by armed
conflict;

Describe the impact of violent conflict on children; and


Explain what peacekeepers can do to promote child protection and
childrens rights in armed conflict.

Introduction
Children are dependent on others for their survival and development.
Therefore, they deserve and require protection in all societies. In times
of armed conflict, children are especially vulnerable due to new tactics
of warfare, the absence of clear battlefields, the increasing number and
diversification of parties to a conflict, and the deliberate targeting of
traditional safe havens such as schools and hospitals. In some cases,
schools have been used as a prime recruiting ground for children.
New technologies of war also put children at risk of being injured or
killed by aerial attacks or drone operations. States are also increasingly
arresting and detaining children associated with armed groups, as they

are often perceived as a threat to national security


or are alleged to have participated in hostilities.
In recognition of the vulnerability of children at
all times, there are specific provisions under
international humanitarian law that outline the
human rights of children.
The protection of children falls under the normal
responsibility of UN peacekeepers in their mission
to uphold universal human rights. However,
since children are particularly vulnerable to the
consequences of armed conflict, it is particularly
important for UN peacekeeping personnel to be
informed about the situation of children in a mission
area, their exposure to violence, and the potential
violation of their human rights.
Even though some missions have a child protection
officer, it is the duty of all peacekeeping personnel
to be informed about how children are affected by
conflict and how peacekeepers can and should act
when confronted with violations or abuses of the
human rights of children.
In this lesson, we will cover the many perils children
face in a conflict or post-conflict society, including
a discussion of the concept of child soldiers. As in
previous sections, the theoretical framework will be
followed by a discussion to provide active guidance
on what UN personnel can and should do where
children are at risk.

7.1 All Children Have Human Rights


As discussed in previous lessons, human rights
are universal. The human rights afforded by
international human rights law therefore also
apply to children. In recognition of the particular
vulnerability of children, they find special protection
under international law. The Convention on the
Rights of the Child is a part of international human
rights law that specifically protects children by
outlining their specific human rights, including the
right to go to school, the right to healthcare, and
the right to express their views freely.1
1 OHCHR, New Core International Human Rights
Treaties, <http://www.ohchr.org/Documents/
Publications/newCoreTreatiesen.pdf>.

A little girl working with her parents at home takes


freshly picked corn outside to dry, in Aileu, Timor-Leste.
(UN Photo #348609 by Martine Perret, 27 February 2009)

The convention also states that all children have


the right to protection from violence, abuse,
exploitation, neglect, or cruelty. Acts that cause
violence, abuse, exploitation, or cruel treatment of
children are prohibited, as is inaction or looking the
other way when these things happen.
This signifies that adults and the state have an
obligation to protect children from economic
exploitation and harmful work, abuse in the criminal
justice system, any forms of sexual exploitation and
abuse, and physical or mental violence, including
the special protection in times of war.
Protection and promotion of the human rights of
children should be a focus to UN peacekeeping
personnel. Although different legal systems
view the age of legal responsibility or the age at
which a child can be recruited into armed service
differently, all peacekeeping personnel should
consider any person under the age of 18 a child.

Further reading: The Additional Protocols


Protocols I and II are international treaties that supplement the
Geneva Conventions of 1949. They significantly improve the
legal protection covering civilians and the wounded, and - for
the first time - lay down detailed humanitarian rules that apply
in civil wars. Additional Protocol I is applicable in international
armed conflicts, whereas Additional Protocol II relates to
non-international conflicts, including civil war.

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7.2 The Protection of Children Under


International Human Rights Law
Children are vulnerable at all times, particularly
in situations of armed conflict. War violates every
right of a child the right to health, the right to
personal development, and the right to be nurtured
and protected.
Recognizing that the special protection afforded
to children under international human rights law
may not be enough in times of armed conflict,
children are also specifically protected under
international humanitarian law either as civilians
or as combatants. This means they benefit from
all provisions relating to the treatment of protected
persons and should not be the objects of attack.
Provisions for protected persons include the
basic principle of humane treatment, including
respect for life and physical and moral integrity.
The principle forbids various forms of punishment
or forcible treatment, among others, coercion,
corporal punishments, torture, collective penalties,
and reprisals. While these provisions apply to all
non-combatants in times of armed conflict, the
Additional Protocol 1 to the Geneva Convention
provides the legal basis for the special protection
for children:
Children shall be the object of special respect
and shall be protected against any form of
indecent assault. The parties to conflict shall
provide them with the care and aid they require,
whether because of their age or for any other
reason. 2
As with other provisions under international
humanitarian law, the law of armed conflict,
these provisions apply to both international and
non-international conflicts.
The Additional Protocols to the Geneva Convention
also provide more detailed provisions on how
children should be protected during conflict. For
example, children affected by conflict should be
provided with the care and aid they require, in
particular, education. Children should be protected
2 Geneva Convention Additional Protocol 1, <http://
www.icrc.org/eng/war-and-law/treaties-customarylaw/geneva-conventions/index.jsp>.

198 |

from participation in hostilities; if they do participate


in hostilities and are captured, they still have a right
to special protection in detention.
In order to protect children from the atrocities
of war, international humanitarian law strictly
prohibits the recruitment of children under the age
of 15 years into any armed forces, as well as their
participation in hostilities (armed confrontations
between warring parties). Recruiting children under
the age of 15 or allowing their participation in
hostilities is considered a war crime in the statute
of the International Criminal Court.

7.3 The Impact of Conflict on Children


As discussed in previous lessons, conflict impacts
different groups in different ways. In order to
recognize the impact of conflict on children, and to
be able to protect children in need, the following
present examples of how conflict affects children:
Basic needs are denied
A conflict often disrupts supplies that fulfil childrens
basic needs of food, water, health care, shelter,
and the like. Armed conflict usually causes such
basic social services as education and clinics to
cease functioning. It is estimated that in conflicts
around the globe today, 80 million children are
denied humanitarian assistance. Access can
be denied or hampered by parties to conflict for
security or political reasons. Denial of humanitarian
access to civilians including children and attacks
against humanitarian workers assisting children are
prohibited under the Geneva Conventions and their
Additional Protocols.
The long-term social and economic impact of
conflict affects childrens access to education,
health services, employment, and wealth.
Landmines and violence
During wartime, children become victims of mines
when exposed to mined areas during domestic
chores and outdoor play. Children often witness
traumatic acts of violence such as the killing of their
parents and rape of women or older girls. Often,
they become victims of violence themselves.

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A marked change in the nature of conflict is the


deliberate attacking of educational infrastructure,
as well as the targeting of school children and
teachers, including reported acid and gas attacks
on female students on their way to school as well
as shootings and suicide bombings on school
premises. In some contexts, schools are also a
prime recruiting ground for children. Elsewhere,
school buildings are used as military bases that
become strategic targets, thereby putting children
at risk of collateral damage.
Refugees and displacement
Many children become refugees or internally
displaced persons when they flee from fighting
and violence. Around the globe, an estimated 11.2
million to 13.7 million children have been internally
displaced as a result of armed conflict. Forced
displacement uproots children and youth at a time
when their lives need stability the most. Some
children are separated from their parents.
During flight from conflict zones, families and
children are often exposed to multiple physical
dangers. They are threatened by attacks, shelling,
and landmines, and must often walk for days with
only limited quantities of water and food. Under
such circumstances, children often become acutely
undernourished and prone to illness and death.
Girls are especially vulnerable to sexual abuse
during displacement.
Sexual abuse
As discussed in the previous lesson, armed
conflict will result in the breakdown of formal
justice systems, including protection measures
offered through police and social services. Armed
conflict may also cause the informal constraints on
unacceptable behaviour to dissolve. As a result, the
sexual abuse of children increases dramatically. In
some instances, sexual violence has been used as
a tactic of war designed to humiliate a population or
to force displacement.
At greatest risk are those close to the fighting,
for example, child soldiers, camp followers, and
girls who are forced to clean and cook for soldiers
and become bush wives. Girls are particularly

Further reading: Raising the age bar


Both the Geneva Conventions and the Convention on the
Rights of the Child state that children under the age of 15 years
shall not be recruited into armed forces or used in hostilities. In
recent years, there has been an attempt to raise the age ban on
recruitment and participation in hostilities of children from 15 to
18 years. The legal framework for this is the Optional Protocol of
the Convention on the Rights of the Child on the involvement of
children in armed conflict.
The Protocol requires States who ratify it to take all feasible
measures to ensure that members of their armed forces under
the age of 18 do not take a direct part in hostilities. States must
also raise the minimum age for voluntary recruitment into the
armed forces from 15 years but does not require a minimum age
of 18. The Protocol does, however, remind States that children
under the age of 18 are entitled to special protection and so any
voluntary recruitment under the age of 18 must include sufficient
safeguards. It further bans compulsory recruitment below the
age of 18. States parties must also take legal measures to
prohibit independent armed groups from recruiting and using
children under the age of 18 in conflicts.

vulnerable to sexual exploitation, discrimination,


and family and community violence that are
worsened in areas of armed conflict.
Rape and other forms of sexual violence against
children are human rights violations, and may
amount to grave breaches of international
humanitarian law. If committed as part of a
widespread or systematic attack against a civilian
population, sexual violence can constitute war
crimes and crimes against humanity under the
Rome Statute of the International Criminal Court.
Girls are particularly vulnerable in times of war to
rape and other forms of sexual violence. Such acts
of sexual violence have detrimental effects on both
their physical and mental health. When associated
with armed groups, girls might be forced into
marriage and early pregnancy. Girls are also
most often bypassed in reintegration programs,
even though they are in greatest need of care
and services. The reason is that many girls are
unwilling to come forward to be identified as bush
wives or to have their children labelled as rebel
babies.

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Security Council resolution 1882 (2009) designated


sexual violence committed against children as
a critical priority and called on parties to armed
conflict to prepare and implement action plans
to address the violation. Gender equality must
be a cross-cutting concern for peacekeeping
personnel who should give special attention to the
vulnerability of girls.

7.4 Child Soldiers in Armed Conflict


Hundreds of thousands of children are used as
soldiers in armed conflicts around the world. Many
children are abducted and beaten into submission,
others join military groups to escape poverty,
defend their communities, or to seek revenge. Child
soldiers are not only boys carrying weapons. Both
boys and girls may be recruited and used by armed
groups in many ways, therefore the term children
associated with armed groups identifies all
children affected in this way, rather than the narrow
term child soldiers. A widely accepted definition
of children associated with armed groups is
contained in the Paris Principles of 2007:3
A child associated with an armed force or armed
group refers to any person below age 18 who is
or has been recruited or used by an armed force
or armed group in any capacity, including but not
limited to boys and girls used as fighters, cooks,
porters, messengers, spies, or for sexual purposes,
including girls used as concubines not only
in reference to children directly participating in
hostilities.

Further reading: Children and Armed Conflict


Since the World Summit for Children in 1990, the United Nations
has increasingly sought to draw international attention to the
horrendous plight of children affected by armed conflict. Further
reading about the plight of children in armed conflict and the
UN advocacy measures to protect children in conflict areas can
be found at: <http://childrenandarmedconflict.un.org/effects-ofconflict/>

3 UNICEF. Principles and Guidelines on Children


Associated with Armed Groups or Armed Forces
(2007). <http://www.unicef.org/emerg/files/
ParisPrinciples310107English.pdf>.

200 |

Peacekeeping personnel must be able to identify


children associated with an armed force or armed
group, and the many ways in which they are made
to participate in armed groups.
Children typically represent from 10 per cent up to
50 per cent of an armed forces or groups strength.
In 2006, over 250,000 children were recruited
or used by armed groups and armed forces in
twelve countries. Boys and girls are often forced
to become soldiers or they join one of the fighting
factions as their best means of survival.
In the past decade, there has been an increase
in understanding that conflicts have devastating
consequences upon children and that the
protection of children in conflict situations is a
significant peace and security concern. In 1999, the
Security Council issued its first resolution calling
for a better protection of children affected by armed
conflict. In resolution 1261, the Security Council
dedicated special attention to the protection,
welfare, and rights of children in its actions aimed
at promoting peace and security.4
Since 2001, the Security Council has included
specific provisions on child protection in
peacekeeping mandates. At least 12 peacekeeping
mission mandates have contained such specific
provisions. This also means they have a Child
Protection Office to advise different components
of the peacekeeping operation on the best ways to
protect children in their work.
The Security Council in resolution 1261 and
following resolutions, such as Security Council
resolution 1612, has also repeatedly called for the
integration of protection of children affected by
armed conflict into all aspects of peacebuilding
activities carried out by Special Envoys, UN
peacekeeping operations and other UN entities.

7.5 What Peacekeeping Personnel Can Do


As with other measures to protect and promote
human rights, child protection is the responsibility
of all persons within the mission, not just the child
4 UN Security Council resolution 1261 on children
and armed conflict, available at: <http://www.unhcr.
org/refworld/docid/3b00f22d10.html>.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

protection section. Each person has a role to play;


as an observer in a military, police, or civilian
capacity, one should promote child protection. In
order to advance the goal of protecting children
during armed conflict and ending the impunity of
perpetrators, the Security Council has identified
six categories of violations the so-called Six
Grave Violations. They serve as the basis to gather
evidence on violations and include:

Killing or maiming of children;


Recruitment or use of children as soldiers;
Sexual violence against children;
Attacks against schools or hospitals;
Denial of humanitarian access for children; and
Abduction of children.
Peacekeeping personnel should collect and report
information on any of the violations mentioned
above. The seven key questions to ask when
collecting information about alleged or observed
violations or abuse of childrens rights are:
1. What happened?
2. Where did it happen?
3. How did it happen?
4. When (date/time) did it happen?
5. Why did it happen?
6. Who were the victims?
7. Who were the alleged perpetrators?
As discussed in previous lessons, any information
collected on human rights violations or abuses is
sensitive, as it may cause further harm to victims,
witnesses, or sources. Information received on
child protection is particularly sensitive and should
be kept CONFIDENTIAL. It is also important to
remember two rules:

Do not interview child victims. Write down the

basic information and share it with the child


protection officers trained to work with children.

Former child soldiers enlisted by Al Shabaab are handed over to the UN


Childrens Fund (UNICEF) after their capture by forces of the African
Union Mission in Somalia (AMISOM). (UN Photo #533678 by Tobin Jones,
01 November 2012)

Do not take photos of child victims of violence

or use them in reports. Child protection officers


in the mission will share the protocol for
information-sharing on the ground, whom to
contact, and how to contact them.

Security Council resolution 1612 established a


monitoring and reporting mechanism (MRM) to
provide a systematic gathering of accurate, timely,
and objective information on grave violations
committed against children in any situation
of concern around the world.5 On the basis
of information collected by UN peacekeeping
personnel and the MRM, the United Nations
Secretary-General names and shames in his
annual report parties to conflict who recruit, kill
or maim children, commit sexual violence, and
attack schools and hospitals. The Security Council
Working Group on Children and Armed Conflict
regularly reviews the reports stemming from the
MRM and makes recommendations on how to
better protect children in specific country situations.
As always in a peacekeeping mission, UN
peacekeeping personnel are role models. The
integrity of ones actions affects the legitimacy of
the whole peacekeeping operation. Peacekeeping
operations will not deploy military or police
personnel under the age of 18 years.
5 Security Council resolution 1612 on Children
and Armed Conflict, <http://www.unrol.org/doc.
aspx?n=SecurityCouncilResolution1612_en.pdf>.

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Further reading: Why are children recruited?


There are a number of reasons why children are recruited into
armed forces or armed groups. Children are often considered an
economically efficient alternative to adult combatants. They are
easily indoctrinated as they have yet to form an understanding of
the concept of death.
Children are often forcefully recruited by abduction and beaten
into submission. However, there are other factors, both pushing
and pulling children into armed conflict.
Poverty can be a key factor, where joining armed groups ensures
that the child is fed and sheltered. This may also drive parents to
push children into armed groups.
Discrimination can drive entire communities, including children,
towards mobilization. Violence committed against a community
can lead to acts of revenge. Children can be expected to play
their part in the defense of the community.
Martyrdom and heroic death can also be a motivation for
children to join armed groups.
It is important to note that there is no such thing as voluntary
enlistment when it comes to child soldiers. A childs supposed
voluntary decision to join an armed force or armed group will
always result from a desperate attempt to survive. It is always
the decision of adult commanders to recruit children, and
therefore they are the ones who should be held accountable
for this war crime. Further reading on the root causes of child
recruitment can be found at: <http://childrenandarmedconflict.
un.org/effects-of-conflict/root-causes-of-child-soldiering/>

As a role model, all peacekeeping personnel


must remember that sexual activity with children
(persons under the age of 18) is prohibited for
all UN peacekeeping personnel (military, police,
and civilian). Also, no one may exploit children for
labour either at the workplace or at home.
Prohibited employment for children includes:

Work done all day by children under age 15;


Work that prevents children from going to school;

Summary
Children are vulnerable and have a right to special
protection in peace as well as in times of armed
conflict. This is set out in international human
rights law and in international humanitarian law.
Children are affected in many ways by conflict,
frequently including the denial of basic services
such as healthcare and education. They are
regularly victims of violence or sexual abuse.
They may be recruited into armed forces or armed
groups by force or by desperation. Recruitment of
children under the age of 15 into armed conflict is
considered a war crime.
The Security Council has instructed UN
peacekeeping operations to do a better job
of protecting children from violence, abuse,
exploitation, cruelty, and neglect. Child protection
is everyones responsibility in the mission.
Peacekeeping personnel are the eyes of the
child protection officers in the field. This means
peacekeeping personnel should:

Be observant and pay extra attention to

situations where groups of children are gathered


and live in groups;

Report alleged or observed violations or

abuses against the human rights of children. In


particular, any information concerning the six
grave violations against children should be noted
and reported to the child protection officers in
the mission;

Always treat information concerning violations


against children as CONFIDENTIAL. Do not
interview child victims or take photos of child
victims. Consult with child protection officers
when collecting and reporting information
involving children;

Consider the best interests of children in


planning activities;

Stay in contact and share information with the


child protection adviser in each zone; and

Always behave appropriately.

and

Work that is dangerous and may hurt children


physically, emotionally, or mentally.

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End-of-Lesson Quiz
1. In the context of a peacekeeping operation,
who should be considered a child?
A. Anyone under the age of 12 years
B. Anyone under the age of 15 years
C. Anyone under the age of 18 years
D. Anyone under the age of 19 years

2. When do the special provisions of


protection of children under international
humanitarian law apply?
A. Only when children are exposed to violence.
B. Only during times of armed conflict.
C. In all international and non-international
conflicts.
D. Only during international conflicts.

3. What per cent of the armed forces or groups


do children typically represent?
A. Between 10 and 50 per cent.
B. Between 30 and 40 per cent.
C. Between 10 and 30 per cent.
D. Between 30 and 50 per cent.

4. Why does the sexual abuse of children


increase during conflict?
A. When children take on adult responsibilities,
they are often viewed as adults.

6. What are the key questions peacekeeping


personnel should ask when questions to ask
when collecting information about alleged
or observed violations or abuse of childrens
rights?
7. How should information about child
protection be collected?
A. By talking to people in the local community.
B. By photographing and interviewing the child
and sharing the information with the child
protection officers.
C. By writing down the basic information and
sharing the information with the child protection
officers.
D. By interviewing the child and people from the
local society and sharing the information with
the child protection officers.

8. Sexual activity with children who are age 16:


A. Should always be under consent from the child.
B. Is never considered sexual abuse.
C. Is strictly prohibited.
D. Is a minor violation of human rights.

9. Is a childs voluntary enlistment as a soldier


considered a war crime?

B. Due to breakdown of formal and informal


constraints on unacceptable behaviour.

10. Always treat information concerning


violations against children as:

C. In times of conflict, people are more prone to


violence and children are more accessible.

A. An inevitable consequence of armed conflict.

D. Due to the absence of police.

B. Public information to be shared with the local


population.
C. Unnecessary information for a peacekeeper.

5. Name at least three of the Six Grave


Violations of childrens human rights that
UN peacekeeping personnel should watch for
and report on.

D. Confidential.

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ANSWER KEY
1C, 2C, 3A, 4B,
5. Any three of the following:

Killing or maiming of children;


Recruitment or use of children as soldiers;
Sexual violence against children;
Attacks against schools or hospitals;
Denial of humanitarian access for children; and
Abduction of children.
6. The seven key questions to ask are:

1. What happened?

2. Where did it happen?

3. How did it happen?

4. When (date/time) did it happen?

5. Why did it happen?

6. Who were the victims?

7. Who were the alleged perpetrators?

7C, 8C
9. There is no such thing as voluntary enlistment when it comes to child soldiers. A childs supposed
voluntary decision to join an armed force or armed group will always be the result of a desperate
attempt to survive. It is always the decision of adult commanders to recruit children, and therefore
they are the ones to be held accountable for this war crime.
10D

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UNIT III

EFFECTIVE MANDATE IMPLEMENTATION


Provided By Swedish Armed Forces International Training Centre (SWEDINT):

PART 2: WORKING WITH MISSION PARTNERS


LESSON 8: THE INTEGRATED APPROACH IN MULTIDIMENSIONAL
PEACEKEEPING
8.1: Mission Partners
8.2: Benefits of Cooperation with the UN Country Team
8.3: The Integrated Approach and Multidimensional Peacekeeping Operations
8.4: National Partners
Lesson 8 Quiz
LESSON 9: WHAT PEACEKEEPING PERSONNEL CAN DO
9.1: International and Regional Non-UN Partners
9.2: Collaboration with the Humanitarian Community
9.3: What Peacekeeping Personnel Can Do
Lesson 9 Quiz

LESSON 8
THE INTEGRATED APPROACH
IN MULTIDIMENSIONAL
PEACEKEEPING

LESSON
8

LESSON OBJECTIVES
8.1: Mission Partners
8.2: Benefits of
Cooperation with the
UN Country Team
8.3: The Integrated
Approach and
Multidimensional
Peacekeeping
Operations
8.4: National Partners

The aim of this lesson is to inform peacekeeping personnel about how the
missions mandate can be more effectively implemented by working with
mission partners. The lesson will provide an introduction to the concept of
the integrated approach and multidimensional peacekeeping operations.
The lesson will also discuss the importance of cooperation with the UN
Country Team and national partners. By the end of Lesson 8, the student
should be able to meet the following objectives:

Explain the benefits of an integrated approach between a peacekeeping


operation and a UN Country Team; and

Explain why national actors are key partners for UN peacekeeping


operations.

Introduction
It is said that the wisdom of the whole is greater than the wisdom of the
one. This is true in any organization, including peacekeeping operations.
The success of the peacekeeping mission depends not only on its
peacekeeping personnel, but on effective working relationships with other
actors working in the country. Therefore, UN peacekeeping personnel
are expected to work in an integrated manner with partners such as
the UN Country Team (UNCT), and national, regional, and international
partners. In this lesson, we will focus on the constitution of UN Country
Teams, the benefits of an integrated approach to peacekeeping efforts,
and multidimensional peacekeeping, as well as cooperation with national
actors. The cooperation with regional and international partners will be the
topic of the next lesson.

8.1 Mission Partners


A mission partner refers to an organization or
institution that is external to the peacekeeping
operation but with whom the mission cooperates in
some fashion. These can be UN partners, such as
UN agencies, funds, and programmes, or national
partners, like government or local NGOs. UN
agencies operating in a country collectively make
up the UN Country Team.

8.2 Benefits of Cooperation with the UN


Country Team
The United Nations Country Team (UNCT) is made
up of all the United Nations agencies, funds, and
programmes that operate in a particular country. In
the mission-specific introduction training, there will
be more information about which UN agencies are
working with the local peacekeeping operation.
The work of a mission has three broad phases:
getting started in a post-conflict environment
(stabilization phase), implementing the mandate
in partnership with local and international
counterparts, and transferring responsibility to local
government authorities, or the handover phase.
The UNs engagement in countries emerging from
conflict rarely begins with the deployment of a
peacekeeping mission. In most cases, many of the
UN partner agencies listed above will be operating
on the ground long before the deployment of
a UN peacekeeping mission. Some of these
organizations, such as the World Food Programme
(WFP), are involved primarily with providing
humanitarian assistance. They tend to have larger
offices or programmes during the stabilization
phase of a peacekeeping operation, and reduce
their presence when the operation reaches the
more mature implementation and handover phases.
Many of those partners will stay long after the
mission leaves. Organizations, such as the Food
and Agriculture Organization (FAO), are involved
in long-term development assistance and may
only appear in the country as the peacekeeping
operation enters the handover phase when the
peacekeeping operation begins to withdraw.

Yet other organizations, such as the United


Nations Childrens Fund (UNICEF) and the United
Nations Development Programme (UNDP) are
involved in both conflict prevention and recovery
issues immediately after the conflict has ended as
well as in long-term development issues. These
organizations will adjust their programmes as the
security situation and local economy evolves. They
tend to be present before, during, and after the
existence of a UN peacekeeping operation and are
also key partners for the peacekeeping operations
exit strategy.

Further reading: UN agencies present in different


phases of the UN mission
The World Food Programme is the worlds largest humanitarian
agency fighting hunger worldwide. In emergencies, they get food
to where it is needed, saving the lives of victims of wars, civil
conflicts, and natural disasters. After the cause of an emergency
has passed, they use food to help communities rebuild their
shattered lives. WFP is part of the United Nations system and is
voluntarily funded.
More information on the World Food Programme can be found
at: <http://www.wfp.org/>
The Food and Agriculture Organization (FAO) works to achieve
food security for all, to make sure that people have regular
access to enough high-quality food to lead active, healthy
lives. The FAOs mandate is to raise levels of nutrition, improve
agricultural productivity, better the lives of rural populations, and
contribute to the growth of the world economy.
More information on the Food and Agriculture Organization can
be found at: <http://www.fao.org/index_en.html>

International financial institutions like the World


Bank and the International Monetary Fund (IMF)
are part of the wider UN family. They may be full
members of the UNCT, as in Liberia. Sometimes
they may operate independently of the UNCT
and the peacekeeping mission. Either way,
these financial institutions play an important role
in the development and economic recovery of
post-conflict countries. The UN SRSG, D/SRSG,
and other key UN personnel coordinate closely with
these institutions in all cases.

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Can help identify and build relationships with key

Further reading: Key Partners Present in All


Phases of a UN Mission
United Nations Childrens Fund (UNICEF) is a driving force
to build a world where the rights of every child are realized.
UNICEF was created with the purpose to work with others in
order to overcome the obstacles that poverty, violence, disease,
and discrimination place in a childs path. UNICEFs top priorities
are:

Uphold the Convention on the Rights of the Child;

national partners (national and local authorities


as well as with local civil society groups);

Can create mechanisms to ensure that

peacebuilding activities introduced during the


stabilization or humanitarian phases are carried
over into the development/handover phase when
the peacekeeping operation withdraws; and

Has financial resources and expertise in

programming, which peacekeeping operations


often do not.

Promote education of girls, as a minimum ensuring that


they complete primary education;

Work to immunize all children against common

childhood diseases, and ensure that they are well


nourished;

Prevent the spread of HIV/AIDS among youth; and


Promote equality for those who are discriminated
against, women and girls in particular.

More information on the United Nations Childrens Fund can be


found at: <http://www.unicef.org/>
The United Nations Development Programme partners with
people at all levels of society to help build nations that can
withstand crisis, and drive and sustain a growth that improves
the quality of life for everyone. Key focus areas of UNDP include:

Poverty reduction measures;


Democratic governance;
Crisis prevention; and
Sustainable development.
More information on the United Nations Development
Programme can be found at: <http://www.undp.org/content/undp/
en/home.html>

War generally arises out of a scarcity of needs and


lack of respect for human rights. These causes
can only be addressed with the help of the UNCT.
The UNCT provides a valuable resource to any
peacekeeping operation because it:

Is a source of extensive knowledge about

the host country and the conflict situation,


particularly for those agencies present prior to
the arrival of the peacekeeping operation;

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8.3 The Integrated Approach and


Multidimensional Peacekeeping
Operations
Traditionally, peacebuilding activities are viewed in
a linear progression from the attempts to prevent
conflict, through peacemaking, peace enforcement,
and finally to peacebuilding. The boundaries
between conflict prevention, peacemaking,
peacekeeping, peacebuilding, and peace
enforcement have become increasingly blurred.
Peace operations are rarely limited to one type of
activity, and they rarely occur sequentially.
While UN peacekeeping operations are in principle
deployed to support the implementation of a
ceasefire or peace agreement, they are often
required to play an active role in peacemaking
efforts and may also be involved in early
peacebuilding activities. As we have seen
throughout previous lessons, todays peacekeeping
operations facilitate the political process; protect
civilians; assist in the disarmament, demobilization
and reintegration of former combatants; support
the organization of elections; protect and promote
human rights; and assist in restoring the rule of law.
A multidimensional peacekeeping operation will
therefore be signified by involvement in a number
of activities, ranging across the continuum from
conflict prevention to peacebuilding.
In multidimensional UN peacekeeping operations,
where the mandate has strong linkages with the
objectives and programmes of UN agencies,
the United Nations has adopted an integrated
approach for all parts of the UN system that are
active in that country.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Learn more: Independent International Financial


Institutions

Officers of the Timorese National Police (PNTL) take part


in a joint training exercise with their UN counterparts
(UNPOL) on coordinating response and planning in the
event of civil disorder, or any other significant incident,
within Timor-Leste. (UN Photo #501801 by Martine
Perret, 12 January 2012)

This means the UN peacekeeping operation and


the UN Country Team are all working toward
the same strategic vision. They engage in joint
planning and, depending on the context, they are
likely to have joint projects in key areas. There
may also be regional UN offices outside the capital
where mission and UNCT personnel share the
same facilities.
While this may appear obvious, integration presents
a number of challenges. UN partner agencies
are governed by mandates, decision-making
structures, and funding arrangements that differ
from those of the peacekeeping mission. For
example:

Peacekeeping missions are ultimately

accountable to the Security Council, whereas


other UN agencies are accountable to the
host nation, donors, and other UN governance
structures outside of the Security Council;

Timeframes for operations are different.

Humanitarian actors tend to focus on the


immediate term; peacekeepers operate on a
political timetable, and development agencies
look toward longer-term sustainability in their
activities; and

The UN Country Team is also made up of

purely civilian agencies and programmes,


whereas peacekeeping operations are made

The World Bank is not a bank in the ordinary sense, but rather
a partnership to reduce poverty and support development by
providing low-interest loans, interest-free credits, and grants to
developing countries. These support a wide array of investments
in such areas as education, health, public administration,
infrastructure, financial and private sector development,
agriculture, environmental, and natural resource management.
Some World Bank projects are co-financed with governments,
other multilateral institutions, commercial banks, export credit
agencies, and private sector investors.
The World Bank also provides or facilitates financing through
trust fund partnerships with bilateral and multilateral donors.
More information on the World Bank can be found at: <http://
www.worldbank.org/>
The International Monetary Fund is an organization of 188
countries working to foster global monetary cooperation, secure
financial stability, facilitate international trade, promote high
employment and sustainable economic growth, and reduce
poverty around the world.
The focus of the IMF is to promote financial and economic
stability by providing resources to help members with difficulties
with their balance of payments or to assist with poverty
reduction. Through its economic surveillance, the IMF keeps
track of the economic health of its member countries, alerting
them to risks on the horizon and providing policy advice. It also
lends to countries in difficulty, and provides technical assistance
and training to help countries improve economic management.
More information on the International Monetary Fund can be
found at: <http://www.imf.org/external/index.html>

up of military, police, and civilian components.


As a result, there are differences in institutional
cultures and management styles.
Therefore, these agencies can have vastly different
roles and perspectives. It can seem at times
that the peacekeeping mission and UN partner
agencies are working in opposing directions, each
following its own mandate and principles to the
extent that there are competing objectives. This

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Further reading: Budgeting UN Peacekeeping


Operations
UN peacekeeping operations often have a very significant overall
budget; however, their budgets generally do not include money for
capacity-building or reconstruction projects. Peacekeeping operation
budgets may include money for Quick Impact Projects (QIPs)
designed for short-term projects, such as rebuilding schools or roads
or other activities that will generate support for the mission and build
confidence in the peace process. The money for QIPs is significantly
less than the financial resources that the UNCT has available for
longer term humanitarian assistance or development cooperation.
All Member States share the costs of United Nations peacekeeping
operations. Member States provide assessed contributions to the
United Nations to cover the costs of UN peacekeeping operations.
The General Assembly decides on the scale of assessment
applicable to peacekeeping. This scale takes into account the relative
economic wealth of Member States, with the permanent members of
the Security Council required to pay a larger share because of their
special responsibility for the maintenance of international peace and
security. This budget cycle works on a yearly basis.
The main mechanisms by which the humanitarian community
(both UN and non-UN humanitarian actors) seeks funds is the
Consolidated Appeals Process or CAP, which generally also works
on an annual cycle. It is a tool used by aid organizations to plan,
implement, and monitor their activities together and produce funding
appeals that are presented to the international community and donors.
Further information on how peacekeeping operations and
humanitarian assistance programmes are financed is available in the
following resources:

Financing of peacekeeping operations: <http://www.un.org/en/


peacekeeping/operations/financing.shtml>

The DPKO/DFS Policy Directive on Quick Impact Projects (QIPs),


available at: <http://www.un.org/en/peacekeeping/documents/
civilhandbook/Chapter12.pdf>

DPKO/DFS Guidelines on Joint Operational Initiatives: UN


Peacekeeping Operations and the World Bank (New York 2006),
available at: <http://www.ohchr.org/EN/PublicationsResources/
Pages/ReferenceMaterial.asp>

212 |

can inevitably cause disagreement, so it is


important to keep in mind that all objectives
can and should ultimately contribute to the
overall goal of improving the lives of the host
population.
Effective strategic partnership
Achieving a coherent and mutually supportive
approach does not necessarily mean that the
peacekeeping operation and the UN Country
Team must be physically working together or
be located in the same building. Instead, what
is required is an effective strategic partnership
between the peacekeeping operation and the
UN Country Team. This partnership falls under
the leadership of the SRSG.
There should be a shared vision between all
UN actors as to the strategic objectives of the
UN presence in the country. The vision should
be based on a shared understanding of the
operational environment. What this means
is that planning should always follow the
integrated approach.
The strategic objectives of the UNs presence
in a country are fulfilled by a number of
individual activities and tasks carried out by
the different UN actors present. Whether or not
these individual activities or tasks should be
carried out in an integrated manner depends
on the value that this would add to the strategic
objectives. Activities between different UN
actors should be integrated rather than carried
out independently if doing so will add more
value to the UN presence in the country. This
is decided on a case-by-case basis, depending
on the particular situation, the mandate, and
the resources and capabilities of the mission
and UN Country Team on the ground.
Consequently, some but not all
multidimensional peacekeeping operations may
be structurally integrated. The Deputy SRSG
of the mission will in such cases also carry out
the function of the Resident Coordinator (RC)
of the UN Country team. Except for the SRSG,
the resident coordinator is the highest UN
official and the chief of UN diplomatic mission

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

in a country, holding the status of ambassador.


An integrated mission will therefore consolidate
the peacekeeping operation and the UN agencies
present in the country and bring them under one
leadership. The Deputy SRSG may also be the
same person carrying out the function of the
Humanitarian Coordinator within the humanitarian
community. This means he or she carries the title
of DSRSG/RC/HC and is also part of the Mission
Leadership Team, the senior level decision-making
forum of the peacekeeping operation.1
Regardless of whether a peacekeeping operation
is formally considered an integrated mission or
not, it is important for all peacekeeping personnel
to share information with their UN Country Team
partners and to make certain that their activities are
appropriately coordinated to ensure the maximum
impact for the local population.

8.4 National Partners


Despite the challenges for different parts of the UN
to work together, many mission personnel will have
to spend even more time working with non-UN
actors. While coordination within the peacekeeping
mission and integration with other UN agencies
is necessary to the success of a mission, it is not
enough. Efforts must be aimed at ensuring the host
government (on both a national and local level) can
better meet the needs of its people.
The host government is by far the most important
non-UN actor with whom a peacekeeping mission
collaborates, as it has the most at stake. The
interaction between the UN peacekeeping mission
and the host government occurs on many levels
from high-level political discussions between the
SRSG and the President or Prime Minister, to
the frequent interaction between mission support
personnel and their national counterparts to obtain
and secure UN offices, or to facilitate logistics
support to the mission components.
In multidimensional peacekeeping operations,
substantive personnel generally work with
1 Peacekeeping Resource Hub, Policy, Lessons
Learned and Training for the Peacekeeping
Community, <http://www.peacekeepingbestpractices.unlb.org>.

Integrated Electoral Teams and DDR Processes


Support to elections is a common task where a peacekeeping
operation and the UNCT work in an integrated manner,
regardless of whether the mission is formally integrated or not.
Both in Afghanistan and East Timor, the United Nations created
integrated electoral teams in which mission personnel from
electoral affairs sections, logistics units, and others worked in
the same team as personnel from UN agencies such as UNDP.
The aim of these integrated teams was to present a united front
to the national stakeholders as well as donors and to avoid the
perception that the UN is divided and in competition with itself.
DDR is another task for which the UN commonly uses an
integrated approach. In the United Nations Mission in Sudan
(UNMIS), an integrated DDR unit was created for the first time by
combining mission personnel and UNDP and UNICEF staff, who
were physically located in the same office.
In Nepal, during the startup phase of the United Nations
Mission in Nepal (UNMIN), a special political mission that was
not formally considered to be an integrated mission, UNDP
started registering combatants for the DDR process because
mission personnel were not yet fully deployed. As mission
personnel deployed, UNDP handed over those tasks to the
UNMIN arms monitors, but UNMIN and the UN Country Team
continued to cooperate closely to ensure that the efforts of both
complemented each other and the UN spoke with one voice in
Nepal.

Definition: The Principle of Consent


UN peacekeeping operations are deployed with the consent
of the main parties to the conflict. This requires a commitment
by the parties to a political process. Their acceptance of a
peacekeeping operation provides the UN with the necessary
freedom of action, both political and physical, to carry out its
mandated tasks.
In the absence of such consent, a peacekeeping operation
risks becoming a party to the conflict by being drawn toward
enforcement action and away from its fundamental role of
keeping the peace.
Find more information on the principles of UN peacekeeping at:
<http://www.un.org/en/peacekeeping/operations/principles.shtml>

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and through national government


authorities to organize elections,
conduct demining, or develop
programmes for the disarmament,
demobilization, and reintegration of
ex-combatants. This is in keeping
with the UN peacekeeping principle of
consent.
The UN missions interaction with the
host population is not solely conducted
through the national government. Direct
and constant contact is often essential
with political parties and even faction
leaders. Regular dialogue is maintained
with religious leaders, women, students
associations, academies, professional
organizations, and the many other
parts of the national society which
are central to the rebuilding of their
country. It is through these contacts
that mission personnel can get to
understand the society in which they
are working and support them to help
ensure the sustainability of peace.
Dialogue with civil society groups and
different political parties is an important
element of maintaining impartiality and
ensuing national ownership to solidify
the peace process.

Further reading: An Integrated Mission in Liberia


The United Nations Mission in Liberia (UNMIL), which is an
integrated mission, illustrates some best practices of how
integration works in practice. UNMILs work to support local
authorities is derived from UN Security Council Resolution
1509, which mandates, among other things, the mission to
re-establish national authority throughout the country, including
a functioning administrative structure at both the national and
the local levels.
In order to maximize the impact of the peacekeeping operation
and the UNCT across the country, Country Support Teams
(CSTs) made up of all UN actors present in the country were
established in 2006 in each of the 15 Liberian counties.
The CST mechanism works jointly to build the capacity of
local government to increasingly assume responsibility at the
country level. In addition to being a mechanism for joint UN
work, the CST also has UNDP-managed project funds directly
attached to it.
The Country Support Teams are a system for coordination and
information sharing with the country authorities and between all
UN actors. The CST initiative also has a project element which
covers:

Rehabilitating/constructing country administrative buildings,


providing vehicles, offices, and communications equipment

Summary

Developing the capacity of country officials through training,

The missions mandate can be more


effectively implemented by working
with mission partners. Peacekeeping
personnel are expected to integrate
their work with partners such as the
UN Country Team (UNCT), national,
regional, and international partners.
As explained in Unit I, partnerships
with national actors should be agreed
upon with regard for impartiality, wide
representation, inclusiveness, and
gender considerations. Missions must
recognize that a wide varieties of
political views and social groups within
the host country must be considered.
All opinions and views, not just those of
the elite, need to be understood.

214 |

including training jointly organized with the Liberian Institute


of Public Administration (LIPA)

Strengthening information management capacity in the


countries (through the development of Country Information
Packs, Information Management Offices and other tools)
At the national level, the work of all Country Support Teams is
managed by a Joint Steering Committee which in co-chaired by
the DSRSG/RC/HC and the Minister for Internal Affairs.
Further reading on this example can be found in the joint
UNDP-DPKO study on local governance in Liberia entitled The
example of Country Support Teams as an integrated mission
approach at the local level in Liberia, (November 2007),
available at: <http://www.peacekeepingbestpractices.unlb.org>

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. What is a mission partner?

6. What does QIP stand for?

A. An organization that is internal to the


peacekeeping operation.

A. Quick Impact Project.

B. The peacekeeping personnel.

C. Quick Initiative Project.

C. An armed military unit.


D. An organization or institution that is external to
the peacekeeping operation but with whom the
mission cooperates.

2. Which organizations are involved in conflict


prevention and recovery issues as well as
development issues?
A. UNICEF and UNDP.
B. IMF and the World Bank.
C. UNCT and IMF.
D. The World Bank and UNDP.

3. Mission partners:
A. Control the peacekeeping missions armed
forces.
B. Are key partners for the peacekeeping
operations exit strategy.
C. Are temporary organizations.
D. Do not provide humanitarian assistance.

4. What is the difference between a


peacekeeping mission and other UN agencies
present in the host country?

B. Quick Improvement Project.


D. Quick Influence Project.

7. Which of the following is true regarding


funding of peacekeeping operations?
A. Members of the Security Council share the costs
of UN peacekeeping operations equally.
B. The host country funds each UN peacekeeping
operation.
C. All member states share the costs of UN
peacekeeping operations, scaled on the basis
of the states relative wealth, with members of
the Security Council paying a larger share.
D. All member states share the costs of UN
peacekeeping operations equally.

8. The strategic partnership between the


peacekeeping operation and the UN Country
Team falls under the leadership of the:
A. Formed Police Units.
B. Staff Officers.
C. Head of Mission.
D. SRSG.

9. An integrated mission will consolidate:


A. All armed forces in the host country.

5. Which of the following is true about the


UN peacekeeping operations and the UN
Country Team in an integrated mission?
A. They are working under the same funding
arrangements.
B. They are working toward the same strategic
vision.
C. They have competing objectives.
D. They are working under the same mandate.

B. The peacekeeping operation and the host


countrys police force.
C. The peacekeeping operation and the UN
agencies present in the country.
D. Armed forces and non-UN actors.

10. The ______________ is by far the most


important non-UN actor with whom a
peacekeeping mission collaborates, as it has
the most at stake.

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ANSWER KEY
1D, 2A, 3B,
4. UN partner agencies are governed by mandates, decision-making structures, and funding
arrangements that are different from those of the peacekeeping mission. For example,
peacekeeping missions are ultimately accountable to the Security Council, whereas
other UN agencies are accountable to the host nation, donors and other UN governance
structures outside of the Security Council. Furthermore, timeframes for operations are
different. Humanitarian actors tend to focus on the immediate term; peacekeepers operate
on a political timetable, and development agencies look toward longer-term sustainability
in their activities. The UN Country Team is also made up of purely civilian agencies
and programmes, whereas peacekeeping operations are made up of military, police
and civilian components. As a result, there are differences in institutional cultures and
management styles.
5B, 6A, 7C, 8D, 9C,
10. The host government is by far the most important non-UN actor with whom a
peacekeeping mission collaborates. It has the most at stake. The interaction between the
UN peacekeeping mission and the host government occurs on many levels from high-level
political discussions between the SRSG and the President or Prime Minister, to the
frequent interaction between mission support personnel and their national counterparts to
obtain and secure UN offices, or to facilitate logistics support to the mission components.

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LESSON 9
HUMANITARIAN COOPERATION

LESSON
9

LESSON OBJECTIVES
9.1: International and
Regional Non-UN
Partners
9.2: Collaboration with
the Humanitarian
Community
9.3: What Peacekeeping
Personnel Can Do

The aim of this lesson is to inform peacekeeping personnel about how


they are expected to work with mission partners, particularly regional
and international actors. Peacekeepers should also understand and
support the work of humanitarian actors in the area. Mission partners
can be UN agencies as well as international, national, and regional nonUN partners (e.g. NGOs or the local civil society). This lesson will focus
on international, national, and regional non-UN partners. By the end of
Lesson 9, the student should be able to meet the following objectives:

Define humanitarian assistance;


Name the primary humanitarian coordination function/structure that
exists in UN peacekeeping operations;

Define the principles of humanitarian activities; and


Explain the nature of cooperation between UN peacekeeping forces
and humanitarian actors.

Introduction
As pointed out in the previous lesson, the local government constitutes the
most important non-UN partner to a peacekeeping operation. However,
there are other partners that can make a significant difference to the
success of the peacekeeping operation. This lesson will explore how UN
peacekeeping operations work with regional and international non-UN and
non-governmental organizations.

Peacekeeping personnel also need to be aware of


the cooperation structures which uphold national
as well as international and regional partnerships.
This will guide the actions and decisions made by
peacekeeping personnel and should always aim to
promote the success of the mission, while keeping
within the mission mandate.

9.1 International and Regional Non-UN


Partners
In addition to national civil society actors,
international non-governmental organizations
(NGOs) also form a part of civil society and work
with UN peacekeeping operations. OXFAM, Save
the Children, and Concern are just three examples
among many.
At times, peacekeeping missions work directly with
many of these groups through funding agencies
as implementing partners for Quick Impact
Projects (QIPs), which can take the form of small
infrastructure rehabilitation projects or short-term
employment activities.1 Peacekeeping missions
also provide transport for NGO workers in many
countries. The UN OCHA and/or UNPD officers
should be able to provide more information about
which organizations are working in the country,
what projects they are supporting, and where
they are intervening. Many NGOs will have been
operating in the country for much longer than the
UN and know the territory well. Peacekeeping
personnel should solicit their local knowledge and
practice humility in order to avoid friction.
Member States that provide the UN mission with
its mandate, troops, police, finances, and political
support are likely to have embassies or missions
in the country. Senior UN mission and agency staff
must allocate time and attention to the diplomatic
community in order to retain their confidence
and support. Many of these countries provide
technical and financial assistance directly to the
national authorities through their embassies or
national development agencies, such as the British
Department for International Development (DFID),
Japan International Cooperation Agency (JICA),
or the United States Agency for International
1 DPKO/DFS Policy Directive on Quick Impact
Projects (QIPs), 2007.

A staff member from the UN Office for the Coordination of Humanitarian


Affairs (OCHA) discusses humanitarian needs with workers from a Libyan
non-governmental organization (NGO) in Sallum, on the Libyan-Egyptian
border, where thousands have fled since unrest erupted in Libya over two
weeks ago. (UN Photo #466527 by David Ohana, 12 March 2011)

Further reading: Quick Impact Projects


Quick Impact Projects (QIPs) are defined as small-scale, rapidly
implementable projects of benefit to the population. These
projects are used by UN peacekeeping operations to establish
and build confidence in the mission, its mandate, and the
peace process, thereby improving the environment for effective
mandate implementation.
QIPs are governed by the DPKO Policy Directive on Quick
Impact Projects (2007), available at: <http://ochanet.unocha.
org/p/Documents/Guidelines%20and%20Policy%20Directive%20
on%20Quick%20Impact%20Projects%20(QIPs)%20(2007%20
and%202009).pdf>

Development (USAID). Close coordination


is essential to prevent duplication of effort or
misunderstandings.
There may be other regional or international
political/military actors working in the host country,
including regional bodies such as the African Union
(AU), Organization of American States (OAS), the
North Atlantic Treaty Organization (NATO), the
European Union (EU), the Economic Community of
West African States (ECOWAS), and others, with
whom the peacekeeping mission will cooperate.

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Assistance: The provision of supplies or

Example: Partnership between the UN and


National and International Partners
The United Nations collaborated with the Haitian and Canadian
governments on the restoration of Haitis police infrastructure
in the Southern Province. As a result of the project, 14 police
stations were refurbished, 24 cars, and 22 motorcycles were
delivered. Work equipment was distributed among 21 police
stations, including computers, chairs, printers, radios, and
investigation kits. The project substantially increased the capacity
of the national police to carry out their police functions.
The project was financed by the Canadian Government through
the Stabilization and Reconstruction Task Force (START) and
was carried out by a partnership between the Haitian Police
Force, UNDP, the United Nations Mission for Stabilization in Haiti
(MINUSTAH) and the United Nations Office for Project Services
(UNOPS). UNDP and UNOPS were able to provide MINUSTAH,
and specifically the police component, with expertise in project
management, fundraising, and expenditure of donor funds that
it did not have. Because MINUSTAH has UN Police working
directly with the Haitian National Police in their stations, they
were able to provide technical advice on how best to spend the
donor funds in order to have the maximum impact.

9.2 Collaboration with the


Humanitarian Community
As seen in Unit II, the Security Council mandates
many UN peacekeeping operations to facilitate
the safe provision of humanitarian assistance
or to humanitarian access. It is important to
note that the Security Council generally does
not mandate UN peacekeeping operations to
deliver humanitarian assistance directly, because
impartial and neutral humanitarian actors who are
independent of the mission best do this.
In order to understand the humanitarian
element of a UN peacekeeping mandate, all
peacekeeping personnel must understand what
the United Nations considers as humanitarian
activities. Humanitarian activities are activities
that aim to save lives, protect human dignity, and
alleviate suffering of the local civilian population.
Humanitarian activities involve two kinds of work:

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services which allow the civilian population to


sustain their lives with dignity, such as access
to water, sanitation facilities, provision of food,
and provision of supplies for health services or
education; and

Protection: The purpose of protection activities

carried out in a humanitarian context is to


ensure respect for the basic rights of suffering
populations by lobbying governments and
armed groups to do more to protect civilians
or by helping local communities to organize
themselves to reduce violence against civilians.

These initiatives may seem to overlap with


development or peacebuilding activities. However,
there are some key characteristics that define
whether an activity is humanitarian or not.
Humanitarian activities are aimed at alleviating
suffering of civilian populations and are delivered
according to three basic principles:

Humanity: The sole purpose of humanitarian


activities is to prevent and alleviate human
suffering wherever it is found.

Neutrality: Humanitarian assistance is provided


without taking sides in hostilities or engaging
in controversies of a political, religious, or
ideological nature.

Impartiality: Humanitarian assistance is provided


without discrimination of ethnicity, gender,
nationality, political opinion, race or religion.
Relief is guided solely by needs and priority is
given to the most urgent cases of distress.

The humanitarian definition of impartiality and its


combination with the principle of neutrality result
in a different approach from the UN peacekeeping
principle of impartiality explained in Unit I. The UN
peacekeeping principle of impartiality means that
peacekeeping operations do not show favour or
prejudice to any one side, though they may take
action against a spoiler or an actor that is blocking
the peace process. Humanitarians focus solely on
providing assistance where it is needed and avoid
playing the role of an arbitrator or referee by
engaging in controversies.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Furthermore, while the three principles of


humanity, neutrality, and impartiality mean that
humanitarian activities are apolitical (meaning
there is no political dimension or aspect because
they are neutral, impartial, and focus on the most
pressing needs), they cannot be directly compared
to the UN peacekeeping principle of impartiality.
This is because all activities carried out by UN
peacekeeping operations are politically motivated
actions aimed at ending conflict with the authority
and legitimacy deriving from UN Security Council
and international law.
Who delivers humanitarian assistance?

UN PKO assists by
providing a secure
environment

Provided by the Swedish Armed Forces International Training Centre

Delivering humanitarian assistance is the


responsibility of the state. However, in many
conflict areas and in societies disrupted by natural
disaster, assistance is needed from international
and national humanitarian actors. This includes UN
agencies. As mentioned previously in this lesson
as well as in Unit II, the UN peacekeeping mission
is tasked with facilitating humanitarian assistance
or access in virtually all cases, rather than directly
providing assistance. This is why it is important
for peacekeeping personnel to understand who
actually delivers humanitarian assistance, because
the mission should be working directly with these
groups in order to facilitate their access. Such
facilitation is often provided by the peacekeeping
operation, particularly in terms of ensuring a safe
and secure environment (SASE).
Humanitarian activities are civilian activities and
should be supported by military units only in
extreme circumstances. This perspective stems

Further reading:
Staff officers or senior military or police personnel may
supplement this lesson with further guidance on civil-military
relations during complex emergencies, found in the Inter-Agency
Standing Committee (IASC) Guidelines and References for
Complex Emergencies, January 2009, available at: <http://www.
humanitarianinfo.org/iasc/> (click Products).

from their humanitarian principles of neutrality and


impartiality, which we covered above. It is often
impossible for UN peacekeeping operations to
combine a completely neutral and impartial stance
with a mandate to enforce or keep peace in a
conflict zone.
Some humanitarian actors are concerned that a
close association with military units will jeopardize
those principles. Some humanitarian actors feel
that those principles may even be jeopardized by
an association with the UN as a whole.
Therefore, when working with humanitarian
organizations, it is important to recognize their
independence, respect their principles, and be
sensitive to their need to remain neutral and
impartial. For this reason, when peacekeeping
operations undertake Quick Impact Projects (QIPs),
which are community support projects and other
activities meant to win the hearts and minds of
the local population, these are not considered to be
humanitarian assistance.
UN peacekeeping operations, therefore, are not
considered humanitarian actors although they
may provide a safe and secure environment that
allows humanitarian actors to carry out their
activities. This distinction will be explained clearly
in the mandate.
As mentioned above, the primary responsibility
for meeting the needs of the civilian population
lies with the host country. It has the primary
responsibility to initiate, coordinate, and deliver
humanitarian assistance within its territory. Local
community-based organizations and private
individuals may respond at the same time. The
majority of all humanitarian assistance and
certainly the fastest response is provided locally.

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Further reading:
The International Committee of the Red Cross (ICRC),
established in 1863, works worldwide to provide humanitarian
help for people affected by conflict and armed violence and to
promote the laws that protect victims of war. An independent
and neutral organization, its mandate stems essentially from the
Geneva Conventions of 1949. Based in Geneva, Switzerland,
it employs some 12,000 people in 80 countries; it is financed
mainly by voluntary donations from governments and from
national Red Cross and Red Crescent societies.
The ICRC is committed to responding rapidly and efficiently to
the humanitarian needs of people affected by armed conflict
or a natural disaster occurring in a conflict area. Hostilities
can explode without warning; natural disasters can strike
unexpectedly and their effects may be multiplied in countries
already riven by war. In the face of such unpredictable
emergencies, the ICRC attaches great importance to its ability to
deploy rapidly in the field.
More information on the ICRC can be found at: <http://www.icrc.
org/eng/index.jsp>

Employees of the Sudanese Red Crescent hand out


chlorine tablets provided by the United Nations
Childrens Fund, at a water supply point along the Nile
River. (UN Photo #134567 by Tim McKulka, 7 December
2006)

How do humanitarian agencies do their work?


There are four main ways of delivering
humanitarian services:
1. Support to the Host State

Where local capacities are overwhelmed, a variety


of international or national humanitarian actors
may become involved. Some of these belong to
the United Nations, some are independent, some
are non-governmental organizations and some
of these represent regional organizations. Each
humanitarian agency has its own mandate and is
highly autonomous.

Technical assistance to a government agency


in order to support and strengthen government
service structures, such as through the provision
of funding and secondment of an international
technical adviser to a Ministry of Health to run local
health clinics.

One important actor is the International Committee


of the Red Cross (ICRC). The mandate of the
ICRC to protect and assist victims of armed
conflict is specified in international humanitarian
law and recognized by all states. It is a neutral,
independent, and impartial humanitarian actor,
and is neither part of the UN nor an NGO. The
ICRC is part of the Red Cross and Red Crescent
Movement, together with National Red Cross and
Red Crescent Societies, and Federation of Red
Cross and Red Crescent Societies.2

This means that supplies or services are delivered


by the agency itself. This is often undertaken by
international humanitarian agencies that maintain a
strongly independent approach, such as the ICRC
or the Mdecins Sans Frontires (Doctors without
Borders).

2 Rules of International Humanitarian Law,


available through the International Committee of
the Red Cross, <http://www.icrc.org/customary-ihl/
eng/docs/v1_rul>.

222 |

2. Direct implementation

3. Contracting services
This includes services provided or distributed
by other (usually local) agencies, such as when
UNICEF offers funds to a local NGO to provide
nutrition and healthcare for a certain number of
children in a particular community.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

4. Programme aid

Further reading: Reliefweb.org

Programme aid is the provision of direct funding for


a particular humanitarian assistance programme.
The approach used will depend on the
humanitarian agency and the situation. Many UN
agencies prefer to work directly through the host
government or to use partners such as NGOs or
private contractors. They may also deliver services
directly if no partners are available, in highly remote
or insecure areas for instance.
How do peacekeeping operations coordinate
with humanitarian actors?
There is no command and control system among
humanitarian actors. Humanitarian action is usually
carried out through coordinated decisions based on
consent and consensus-building. UN peacekeeping
operations must also fit with this approach and
coordinate with humanitarian actors. The exact
coordination structure will vary from country to
country. However, there are certain basic concepts
which underpin humanitarian coordination.
First, the host government has the right and
responsibility to coordinate humanitarian
assistance because it has the primary responsibility
to provide humanitarian assistance to its people.
This can mean that the government sets up a
ministry or working group at the central government
level to coordinate humanitarian activities or it may
mean that government officials at regional levels
are given formal authority to coordinate activities
or participate in coordination meetings with
humanitarian actors.

For more information on humanitarian activities, humanitarian


actors and their approaches in specific countries (including
appeals for funding), visit <www.reliefweb.org>. This is a website
for humanitarian actors run by the Office for the Coordination of
Humanitarian Affairs (OCHA).

Secondly, a coordination mechanism, which

the UN often employs at the same time that it


appoints a Humanitarian Coordinator, is the
establishment of a field presence of the UN
Office for Coordination of Humanitarian Affairs
(OCHA). The OCHA field office supports the
work for Humanitarian Coordinator and may
also include UN Civil Military Coordination
Officers to strengthen relationships between
the humanitarian community and the military
component of a peacekeeping mission and/or
other military forces in the country. The military
component of the peacekeeping mission may
also have a civil-military coordination officer
among its staff officers at the mission HQ; and

Third, the UN often sets up clusters or

working groups of all humanitarian agencies


including UN, government, and NGO agencies
working in a particular sector. Depending on
the emergency, there will be clusters covering
sectors such as education, health, logistics,
protection, shelter, telecommunications, water,
and sanitation. Depending on the mandate of the
mission and various components, peacekeeping
personnel may participate in cluster meetings to
make sure their work is coordinated properly with
the work of the humanitarian actors in that field.

The UN complements the governments


coordination of humanitarian activities with three
mechanisms to ensure that UN humanitarian
agencies and humanitarian actors who work with
the UN are working effectively together and with
the government.

At the start of a major emergency, a UN

Humanitarian Coordinator (HC) for that country


is appointed. Usually that person is the Resident
Coordinator and Humanitarian Coordinator at the
same time;

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Example: Coordination in Liberia and East Timor


In Liberia as part of the 2004-2005 Results Focused Transitional Framework, the government decided that all international
assistance, including humanitarian assistance, would be coordinated by the Ministry of Planning and Economic Affairs. There
were ten Working Clusters set up, each of which was led by a Minister. UN humanitarian agencies as well as peacekeeping
personnel participated in meetings of the Working Clusters.
In East Timor, the government designated the Ministry of Labour and Solidarity with the primary role for coordination of
humanitarian assistance to internally displaced persons after the violence in the capital Dili in April-May 2006. Clusters were
set up for protection, shelter, healthcare, and food distribution, among others. Some clusters were chaired by government
officials and some by UN humanitarian agencies. The protection cluster was jointly chaired by the Ministry of Labour and
Solidarity and UNHCR, with human rights officers and UN Police from the mission participating in the meetings, as well as
CIMIC (Civil Military Cooperation) liaison officers from the Australian military that were operating outside of the UN mission.

9.3 What Peacekeeping Personnel Can


Do
Bearing in mind the theoretical framework of the
respective roles of UN peacekeeping operations
and humanitarian actors and the coordination
between the two parties, the following section
provides active guidance on what peacekeeping
personnel can do to support humanitarian actions
in a host society. All peacekeeping personnel,
particularly in peacekeeping missions with a
mandate to support or facilitate humanitarian
assistance, should:

Respect the humanitarian principles of humanity,


neutrality, and impartiality and the guidance of
these factors in the work of humanitarian actors;

Not refer to the missions Quick Impact Projects


as humanitarian assistance, in order to prevent
confusion about mixing humanitarian principles
with the UN peacekeeping principles of
impartiality and consent;

Remember that humanitarian assistance is

primarily a civilian activity, and that the role of


military is to provide a secure environment for
humanitarian assistance to be delivered, but not
to deliver that humanitarian assistance directly;

Obtain guidance from the missions relevant

Staff members from the African Union United Nations


Mission in Darfur (UNAMID) clean up a room in the
Womens Hospital in El Fasher, North Darfur, on Nelson
Mandela International Day. UNAMID peacekeepers are
helping their community as part of the campaign to
commit 67 minutes to community service in honour
of Nelson Mandelas 67 years of public service and
contribution to the anti-apartheid movement.(UN Photo
#556823 by Albert Gonzlez Farran, 18 July 2013)

Share appropriate information transparently and


professionally.

civil-military coordination specialists, the UN


Humanitarian Coordinators Office and/or OCHA
on the coordination mechanisms used in the
country for their mission; and

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Summary
Outside of the UN, the host
Government is the most important
partner for UN peacekeeping
operations. The host government
has the primary responsibility
for humanitarian relief actions in
the country. However, where the
government is unwilling or unavailable
to provide the delivery or coordination
of such activities, UN peacekeeping
operations should coordinate with
humanitarian actors. At the highest
level, UN peacekeeping operations
should work with the UN Humanitarian
Coordinator, who may also be the
Resident Coordinator and Deputy
SRSG.
Humanitarian assistance is provided
according to the principles of humanity,
neutrality, and impartiality, and
activities are aimed at alleviating the
suffering of civilian populations. UN
peacekeeping operations generally do
not provide humanitarian assistance
directly. However, they may play a
crucial role in creating a safe and
secure environment for civilian
actors to safely provide humanitarian
assistance.

Further reading: The Office for Coordination of


Humanitarian Affairs (OCHA)
OCHA is the part of the United Nations Secretariat responsible for bringing
together humanitarian actors to ensure a coherent response to emergencies.
OCHA also ensures there is a framework within which each actor can
contribute to the overall response effort. OCHAs mission is to:

Mobilize and coordinate effective and principled humanitarian action


in partnership with national and international actors in order to
alleviate human suffering in disasters and emergencies;

Advocate the rights of people in need;


Promote preparedness and prevention; and
Facilitate sustainable solutions.
OCHA is responsible for bringing together humanitarian actors to ensure a
coherent response to emergencies. The aim is to assist people when they most
need relief or protection.
OCHA has a unique mandate to speak out on behalf of the people worst
affected by humanitarian situations. As the organization tasked with
coordinating international humanitarian response, OCHAs ultimate goal is to
save more lives and reduce the impact of conflicts and natural disasters.
Following a humanitarian crisis, humanitarian actors in the field can
immediately provide life-saving assistance using pooled funds managed by
OCHA. These funds provide assistance for food, water and shelter immediately
following a natural disaster; life-saving nutrition and medical care for babies
born in refugee camps; and basic life necessities for those struggling to survive
in many of the worlds forgotten emergencies.

UN peacekeeping operations should


also establish constructive working
More information on OCHA can be found at: <http://www.unocha.org/>
relationships with the international civil
society, the diplomatic community, and
regional and/or financial organizations,
in order to increase the effectiveness of
peacebuilding activities in the mission area and to
avoid duplication.

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End-of-Lesson Quiz
1. Which of the following is an NGO?
A. DFID.

5. What two kinds of work do humanitarian


activities involve?
A. Rebuilding and recovering.

B. ECOWAS.

B. Assistance and protection.

C. OXFAM.
D. AU.

C. Prevention and collaboration.

2. Why is it important for UN missions


to retain the confidence and support of
embassies?

6. Humanitarian activities are delivered


according to what three principles?

D. Partnership and recovery.

A. To prevent diplomatic difficulties for Member


States.

A. Humanity, neutrality, and impartiality.

B. To promote the position of Member States in


the host country.

C. Effectiveness, efficiency, and equality.

C. To promote disagreement amongst the UN


Members States.
D. To prevent duplication of effort or
misunderstandings.

3. According to the UN, what are humanitarian


activities?
A. Activities that aim to save lives, protect human
dignity, and alleviate suffering of the local
civilian population.
B. Quick Impact Projects that aim to boost
confidence in UN peacekeeping operations
within a population suffering from armed
conflict.
C. Actions that aim to limit armed conflict in an
area with a large civilian population.
D. Actions that coordinate the political message of
the UN peacekeeping operation and other UN
agencies.

4. Are UN military units involved in


humanitarian activities?
A. Yes, humanitarian activities should always be
supported by military units.
B. Yes, but only in extreme circumstances.

B. Humanity, equality, and efficiency.


D. Protection, prevention, and accuracy.

7. Delivering humanitarian assistance is the


responsibility of:
A. The Head of Mission.
B. All Member States.
C. Regional partners.
D. The state.

8. What are the four main ways of delivering


humanitarian services?
9. All peacekeeping personnel, particularly
in peacekeeping missions with a mandate
to support or facilitate humanitarian
assistance, should:
A. Not refer to Quick Impact Projects as
humanitarian assistance.
B. Remember that humanitarian assistance is
primarily a military activity.
C. Never share information gathered during a
mission.
D. Remember humanitarian assistance is not a
concern of the UN.

C. No, the military mandate is strictly separated


from humanitarian work.
D. No, humanitarian efforts cannot be present
where military operations are active.
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10. UN peacekeeping operations generally do


not provide humanitarian assistance?
A. Through NGOs.
B. Immediately.
C. Directly.
D. To children.

ANSWER KEY
1C, 2D, 3A, 4B, 5B, 6A, 7D,
8.There are four main ways of delivering
humanitarian services:
1. Support the Host State
2. Direct Implementation
3. Contracting services
4. Programme Aid
9A, 10C.

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UNIT IV

STANDARDS, VALUES, AND SAFETY OF UN


PEACEKEEPING PERSONNEL
Provided By German Armed Forces United Nations Training Centre (GEUNTC):

PART 1: CONDUCT AND DISCIPLINE


LESSON 1: INTRODUCTION TO CONDUCT AND DISCIPLINE
1.1: Standard of Conduct
1.2: Definitions of Misconduct
1.3: Reporting Misconduct\
1.4: Leadership and Accountability on Conduct
Lesson 1 Quiz
LESSON 2: SEXUAL EXPLOITATION AND ABUSE (SEA)
2.1: Definitions of Sexual Exploitation and Abuse (SEA)
2.2: Uniform Standards on SEA
2.3: Examples and Misconduct Scenarios
Lesson 2 Quiz
LESSON 3: THE CONSEQUENCES OF MISCONDUCT
3.1: Consequences of Misconduct
3.2: Measures and Mechanisms to Address Misconduct
Lesson 3 Quiz

LESSON 1
INTRODUCTION TO CONDUCT
AND DISCIPLINE

LESSON
1

LESSON OBJECTIVES
1.1: Standard of Conduct
1.2: Definitions of
Misconduct

The aim of this lesson is to increase understanding of United Nations


Standards of Conduct and expected behaviour. The lesson also gives
information on the consequences of misconduct, the duty to report
misconduct, and the mandate of key entities to address misconduct. After
completing this lesson, the student should be able to:

1.3: Reporting Misconduct


1.4: Leadership and
Accountability on
Conduct

List the three key principles governing the UN Standards of Conduct;


List examples of misconduct;
Describe sexual exploitation and abuse, with reference to the uniform

standards that all peacekeeping personnel are expected to uphold and

Describe the consequences of misconduct for the host population,


peacekeeping personnel, and the mission.

Introduction
All peacekeeping personnel shall uphold and respect the principles set
out in the UN Charter, including faith in fundamental human rights, the
dignity and worth of the human person, and the equal rights of men and
women. Consequently, peacekeepers must exhibit respect for all cultures.
They shall not discriminate against any individual, group of individuals, or
otherwise abuse the power and authority vested in them. All peacekeeping
personnel have an obligation to maintain the highest standards of
efficiency, competence, integrity, and conduct; including creating and
maintaining an environment that prevents sexual exploitation and abuse
(SEA). The concept of integrity includes, but is not limited to, probity,
impartiality, fairness, honesty, and truthfulness in all matters affecting their
work and status.

This lesson highlights the role of peacekeepers


in fulfilling the missions mandate to support
countries recovering from the trauma of conflict
by fostering security and protecting human
rights. Most importantly, this lesson will indicate
what constitutes misconduct, particularly SEA.
Unfortunately, all missions have had to deal with
SEA taking place in a variety of forms.

The following three key principles underpin the UN


standards of conduct:

1.1 Standards of Conduct

Immunities and privileges will not help a


peacekeeper avoid being held responsible when a
standards of conduct violation has been committed.
All peacekeeping personnel are expected to
maintain the highest UN Standards of Conduct.
Immunities and privileges exist only to enable
civilian, police, and military personnel to perform
their functions, not to sanction impunity. The
provision of the SOFA serves the same purpose
for national contingent personnel. Immunities
and privileges can and have been lifted by the
Secretary General when it is in the interests of the
UN. Individuals accused of crimes have had their
immunities lifted and have been prosecuted for
those crimes.

The basic standards of conduct and integrity


required of the various categories of peacekeeping
personnel, which are described in the Staff
Regulations and Rules, the Ten Rules, and We Are
United Nations Peacekeepers, are similar because
they are all derived from principles established in
Article 101, Paragraph 3 of the UN Charter, which
requires the highest standards of integrity of United
Nations officials.
Civilian police officers and military observers shall
refrain from any action or activity incompatible
with the impartial and independent nature of their
duties and inconsistent with the letter or spirit
of the authorized mandate of the operation, the
Status-of-Forces Agreement / Status-of-Mission
Agreement (SOFA/SOMA), and other applicable
legal norms and standards. They shall respect
all local laws and regulations and are required to
abide by the highest standards of integrity while
in the service of the United Nations. They shall
refrain from any conduct that would adversely
reflect on the United Nations and shall not engage
in any activity that is incompatible with the aims
and objectives of the United Nations. They are also
required to abide by mission standard operating
procedures, directives, or any other applicable
rules, regulations, or administrative issuances.
Upon deployment to the field mission, all civilian
police officers and military observers shall receive
a briefing on these directives, the types of serious
misconduct prohibited, and the disciplinary process
that shall ensue should an allegation of misconduct
be made. In this briefing, particular attention shall
be drawn to local laws and customs and the need
to respect them.

Highest standards of efficiency, competence,


and integrity;

Zero tolerance policy on SEA; and


Accountability of those in command who fail to
enforce the standards of conduct.

1.2 Definitions of Misconduct


This part of the lesson defines misconduct for
different categories of peacekeeping personnel. It
relates to the first key principle of the UN Standards
of Conduct: the highest standards of efficiency,
competency, and integrity.
Definition of Misconduct for Civilian Personnel
Misconduct is failure by a staff member to:

Comply with his/her obligations under the UN


Charter, Staff Regulations and Rules, and
relevant administrative issuances; and

Observe standards of conduct expected of an


international civil servant.

Civilian personnel can refer to Staff Rule 310.1,


whose principles are also binding on other civilians
in peacekeeping missions.

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Definition of Misconduct for Members of


National Contingent and Military Staff Officers
Misconduct means any act or omission that
is in violation of UN standards of conduct,
mission-specific rules and regulations, or the
obligations towards national and local laws and
regulations in accordance with the Status of
Forces Agreement, where the impact is outside the
national contingent.
Serious misconduct is any misconduct, including
criminal acts, which results in or is likely to result in
serious loss, damage, or injury to an individual or a
mission. Sexual exploitation and abuse constitute
serious misconduct.
Definitions of Misconduct for UN Police and
Military Observers
Minor misconduct is defined as any act, omission,
or negligence that violates mission standard
operating procedures (SOPs), directives, or any
other applicable rules, regulations, or administrative
instructions, yet does not result in or is not likely to
result in major damage or injury to an individual or
the mission.
Minor misconduct includes, but is not limited to:

Improper uniform appearance;


Neglect in performance of duty, not amounting to
a wilful or deliberate act;

Intoxication while on duty or in public;


Negligent driving;
Absence from duty without permission; and
Malingering.
Serious Misconduct
Serious misconduct is any act, omission, or
negligence, including criminal acts, which
violates mission standard operating procedures
(SOPs), directives, or any other applicable rules,
regulations, or administrative instructions, which
results in or is likely to result in serious damage or
injury to an individual or to the mission.

234 |

Serious misconduct includes, but is not limited to:

Sexual abuse and exploitation of any individual,


particularly children;

Harassment, including sexual harassment;


Abuse of authority;
Excessive use of force;
Unlawful discharge of firearms;
Breach of confidentiality;
Abuse of United Nations privileges and
immunities;

Conduct prejudicial to good order and discipline;


Driving while intoxicated or other grossly
negligent driving;

Intoxicated while on duty or in public on repeated


occasions;

Repeatedly absent from duty without permission;


Use, possession, or distribution of illegal
narcotics;

Embezzlement or other financial malfeasance;


Wilful disobedience of a lawful order; and
Unlawful acts (e.g. theft, fraud, smuggling,

bribery) on or off United Nations premises, with


or without the involvement of United Nations
vehicles, and whether or not the individual was
officially on duty at the time of the offence.

The consequences of misconduct will be discussed


later in this lesson.

1.3 Reporting Misconduct


This part of the lesson outlines the duty of UN
personnel to report misconduct, cooperate in
investigations, and provide information in good
faith.
The missions Conduct and Discipline Team (CDT)
is the primary body for receiving reports of alleged
misconduct. The CDT also supports mechanisms
for dealing with misconduct, detailed later in this
lesson. Other reporting bodies that receive reports
based on their specific role include the Head of

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Mission, the Head of the Military Component


(HOMC) or Head of Police Component (HOPC),
Office of Internal Oversight Services (OIOS), the
Ethics Office, and the UN Ombudsman. Uniformed
personnel report misconduct through their chain
of command, whereas civilian staff members can
report directly to the CDT and/or other reporting
bodies. While deployed on a mission, specific
reporting mechanisms will be covered as part of a
peacekeepers induction training.
All peacekeeping personnel have a duty to
report suspected misconduct, cooperate with
investigations, and provide information in good
faith. Peacekeeping personnel have a duty to
report any breach of UN rules and regulations
and to cooperate with duly authorized audits
and investigations. Staff members who, in good
faith, report alleged misconduct and cooperate
with audits or investigations have the right to be
protected from retaliation. Allegations made by
staff members in bad faith and the spreading of
unsubstantiated rumours are treated as acts of
misconduct.
After misconduct is reported, it must be categorized
and dealt with. For administrative and investigative
purposes, misconduct is characterized as either
Category I or Category II. High-risk incidents,
complex matters, and serious criminal cases
are considered serious misconduct and belong
to Category I. This includes sexual exploitation
and abuse, offences against the person (e.g.
rape), and serious offences against property (e.g.
fraud). Inquiries into Category I matters are best
handled by independent, professionally trained,
and experienced investigators for civilian staff.
For military contingents, national authorities are
responsible for handling investigations.
Category I cases normally include the following:

Serious or complex fraud;


Sexual exploitation and abuse (SEA);
Serious criminal acts or activity;
Conflict of interest;
Gross mismanagement;
Waste of substantial resources;

Soldiers at a military graduation ceremony held in the western Libyan


city of Al-Zawiya. (UN Photo #499681 by Iason Foounten, 17 December
2011)

All cases involving the risk of loss of life of staff


or others, including witnesses; and

Substantial violation of United Nations

regulations, rules, or administrative issuances.

Category II misconduct offences include matters


such as speeding and other traffic offences, minor
theft, and sexual or other work-related harassment.
Although discrimination, harassment, including
sexual harassment, and abuse of authority are
classified as Category II offences, they can still be
extremely distressing for the victim. Inquiries into
Category II matters are normally handled within
the mission structure. There are specific guidelines
for dealing with discrimination and harassment,
including sexual harassment. Abuse of authority
in cases of lower risk to the UN are classified by
Office of Internal Oversight Services (OIOS) as
belonging to Category II, and include:

Traffic-related inquiries;
Simple thefts;
Contract disputes;
Office management disputes;
Basic misuse of equipment or staff;
Basic mismanagement issues;
Infractions of regulations, rules, or administrative
issuances; and

Simple entitlement fraud.

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Further reading: We Are United Nations


Peacekeeping Personnel
This document establishes the code of conduct valued by the
Blue Helmets. The original document in its entirety and other
documents on Conduct and Discipline can be found in the
appendices of this course or online at <http://cdu.unlb.org/
UNStandardsofConduct/TenRulesCodeofPersonalConductForBlueHelmets.aspx>

We will never:

Bring discredit upon the United Nations or our nations


through improper personal conduct, failure to perform
our duties, or abuse of our positions as peacekeeping
personnel

Take any action that might jeopardize the mission


Abuse alcohol, use or traffic in drugs
Make unauthorized communications to external agencies,
including unauthorized press statements

We will always:

Conduct ourselves in a professional and disciplined


manner at all times

Dedicate ourselves to achieving the goals of the United


Nations

Understand the mandate and mission and comply with


their provisions

Respect the environment of the host country


Respect local customs and practices through awareness
and respect for the culture, religion, traditions, and gender
issues

Treat the inhabitants of the host country with respect,


courtesy, and consideration

employment

Use unnecessary violence or threaten anyone in custody


Commit any act that could result in physical, sexual, or
psychological harm or suffering to members of the local
population, especially women and children

Commit any act involving sexual exploitation and abuse,


sexual activity with children under 18, or exchange of
money, employment, goods, or services for sex

Become involved in sexual liaisons which could affect our


impartiality or the well-being of others

Be abusive or uncivil to any member of the public


Wilfully damage or misuse any United Nations property or

Act with impartiality, integrity, and tact

equipment

Support and aid the infirm, sick, and weak


Obey our United Nations superiors/supervisors and
respect the chain of command

Respect all other peacekeeping members of the mission


regardless of status, rank, ethnic or national origin, race,
gender, or creed

Support and encourage proper conduct among our fellow


peacekeeping personnel

Report all acts involving sexual exploitation and abuse


Maintain proper dress and personal deportment at all
times

Properly account for all money and property assigned to


us as members of the mission and

Care for all United Nations equipment placed in our


charge.

Improperly disclose or use information gained through our

Use a vehicle improperly or without authorization


Collect unauthorized souvenirs
Participate in any illegal activities, corrupt, or improper
practices or

Attempt to use our positions for personal advantage, to


make false claims, or accept benefits to which we are not
entitled.
We realize that the consequences of failure to act within
these guidelines may:

Erode confidence and trust in the United Nations


Jeopardize the achievement of the mission
Jeopardize our status and security as peacekeeping
personnel and

Result in administrative, disciplinary, or criminal action.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

For further information and monitoring data on


misconduct and its consequences, you can refer
to the Conduct and Discipline Unit website: <http://
www.un.org/Depts/dpko/CDT/index.html>.

1.4 Leadership and Accountability on


Conduct
This part of the lesson outlines the duty of
leadership to be accountable and responsible
for maintaining the highest standard of conduct
and preventing, monitoring, and responding to
misconduct. It relates to the third key principle
underpinning UN standards of conduct, the
accountability of those in command who fail to
enforce the standards of conduct.
Manager or Commands Responsibility
Regarding Misconduct, including SEA
Those in command are expected to maintain
standards of conduct and to prevent, monitor
and respond to misconduct. Normally when
misconduct takes place, issues of poor leadership
and command and control are also raised. There
are ways in which managers and commanders can
work to prevent and respond to misconduct:

Implement prevention, enforcement, and


remedial policies;

Remind senior personnel of their role to set the


tone and lead by example;

Appoint focal points for SEA in field locations;


Actively and publicly support efforts of the

mission CDT and focal points to address SEA;

Organize awareness-raising activities (town hall


briefings, meetings with senior management,
meetings by managers with their staff,
raise issue at key meetings with contingent
commanders, heads of offices, etc.);

Ensure that the mandatory SEA training

is undertaken by all personnel under your


supervision / command, including contingent
members;

Include session on sexual exploitation and abuse


in induction briefings; and

Incorporate the appearance of senior leadership


to the start of conduct and discipline training
sessions to emphasize the leaderships
commitment to addressing conduct and
discipline issues.

Answers relevant to prevention measures in


particular include:

Set the tone/role modelling;


Provide welfare and recreation facilities;

Ensure misconduct-prevention training;

Rotate troops regularly in remote areas; and

Conduct periodic misconduct risk assessments;

Provide induction and ongoing misconduct

Address potential or actual violations; and

training.

Report all misconduct to the CDT or OIOS.

Answers relevant to enforcement measures in


particular include:

How can managers and commanders work to


prevent and respond to misconduct?

Establish internal complaint mechanisms;

Answers particularly relevant for SEA include:

Establish non-fraternization policy, curfew, off-

Be familiar with the missions action plan to


prevent SEA;

Emphasize the duty to report;


limits locations, patrols; and

Coordinate investigations.

Organize campaigns for specific groups (e.g.


anti-child prostitution campaigns);

Insert performance objectives relating to

prevention of misconduct into managers work


plans and evaluate through performance
appraisals;

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Summary
The three key principles governing the UN
Standards of Conduct are derived from principles
established in Article 101, Paragraph 3 of the UN
Charter, which requires the highest standards of
integrity from United Nations officials. They require
the highest standards of efficiency, competence,
and integrity; zero tolerance policy on SEA; and
the accountability of those in command who fail to
enforce the standards of conduct.
Actions which deviate from these principles are
considered misconduct. Despite any immunities
and privileges that personnel may enjoy in their
work, these factors will not permit impunity and
disciplinary procedures will be followed in the event
of misconduct. The most serious offences are
classified as Category I misconduct, while more
misdemeanor-like actions are considered Category
II. Regardless of its category, all acts of misconduct
can negatively impact the credibility of a mission
and also have consequences on the population that
the mission is meant to serve.
Those in command are expected to maintain
standards of conduct and to prevent, monitor,
and respond to misconduct. Normally when
misconduct takes place, issues of poor
leadership and command and control are also
raised. All investigations and audits are serious
responsibilities that leadership must enforce to
maintain a structure of accountability and to hold
those guilty of misconduct responsible for their
actions.

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. The principles which require the highest
standards of integrity of UN officials are
established in:

7. For administrative and investigative


purposes, misconduct is characterized as
either:

A. Article 1 of the UN Charter.

A. Category I or Category II.

B. Article 101, Paragraph 3 of the UN Charter.

B. Serious or not serious.

C. Article 10, Paragraph 4 of the UN Charter.

C. Minor or major.

D. Article 101, Paragraph 2 of the UN Charter.

D. Simple or complex.

2. List the three key principles underpinning


the UN standards of conduct.

8. Discrimination, harassment, and abuse of


authority are classified as:
A. Minor offences.

3. Minor misconduct includes:

B. Category II offences.

A. Negligent driving.

C. Complex and serious offences.

B. Absence from duty with permission.

D. Category I offences.

C. Excessive use of force.


D. Sexual harassment.

9. Managers and commanders can work to


prevent and respond to misconduct by:

4. Serious misconduct includes:

A. Publicly challenging efforts of the mission CDT.

A. Sexual abuse and exploitation.


B. Improper uniform appearance.
C. Malingering.
D. Lawful discharge of firearms.

5. The missions ___________ is the primary


body for receiving reports of alleged
misconduct.

B. Reporting all misconduct to the Chief Military


Observer.
C. Threatening anyone in custody.
D. Addressing potential or actual violations.

10. All acts of misconduct can:


A. Affect the host countrys government.
B. Negatively impact the credibility of a mission.

A. Office of Internal Oversight Services

C. Be defended.

B. Office of Military Affairs

D. Eventually be forgiven by the Head of Mission.

C. Ethics Office
D. Conduct and Discipline Team

6. All peacekeeping personnel have a duty to:


A. Reprimand those accused of misconduct.
B. Personally investigate all cases of suspected
misconduct.
C. Report suspected misconduct.
D. Share unsubstantiated accusations of
misconduct will all other peacekeepers.

ANSWER KEY
1B,
2. The following three key principles underpin the
UN standards of conduct:

Highest standards of efficiency, competence,

and integrity;

Zero tolerance policy on SEA; and

Accountability of those in command who fail to

enforce the standards of conduct.

3A, 4A, 5D, 6C, 7A, 8B, 9D, 10B

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LESSON 2
SEXUAL EXPLOITATION AND
ABUSE (SEA)

LESSON
2

LESSON OBJECTIVES
2.1: Definitions of Sexual
Exploitation and
Abuse (SEA)

The aim of this lesson is to inform peacekeeping personnel about the


definitions of Sexual Exploitation and Abuse (SEA), the uniform standards
and policies for addressing SEA, and examples of misconduct. By the end
of Lesson 2, the student should be able to meet the following objectives:

2.2: Uniform Standards on


SEA

Understand what actions and scenarios constitute SEA; and

2.3: Examples and


Misconduct Scenarios

Know the standards of this serious misconduct and understand how

SEA is harmful to victims and damaging to a peacekeeping operation.

Introduction
This lesson deals with one of the most widespread forms of misconduct
within peacekeeping missions. Allegations of sexual exploitation and
abuse by UN peacekeeping personnel have been made in many missions,
from Bosnia and Herzegovina and Kosovo in the Balkans in the early
1990s, to Cambodia and Timor-Leste in Southeast Asia in the early and
late 1990s, and to West Africa and the Democratic Republic of the Congo
(DRC) in recent years.
Regardless of ones perceptions of the problem or the likelihood for SEA
to occur in a particular mission, ALL peacekeeping personnel have an
obligation to create and maintain an environment that prevents sexual
exploitation and abuse and to uphold the highest standards of conduct.
This lesson emphasizes the uniform standards regarding SEA that all
peacekeeping personnel are expected to maintain.

Regardless of legality or the cultural norms in


an individuals country and/or the host country,
there is a zero-tolerance policy regarding sexual
exploitation and abuse by UN personnel.
Be aware that sexual harassment is not to be
confused with sexual exploitation and sexual
abuse. Sexual harassment is considered a
workplace-related offence involving staff or related
personnel, not members of the general public.

2.1 Definitions of Sexual Exploitation


and Abuse
These definitions are according to the SecretaryGenerals Bulletin Special measures for protection
from sexual exploitation and sexual abuse (ST/
SGB/2003/13). The term sexual exploitation
means any actual or attempted abuse of a position
of vulnerability, differential power, or trust, for
sexual purposes including, but not limited to,
profiting monetarily, socially, or politically from the
sexual exploitation of another. Similarly, the term
sexual abuse means the actual or threatened
physical intrusion of a sexual nature, whether by
force or under unequal or coercive conditions.

At a one-day workshop on Sexual Exploitation and Abuse (SEA), hosted


by the National Council on Child Welfare (NCCW), in Khartoum, Sudan,
a participant holds up a copy of the Daily Telegraph article about SEA
allegedly committed in South Darfur by United Nations personnel. (UN
Photo #138056 by Fred Noy, 18 January 2007)

Lack of awareness of rights and obligations;


History of unequal power relations that are often
exploited; and

Prevalence of sexual and gender-based


violence.

In the peacekeeping context, the expression


unequal power signifies:

Examples of sexual exploitation and/or sexual


abuse could include:

An imbalance between economic, social, or

Providing assistance or aid of any kind, including

A dependence by one on the assistance of

food, clothing, and lodging, in exchange for


sexual favours;

Threatening to withhold assistance or aid of any


kind in exchange for sexual favours;

Buying sex from prostitutes, even where


prostitution is legal in the host country;

Forcing a child to engage in sexual acts;


Rape;
Trafficking of people for prostitution; and
Procuring prostitutes for others.
Considering these examples, one can imagine that
members of the host community are vulnerable in
the peacekeeping context, for reasons such as:

A collapsed economy forcing many to fight for


survival in desperate circumstances;

education status;

another to sustain living; and/or

Ones position of authority over another.


It is important to point out that in the peacekeeping
context, trust must not be abused because it
further victimizes vulnerable persons, violates
victims human rights, and disrupts families and
communities.
In summary, SEA contradicts the mandate of the
UN in general and the peacekeeping mandate in
particular. The UN has a zero-tolerance policy
for SEA. This means it is classified as serious
misconduct and that managers and commanders
have a responsibility to prevent, enforce, and
respond to SEA. SEA damages individuals and the
credibility of the peacekeeping mission. Privileges
and immunities can and have been waived to
address serious misconduct, including SEA.

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2.2 Uniform Standards on SEA


The prohibited acts are stated in the SecretaryGenerals Bulletin on special measures for
protection from SEA. The uniform standards on
SEA prohibit the following:

Sexual activity with children, defined as any


person under the age of 18;

Exchange of money, employment, goods, or


services for sex or sexual favours;

Use of children or adults to procure sex for


others; and

Sexual relationships with beneficiaries of


assistance are strongly discouraged.

It should be noted that allegations of sexual


exploitation have been made about consensual
adult relationships. Peacekeeping personnel
should therefore be aware of the potential risks of
beginning a relationship while on mission.

2.3 Examples of Misconduct Scenarios


The scenarios on the following page demonstrate
examples of prohibited acts under the current
standards of conduct expected of all categories
of UN personnel, including civilian, civilian police,
military observers, and military members of
national contingents, as set out in the UN Staff
Rules and Regulations and the DPKO Disciplinary
Directives, including the Ten Rules: Code of
Personal Conduct for Blue Helmets.1 These acts
also specifically violate standards listed in: ST/
SGB/2003/13 on Special Measures for Protection
from Sexual Exploitation and Sexual Abuse, and
ST/SGB/1999/13 on Observance by United Nations
Forces of International Humanitarian Law. N.B.
Allegations and reports of sexual harassment are
covered by separate procedures described in ST/
SGB/253 and ST/AI/379 (as may be amended).
1 Adapted from the Interagency Standing
Committee Task Force on Protection from
Sexual Exploitation and Abuse, Facilitators
Guide: Understanding Humanitarian Aid Worker
Responsibilities: Sexual Exploitation and Abuse
Prevention, Coordination Committee for the
Prevention of Sexual Exploitation and Abuse in
Sierra Leone.

244 |

A woman stands next to an anti-Sexual Exploitation and


Abuse (SEA) poster during a one-day workshop hosted
by the National Council on Child Welfare (NCCW) in
Khartoum, Sudan against SEA allegedly committed in
South Darfur by United Nations personnel. (UN Photo
#138055 by Fred Noy, 18 January 2007)

These acts constitute misconduct and could lead


to appropriate disciplinary and administrative
measures, such as summary dismissal or
recommendation to repatriate. More information
on the procedures to follow when alleged acts of
misconduct occur should be obtained from the
relevant department or agency headquarters.
On the next page, read the scenarios listed in
the left column, while considering the following
questions. Provide answers that correspond to
each of the situations, and verify your answers in
the right column of the table:
A. Have UN personnel actually abused or
attempted to abuse a position of vulnerability
for sexual purposes?
B. Have UN personnel actually or attempted to
abuse differential power for sexual purposes?
C. Have UN personnel in this scenario actually or
attempted to abuse trust, for sexual purposes?
D. Does this scenario constitute prohibited act(s)?
E. Which uniform standards on SEA have been
violated? List as many as apply.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Misconduct Scenarios:
Examples of Prohibited Acts:

Why They Constitute Misconduct:

1. Betty is a 16-year-old girl living


in a small village. Betty has four
younger brothers and sisters. Her
parents do not have very much
money and find it very difficult
to fund their education, clothing,
and food for all of the children.
They have even discussed Betty
dropping out of school in order
for her to assist her mother
working at the market. However,
all the problems have been solved
since Betty has started a sexual
relationship with Johnson, a senior
UNHCR officer. He has promised
to pay her school fees and help
pay for her brothers and sisters
to continue with their education.
Bettys parents are very relieved
that this opportunity has come and
they encourage Betty to maintain
the relationship. It has really
helped the family and now all the
children can continue in school.

1. A. YES, UN personnel actually abused or attempted to


abuse a position of vulnerability for sexual purposes.

2. Carlos, a military commander


posted in the southern district,
has helped set up a boys soccer
club in the town where his
national contingent is deployed.
Carlos enjoys the soccer games,
but he particularly enjoys the
access the club gives him to local
adolescents. He gives presents
(magazines, candy, sodas, and
pens) to various boys in exchange
for sexual acts. He thinks theres
nothing wrong with this because
the boys like the presents he gives
them.

2. A. YES, UN personnel actually abused or attempted to


abuse a position of vulnerability for sexual purposes.

B. YES, UN personnel actually or attempted to abuse


differential power for sexual purposes.

C. YES, UN personnel in this scenario actually or


attempted to abuse trust, for sexual purposes.

D. YES, this scenario constitute prohibited act(s).

E. The following uniform standards on sexual


exploitation and abuse have been violated:

Sexual activity with children (persons under the age of


18) is prohibited.

Exchange of money, employment, goods, assistance or


services for sex, e.g. sex with prostitutes, is prohibited.

Full Explanation:

Under section 3.2 (b) of the SecretaryGenerals Bulletin ST/


SGB/2003/13, Johnson is prohibited from sexual activity with
anyone under 18, regardless of the local age of consent. This
encounter also constitutes sexual exploitation as defined
in section 3.2 (c) of ST/SGB/2003/13: Johnson has abused
a position of differential power for sexual purposes, by
exchanging money for sexual access.

B. YES, UN personnel actually or attempted to abuse


differential power for sexual purposes.

C. YES, UN personnel in this scenario actually or


attempted to abuse trust, for sexual purposes.

D. YES, this scenario constitute prohibited act(s).

E. The following uniform standards on sexual


exploitation and abuse have been violated:

Exchange of money, employment, goods, assistance or


services for sex, e.g. sex with prostitutes, is prohibited.

Full explanation:

Carlos acts violate the Ten Rules: Code of Personal Conduct


for Blue Helmets and ST/SGB/1999/13 on Observance by UN
Forces of International Humanitarian Law. He has abused
a position of differential power for sexual purposes, by

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Misconduct Scenarios (Continued):


Example of Prohibited Act:

Why it Constitutes Misconduct:


exchanging money and goods for sexual favours. Such acts
constitute serious misconduct. In addition, Carlos is in breach
of the same policy for performing sexual acts with children
(anyone under 18, regardless of the local age of consent).

3. Joey is a locally hired driver for a


UN agency who transports relief
items from the warehouse to the
refugee camp where the items are
distributed. On one of his trips, he
recognized a 15-year-old refugee
girl walking on the side of the road
and gave her a lift back to the
camp. Since then, to impress her
and win her over, he frequently
offers to drive her wherever she
is going and sometimes gives
her small items from the relief
packages in his truck, which he
thinks she and her family could
use. The last time he drove her
home she asked him inside her
house to meet her family. The
family was pleased that she had
made friends with a UN worker.
Joey really likes the girl and wants
to start a sexual relationship with
her. He knows her family will
approve.

3. A. YES, UN personnel actually abused or attempted to


abuse a position of vulnerability for sexual purposes.

4. Marie is a 30-year-old refugee


whose desperate circumstances
have forced her into prostitution.
On Saturday night she was picked
up by John, a UNICEF staff
member in a UN car, as he was
driving back home after dinner.
John took her home and paid her
for sex. As prostitution is not illegal
in the country where he is posted,
he figured he did nothing wrong.

4. A. YES, UN personnel actually abused or attempted to


abuse a position of vulnerability for sexual purposes.

B. YES, UN personnel actually or attempted to abuse


differential power for sexual purposes.

C. YES, UN personnel in this scenario actually or


attempted to abuse trust, for sexual purposes.

D. YES, this scenario constitute prohibited act(s).

E. The following uniform standards on sexual


exploitation and abuse have been violated:

Exchange of money, employment, goods, assistance or


services for sex, e.g. sex with prostitutes, is prohibited.

Full explanation:

Under section 3.2 (b) of the SecretaryGenerals Bulletin


ST/SGB/2003/13, Joey is prohibited from sexual activity
with anyone under 18, regardless of the local age of
consent. Moreover, the rules also strongly discourage
sexual relationships between UN staff and beneficiaries of
assistance, since they are based on inherently unequal power
dynamics and undermine the credibility and integrity of the
work of the UN (see section 3.2 (d) of ST/SGB/2003/13).

B. YES, UN personnel actually or attempted to abuse


differential power for sexual purposes.

C. YES, UN personnel in this scenario actually or


attempted to abuse trust, for sexual purposes.

D. YES, this scenario constitute prohibited act(s).

E. The following uniform standards on sexual


exploitation and abuse have been violated:

Exchange of money, employment, goods, assistance or


services for sex, e.g. sex with prostitutes, is prohibited.

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Misconduct Scenarios (Continued):


Example of Prohibited Act:

5. Jill is a CIVPOL. Shes always on the


lookout for good business opportunities
since she has to support her family back
home. Shes asked by another CIVPOL,
Stanislas, to contribute some of her MSA
towards renovating a bar in the town in
return for a cut of the bars profits. Jill soon
finds shes getting a steady income from
the bar, and gives more money to hire more
staff, including security. She herself doesnt
go to the bar, but she knows that there is
a lot of prostitution going on there and that
several peacekeepers and CIVPOLs use the
bar often. However, she doesnt think that
concerns her, since she isnt directly involved
in those issues. Shes just glad for the extra
money.

Why it Constitutes Misconduct:


Full explanation:

The exchange of money for sexual services


violates the standards of conduct expected of any
category of UN personnel. In this case, (involving
a civilian staff member) the act violates section
3.2 (c) of the SecretaryGenerals Bulletin ST/
SGB/2003/13.

5. A. YES, UN personnel actually abused or


attempted to abuse a position of vulnerability
for sexual purposes.

B. YES, UN personnel actually or attempted to


abuse differential power for sexual purposes.

C. YES, UN personnel in this scenario


actually or attempted to abuse trust, for sexual
purposes.

D. YES, this scenario constitute prohibited


act(s).

E. The following uniform standards on sexual


exploitation and abuse have been violated:

The peacekeepers and CIVPOLs using

prostitutes are exchanging money for sex, and


sex with prostitutes, is prohibited.

Full explanation:

Jill and Stanislas are aiding sexual exploitation.


This violates the Ten Rules: Code of Personal
Conduct for Peacekeepers. The peacekeepers
and CIVPOLs who frequent the bar are engaged
in sexual exploitation. For these categories of
personnel, using a prostitute violates the Ten
Rules: Code of Personal Conduct for Blue Helmets
and the ST/SGB/1999/13 On Observance by UN
Forces of International Humanitarian Law.

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End-of-Lesson Quiz
1. Sexual Exploitation and Abuse (SEA):

7. Current standards of conduct are expected of:

A. Is rarely an issue in peacekeeping missions.

A. High ranking UN personnel only.

B. Is one of the most widespread forms of


misconduct within peacekeeping missions.

B. The civilian components of UN peacekeeping


missions only.

C Has never occurred within a UN mission.

C. All categories of UN personnel.

D. Is only considered a minor form of misconduct.

D. The host countrys armed forces.

2. The term sexual abuse means:

8. Allegations and reports of sexual harassment


are covered by:

A. The actual or threatened physical intrusion


of a sexual nature, whether by force or under
unequal or coercive conditions.
B. Hypothetical intrusion of a sexual nature.
C Any actual or attempted abuse of a position of
vulnerability.
D. Profiting monetarily, socially, or politically from
the sexual exploitation of another.

A. The same procedures used to address sexual


exploitation.
B. Separate procedures than those used to
address sexual abuse and sexual exploitation.
C. The same procedures used to address sexual
abuse.
D. Each host countrys laws.

3. If prostitution is legal in a host country, how


are peacekeepers expected to behave?

ANSWER KEY

A. Peacekeepers may solicit prostitutes at any time.

4. In the peacekeeping context, the expression

B. Peacekeepers may solicit prostitutes as long as


the prostitute is over the age of 18.

unequal power signifies:

C Under no circumstances are peacekeepers


allowed to solicit prostitutes.

An imbalance between economic, social, or

education status;

A dependence by one on the assistance of

another to sustain living; and/or

Ones position of authority over another.

D. Prostitution is illegal in all countries, so this is


not a concern.

1B, 2A, 3C,

4. In the peacekeeping context, what does the


expression unequal power signify?

5D,

5. The UN has a zero-tolerance policy for:

Sexual activity with children, defined as any

person under the age of 18;

Exchange of money, employment, goods, or

services for sex or sexual favours;

D. SEA.

Use of children or adults to procure sex for

others; and

6. What do the uniform standards on SEA


prohibit?

Sexual relationships with beneficiaries of

assistance are strongly discouraged.

A. Harassment.
B. Lack of awareness of rights and obligations.
C. Reporting misconduct.

6. The uniform standards on SEA prohibit the


following:

7C, 8B

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LESSON 3
THE CONSEQUENCES OF
MISCONDUCT

LESSON
3

LESSON OBJECTIVES
3.1: Consequences of
Misconduct
3.2: Measures and
Mechanisms to
Address Misconduct

The lesson looks at the consequences of misconduct and UN measures


to address misconduct, with an emphasis on the consequences of sexual
exploitation and abuse (SEA). By the end of Lesson 3, the student should
be able to meet the following objectives:

Be able to identify misconduct and report suspected misconduct to the


proper entities;

Know leaderships responsibility for maintaining the highest standards


of conduct; and

Be familiar with the range of measures and mechanisms in place

to address misconduct, including the Department of Peacekeeping


Operations three-pronged approach to addressing sexual exploitation
and abuse (SEA).

Introduction
While Security Council mandates can appear relatively vague, they are
only meant to provide high-level strategic direction to the peacekeeping
operation. Additional frameworks must be put in place to operationalize
the Security Council mandate.
It is essential that all peacekeepers of all nations, whether military,
police, or civilian, understand and respect the key operational and legal
framework for United Nations peacekeeping operations. The conduct of
every individual represents the United Nations, and any mistake at the
tactical level may greatly affect the operation.

3.1 Consequences of Misconduct


Regarding the scenarios in the last lesson, we
learned there are negative consequences on the
following four groups when they are affected by
prohibited acts. The four mentioned groups include:

The victims, their family members, and any child

born as a result of sexual exploitation and abuse;

The subject (UN peacekeeping personnel);


The host population; and
The peacekeeping mission.

Jean-Marie Guhenno, former Under-Secretary-General for PKOs, speaks


at a Security Council meeting on sexual exploitation and abuse by UN
peacekeeping personnel. The Council strongly condemned all acts of SEA
committed by UN peacekeeping personnel, underlining the importance of
maintaining zero tolerance for such abuses and advocating investigation
and punishment. (UN Photo #77056 by Eskinder Debebe, 31 May 2005)

The consequences of misconduct in general


for peacekeeping personnel and missions are
based on the revised draft model Memorandum of
Understanding between the UN, Troop Contributing
Countries, and the General Assembly Resolution
on Criminal Accountability of United Nations
Officials and Experts on Mission (A/RES/62/63).
Though the consequences of misconduct could
depend on the immunities and privileges a
peacekeeper enjoys, they do not make one immune
to disciplinary action. All instructors training military
personnel must fully understand these documents.

or misappropriation. In addition to the personal


implications of misconduct, there are also possible
consequences for the peacekeeping mission:

When an investigation substantiates misconduct,


disciplinary action can follow. For civilian staff, the
UN takes this action. For uniformed personnel,
disciplinary action is the responsibility of member
states. Examples of disciplinary action include
written censure, demotion, or a fine. Other
measures include:

Misconduct affects the reputation of the UN and

Repatriation and barring from future service of


uniformed personnel; and

Summary dismissal for civilian personnel.


Criminal proceedings can take place if anyone in
mission personnel is alleged to have committed
a crime. For civilian staff, any preliminary UN
investigation would be referred to the appropriate
Member State for criminal investigation. This is
because UN investigations are administrative in
nature. For uniformed personnel, any violations of
their national code of conduct that are also criminal
acts could lead to criminal proceedings as well
as disciplinary action. Peacekeeping personnel
may also face financial liability in cases of theft

Misconduct is contrary to UN principles and calls


into doubt the duty of care of the peacekeepers;

Acts of misconduct, particularly SEA and

criminal acts, seriously damage the image and


credibility of the mission and can negatively
impact the missions implementation of its
mandate;
of the TCCs, both in the international arena as
well as in the host country; and

Misconduct may also put the security of

peacekeepers at risk. SEA, for example, could


result in violent retaliation by family members
and communities against the perpetrators, the
entire contingent or even the mission, as well as
the violation of the rights of the victim.1

Peacekeeping personnel must act as role models.


Peacekeeping personnel are ambassadors of the
United Nations and their country, on duty 24 hours
a day, seven days a week. Compliance with the
UN standards of conduct is the best guarantee for
security and fulfilment of the missions mandate.
1 General Assembly Resolution on Criminal
Accountability of United Nations Officials and
Experts on mission (A/RES/62/63)

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3.2 Measures and Mechanisms to


Address Misconduct
The Department of Peacekeeping Operations
(DPKO) has a three-pronged strategy for
addressing sexual exploitation and abuse in all UN
peacekeeping operations, which is defined by:

Prevention;
Enforcement; and
Remedial action.
Some aspects of this three-pronged strategy have
already been covered in earlier parts of the unit,
such as they pertain to training and standards
of conduct, uniform standards (prevention),
and disciplinary measures (enforcement).2 The
measures in place to prevent SEA include the
uniform standards on SEA mentioned earlier and
mission-specific codes of conduct.
Although this strategy was developed to address
SEA, prevention and enforcement are measures
relevant to addressing all types of misconduct.
Beginning with prevention, there are a variety
of strategies that can be exercised to prevent
SEA from occurring in the first place and to raise
awareness of its consequences:

Training: In addition to pre-deployment training,


there is induction and ongoing training on
misconduct for deployed peacekeeping
personnel, which addresses mission-specific
conduct and discipline issues;

Public information / outreach: Measures

to increase awareness including poster


campaigns, town hall briefings, intranet web
sites, newsletters, and radio broadcasts offer a
proactive approach to the release of information
on misconduct including SEA allegations,
investigations, and follow-up action; and

Welfare and recreation: Missions have been

asked to improve welfare and recreation facilities


and member states can be reimbursed by the
UN for the costs for welfare and recreation
equipment they provide.

2 Recommendations of the Special Committee on


Peacekeeping Operations (A/59/19/Rev.1) adopted
by the General Assembly (RES/59/300)

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Jane Holl Lute, Assistant-Secretary-General and Officerin-Charge of the Department of Field Support, briefs on
a number of outstanding conduct and discipline issues,
including the situation in the United Nations Operation
in Cte dIvoire (UNOCI), at UN Headquarters in New
York. (UN Photo #149674 by Jenny Rockett, 25 July 2007)

The second part of the three-pronged strategy


includes four enforcement measures:

Complaint Mechanisms/Reporting: Conduct

and Discipline Teams (CDTs) and the Office of


Oversight Services (OIOS) are the main entities
that receive misconduct allegations. Several
mechanisms, such as locked drop-boxes,
private meeting rooms for confidential reporting,
telephone hotlines, secure email addresses,
regional/country focal points, and civil society
and UN networks, have been developed for safe
reporting of SEA;3

Data management: Allegations of misconduct,

including SEA, are recorded in a global


monitoring database called the Misconduct
Tracking System (MTS) where UN and national
authorities refer all allegations for investigation;

Investigations: CDTs in the mission assess

any allegations prior to referring cases


for investigation. Investigation entities for
misconduct and serious misconduct include
national authorities for military personnel, OIOS
and mission entities (Special Investigation Unit,
Force Provost Marshall and UN Police Unit), and
ad-hoc panels; and

3 Ibid.

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Follow-up: Follow-up on cases of misconduct

takes place at a number of levels from the


mission components to UN headquarters and
national authorities. A report on SEA and
a report on disciplinary matters and cases
of criminal behaviour for staff members are
produced annually by the Secretary General.

When cases of SEA have occurred, certain


remedial actions will need to be pursued, including:

Victim assistance: Missions are required to

participate in local structures to assist and


support complainants and victims of SEA with
medical and psychosocial care, legal services,
and immediate material care (e.g. food, clothing,
and shelter) [Reference: General Assembly
Resolution (A/RES/62/614) on the United
Nations Comprehensive Strategy on Assistance
and Support to Victims of Sexual Exploitation
and Abuse by United Nations Staff and Related
Personnel 2007]. Where allegations of SEA are
substantiated or proven, the subject may be
criminally accountable;4

Reputation repair: Communication of the

outcome of investigations to an external


audience. Information is provided on
substantiated and unsubstantiated cases.
Information is aggregated rather than naming
and shaming specific groups, contingents, or
nationalities; and

Summary
In this lesson, the consequences of SEA on
multiple parties were stressed, including the
negative impact principally inflicted on the victims,
their family members, and any child born as a
result of sexual exploitation and abuse; the subject
of misconduct (UN peacekeeping personnel); the
host population; and the peacekeeping mission
as a whole. As a result, it is of the utmost priority
to ensure that appropriate and resolute measures
and mechanisms are in place to address these
incidents of misconduct. The importance of
maintaining zero tolerance for sexual exploitation
abuses and advocating their investigation and
punishment must be fundamental both in training
and practice.
This lesson introduced the procedures in
place to confront SEA misconduct, including
the Department of Peacekeeping Operations
three-pronged approach to addressing sexual
exploitation and abuse (SEA), which includes steps
for prevention, enforcement, and remedial action
following incidents of SEA.

Regular briefings: These may be held to release


information on allegations of misconduct,
including SEA, which are deemed to have a
potentially significant negative impact on the
image and credibility of the mission or the
ability of the mission to implement its mandate,
especially if cases are reported to the media.

4 General Assembly Resolution on the United


Nations Comprehensive Strategy on Assistance
and Support to Victims of Sexual Exploitation and
Abuse by UN Staff and Related Personnel (A/
RES/62/214)

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End-of-Lesson Quiz
1. What four groups are affected by the
consequences of misconduct?
2. Examples of disciplinary action include:
A. A promotion or a fine.
B. Written censure, demotion, or summary
dismissal for civilian personnel.
C. A stern warning, repatriation, or a fine.
D. Corporal punishment or a fine.

6. What are the strategies that can be exercised


to avoid SEA from occurring in the first
place?
7. The main entities that receive misconduct
allegations are:
A. DPKO and CDTs.
B. UN Police Unit and MTS.
C. CDTs and OIOS.
D. OIOS and UNHCR.

3. Peacekeeping personnel may face financial


liability in cases of:
A. Violation of voting rights.
B. Malingering.

8. Missions are ____________to participate


in local structures to assist and support
complainants and victims of SEA.
A. not permitted

C. Sexual exploitation and abuse.

B. not required

D. Theft or misappropriation.

C. required

4. List some of the possible consequences of


misconduct for the peacekeeping mission.

D. strongly urged, but not required

5. What is the UNs three-pronged strategy for


addressing sexual exploitation and abuse?
A. Prevention, Enforcement, and Remedial action.
B. Reaction, Reporting, and Jurisdiction.
C. Prevention, Financial compensation, and
Repatriation.
D. Prevention, Reporting, and Remedial action.

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ANSWER KEY
1. The four groups include:

The victims, their family members, and any child born as a result of sexual
exploitation and abuse;

The subject (UN peacekeeping personnel);

The host population; and

The peacekeeping mission.

2B, 3D,
4. Possible consequences for the peacekeeping mission are that:

Misconduct is contrary to UN principles and calls into doubt the duty of care of the
peacekeepers;

Acts of misconduct, particularly SEA and criminal acts seriously damage the
image and credibility of the mission, and can negatively impact the missions
implementation of its mandate;

Misconduct affects the reputation of the UN and of the TCCs, both in the
international arena as well as in the host country; and

Misconduct may also put the security of peacekeepers at risk. SEA, for example,
could result in violent retaliation by family members and communities against the
perpetrators, the entire contingent or even the mission, as well as the violation of
the rights of the victim.

5A
6. Training, public information, awareness, and outreach, welfare, and recreation are
strategies to prevent SEA.
7C, 8C

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UNIT IV

STANDARDS, VALUES, AND SAFETY OF UN


PEACEKEEPING PERSONNEL
Provided By Kofi Annan International Peacekeeping Training Center (KAIPTC):

PART 2: HIV/AIDS AND UN PEACEKEEPING


OPERATIONS
LESSON 4: AWARENESS AND PREVENTION OF HIV/AIDS
4.1: Definitions
4.2: How HIV/AIDS is Spread
4.3: Prevention
Lesson 4 Quiz

LESSON 4
AWARENESS AND PREVENTION
OF HIV/AIDS

LESSON
4

LESSON OBJECTIVES
4.1: Definitions
4.2: How HIV is Spread
4.3: Prevention

The aim of this lesson is to inform peacekeeping personnel about HIV and
AIDS in order to increase awareness and proper prevention. By the end of
Lesson 4, the student should be able to meet the following objectives:

Know the definitions of the Human Immunodeficiency Virus (HIV) and


Acquired Immune Deficiency Syndrome (AIDS);

Understand how HIV is spread and who it can affect; and


Be aware of the correct prevention measures and become an advocate
for accurate information surrounding the pandemic.

Introduction
Deployed peacekeepers live and work in high risk settings. However,
some of these risks are more preventable than others. Unfortunately,
it has been said that deployment can increase the likelihood of
peacekeeping personnel either becoming infected with or transmitting
infection of HIV while in mission, a risk that could be completely avoidable
if the appropriate procedures were followed. For their own health as well
as the health of others, all peacekeepers, uniformed as well as civilian,
must understand the impact of the HIV pandemic and how their behaviour
can have either a positive or negative impact on this ongoing global public
health dilemma.
Past misconduct in some UN peacekeeping operations has led to
accusations of personnel spreading HIV in host countries. Whether or
not this is true, once that accusation has been made, the legitimacy and

credibility of UN peacekeeping and the mission


are called into question. As discussed in Unit I,
maintaining the legitimacy of the peacekeeping
operation is an important success factor.
Peacekeeping personnel need to act responsibly
in order to prevent the transmission of HIV, not
just for their own protection, but also to protect
the legitimacy of the mission. For these reasons,
the Security Council and the UN Secretary
General require that all UN personnel are regularly
educated on prevention of HIV transmission. This
lesson offers preparation for that requirement.
Additionally, more detailed briefings in mission on
the country-specific aspects of HIV/AIDS pandemic
may be provided.

4.2 How HIV is Spread


The four most important ways in which an
individual can be exposed to HIV transmission are:

Unprotected sex: vaginal, oral, or anal, and


whenever there is contact with an infected
persons semen or vaginal fluids;

Insufficiently screened blood or blood products


may lead to transfusion of HIV infected blood;

The use of contaminated injecting equipment,


such as the use of contaminated syringes or
other surgical instruments, as well as sharing
needles for illicit drug use; and

Mother to child transmission: A mother infected

4.1 Definitions
The Human Immunodeficiency Virus, or HIV, is
a virus that causes the weakening of the human
defence system against diseases. HIV is the virus
that causes AIDS. By its acronym, AIDS is defined
as the following:

A: Acquired. This means that a person must

acquire the disease from another infected


person. It is not a genetic disease and does not
come from changes in cells;

I: Immune. This refers to the bodys immune

system. The immune system uses soldier cells to


protect the body from disease. HIV attacks and
kills those soldier cells, leaving the body weak
and unable to suppress other attacks;

D: Deficiency. This means lacking or not having

enough of something. In this case, the body does


not have enough soldier cells to protect against
infections. HIV enters the body and begins to
weaken the immune system, though sometimes
revealing no symptoms for many years. Over
time, the bodys soldier cells are killed and the
immune system becomes too weak to protect the
person from disease. The person carrying HIV
then becomes sick with AIDS; and

S: Syndrome. This means that the disease

is actually a group of health complications


that together indicate a particular disease or
condition.

with HIV can transmit the virus to her child during


pregnancy, during delivery, or after delivery
through breastfeeding.

Anyone who is infected with HIV can transmit


the infection, whether or not they appear sick,
have an AIDS diagnosis, or receive treatment
for their HIV infection. Anyone is vulnerable to
becoming infected with HIV, regardless of age,
sex, orientation, or ethnicity, if proper preventative
measures are not followed. There is no way to
determine if a person has a Sexually Transmitted
Infection (STI) or is infected with HIV just by looking
at them.
HIV is not transmitted by casual, non-sexual
interaction between people, like shaking hands,
hugging, or eating food prepared by someone with
HIV. The amount of HIV found in saliva is known
to be harmless no one has ever contracted HIV
through kissing. Swimming in a pool or sharing a
bath with someone who is HIV-positive is not a risk.
Mosquitos cannot spread HIV.1

4.3 Prevention
Abstinence is an important HIV prevention method,
and peacekeepers may be able to remain abstinent
during the deployment period. There are already
strict regulations limiting sexual relations with
the local population for the prevention of SEA.
1 DPKO/DFS Medical Guidelines for
Peacekeeping Operations: Prophylaxis, Diagnosis
and Treatment of Malaria, 2003

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Exchange of money, employment, goods, or


services for sex, including sexual favours, or any
other forms of exploitative behaviour, is prohibited.
Sex with prostitutes or anyone under the age of 18
is also strictly forbidden.
Being sexually faithful to one partner is also a safe
form of prevention, if this partner is not infected and
he or she is also sexually exclusive. Knowing your
own HIV status and sharing a faithful relationship
with a partner who also knows her or his status is
an important HIV prevention strategy.
As a health and safety measure to prevent sexually
transmitted infections (STIs), HIV, and pregnancy,
peacekeeping operations make both male and
female condoms discreetly available. Always plan
ahead and bring your own condoms to use if there
is any possibility that you are planning to have
sex. Do not rely on your partner to bring condoms.
Condoms should be used whenever there is anal,
vaginal, or oral sex, whether any of these acts
are between a man and a woman or between
men. Condoms should be used whenever there
is penetration, even if the partners do not seek to
climax or ejaculate.
The availability of condoms in mission does not
permit anyone to violate the UN rules against
having sex with prostitutes or minors less than 18
years of age. You are again reminded that the UN
strictly prohibits personnel to engage in sexual
activity with prostitutes or anyone under the age
of 18. The UN also strongly discourages sexual
relationships between peacekeeping personnel and
the local population. This is based on the fact that
the local population is a beneficiary of the missions
assistance and therefore a relationship between
mission personnel and a local will be unbalanced
in terms of power. While there is a more balanced
relationship between peacekeeping personnel,
you are also reminded of the UN policy against
sexual harassment and abuse. If you have sex with
anyone other than your regular partner, always use
a condom.
Using a condom may make the experience feel
different; however, there are many myths about its
use. Some people claim that they do not like to use
condoms as protection. They may spread negative

262 |

rumors about condom use or put down people


who choose to use condoms. Some men claim
that condoms are too slippery or that they ruin
sex. Some may claim that condoms are too small;
however, many condoms can hold multiple litres of
fluid when used properly. It is important to know the
facts because the choice to use a condom or not
could be a matter of life and death.
You may want to contemplate how to respond to
a partner who does not want to use a condom. It
is important to keep in mind that you have a right
to protect yourself and your health. You also have
a responsibility to protect your partner. Using a
condom will change the way you have sex in two
ways: it may affect the sensitivity of the experience
but it will also add a new dimension of positive
feelings and emotions created by a shared and
sincerely caring about your health and the health of
your partner. It will be different, but the change is
for the better as it creates peace of mind. If sex is
not great, it is not the condoms fault.
Never use more than one condom at a time. The
use of one condom provides better safety than
two. When two condoms are used, there is friction
between them and it creates a danger of tearing.
This is true in the case of two male condoms as
well as in the use of one male and one female
condom. Female condoms are for vaginal use only.
Guide to Proper Condom Usage
For male condoms:

Check the expiry date and that the packing of the


condom has not been damaged or perforated.

Open the pack carefully on the serrated edge

without damaging the condom. Do not use your


teeth, nails, or a sharp instrument. You may risk
tearing the condom.

Wear the condom only after the penis has

become fully erect. Do not perform any sexual


act involving penetration without using a
condom.

Pinch the air from the tip of the condom to leave


space for the semen and place the condom at
the tip of the erect penis. Be careful with sharp
finger nails as they can rip the condom.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Carefully roll down the condom over the erect

penis until it is completely unrolled and/or the


entire penis is covered. Ensure that there is no
air in the condom.

If extra lubrication is needed, do NOT use

Vaseline, baby oil, or any other oil-based


lubricants, as they can weaken the protective
material of the condom. Use water-based
lubricants such as KY liquid jelly.

Once the sexual act has ended, pull out while

the penis is still semi-erect and hold the base of


the penis to make sure that the condom does not
slide off.

Remove the condom by holding the base of the

condom and sliding it off, being very careful not


to allow any semen to spill anywhere, including
in the hands.

Do not re-penetrate after the condom is off, and


the partner should not touch the unprotected
penis, as it may still have fluid on the skin or the
head.

Wrap the used condom in toilet or tissue paper


and dispose of it in an appropriate manner. Do
not allow children to play with contaminated
condoms in any way.

Do not flush it down the toilet to dispose as it

may block the plumbing. Instead, follow one of


the three Bs: Bin, Burn, or Bury.

For female condoms:

Check the expiry date and that the packing of the


condom has not been damaged or perforated.

A small group of street children in Maputo, Mozambique, inform


pedestrians about the risks of unsafe sex and demonstrate the proper
use of condoms to prevent HIV infection. This activity is organized by the
Baixa Centre, created by Mdecins du Monde. (UN Photo #19994 by Benno
Neeleman, 01 January 2001)

partner to make sure he doesnt accidently enter


on the side or push the condom inside the vagina
with entry. When the man enters, his penis
should be surrounded by the outer ring.

Once the sexual act has ended, hold the outer

ring and twist it twice before pulling out to avoid


spillage or contact with semen.

Do not re-penetrate after the condom is out, and


do not touch the partners unprotected penis, as
it may still have semen on the skin or the head.

Dispose the used condom in an appropriate

manner. Follow the three Bs: Bin, Burn, or Bury.

Open the pack carefully, tearing from the arrow

The Importance of Voluntary Counselling and


Testing

Insert the condom prior to the man entering. The

The only way to know whether one has HIV is


to have an HIV test performed by a legitimate
volunteer, clinician, or medical personnel.2

Squeeze the smaller ring at the covered end and

Knowing whether or are not a person is infected


with HIV, in other words, their HIV status, helps to:

on top. Do not use teeth, nails, or a sharp


instrument as it may risk tearing the condom.

female condom can be inserted up to 8 hours


before sex is initiated.

insert the condom into the vagina. Utilize fingers


to insert it further into the vagina until it rests
comfortably against the cervix and behind the
pubic bone. The outer ring remains outside.

The female partner needs to hold the outer

ring down against her flesh and guide her male

Protect oneself. If one finds they are HIV-

negative, it provides the peace of mind and


the knowledge that they do not have the virus.
2 Basic Security in the Field: Staff Safety, Health
and Welfare (ST/SGB/2003/19). United Nations, 9
December 2003.

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They can then find out from a counsellor how


to develop and maintain safe sex practices that
will allow for the development of a satisfying sex
life and still remain HIV-negative. If an individual
finds out they are HIV-positive, they can begin to
take action;

Protect others: Finding out if one is HIV positive

and discussing it with ones counsellor will help


avoid putting loved ones and sex partners at
risk of HIV infection. One can develop safe sex
practices that do not risk passing on the virus to
anyone. Those who know they are infected can
also take steps to avoid pregnancy or measures
to reduce the likelihood of transmitting HIV to the
baby;

Plan lifestyle changes: Those who find out they

are HIV-positive can make the healthy changes


needed to extend their life and improve their
quality of living. This can be done through
lifestyle changes such as healthier eating, having
a structured life with enough rest, and lowering
alcohol consumption; and

HIV transmission is preventable;


Most potential sexual relationships during a

mission are either prohibited or extremely


discouraged. Following regulations will not only
prevent against sexual exploitation and abuse
(SEA) but also against the spread of HIV;

One can protect him or herself from getting HIV


through abstinence, being faithful, and using a
condom during sexual relations;

A person and their partner should get tested to


determine HIV status in order to protect each
other and to take appropriate action;

Anyone can become infected with HIV. Respect


persons who are living with HIV and AIDS; and

Preventive measures are not only important

for protecting oneself and others but also they


are critical to protecting the legitimacy of the
peacekeeping mission.

Make appropriate medical considerations:

It is also important to consider treatment or


prevention of the many kinds of opportunistic
infections that can occur due to a weakened
immune system. There is no vaccine or cure for
HIV or AIDS, but antiretroviral drug treatment, if
appropriately followed, can allow those who are
HIV-positive to slow the progression of AIDS.

Remember that anyone can become infected


with the virus. Very often the psychological and
social consequences of HIV infection that result
from stigma, social disgrace, and exclusion can
be as severe as or worse than the physical health
impact. UN personnel are mandated to ensure
that the rights to confidentiality, equality, and
non-stigmatization of persons living with HIV are
fully respected.

Summary
This lesson discussed ways to protect against
HIV, for the sake of peacekeepers and others,
including the host population, during peacekeeping
operations. The key points to remember are as
follows:

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End-of-Lesson Quiz
1. Past misconduct in some UN peacekeeping
operations has led to accusations of
personnel:

6. Why does the UN strongly discourage


sexual relationships between peacekeeping
personnel and the local population?

A. Carrying the AIDS virus.


B. Spreading HIV in host countries.
C. Spreading HIV to other UN peacekeepers.

7. The only way to know whether one has HIV


is to:

D. Receiving medical attention for HIV.

A. Use a condom.

2. The Security Council and the UN Secretary


General require that all UN personnel are
regularly:

C. Have an HIV test performed by a legitimate


volunteer, clinician, or medical personnel.

B. Talk to a counsellor about HIV and AIDS.

D. Ask ones partner.

A. Speaking with a counsellor.


B. Making healthy changes to their lives.
C. Tested for HIV.
D. Educated on prevention of HIV transmission.

3. HIV enters the body and begins to weaken


the:
A. Immune system.
B. AIDS virus.
C. Senses.
D. Blood count.

4. Which of the following can spread HIV?


A. Getting bit by a mosquito carrying HIV.
B. Swimming in a pool with someone who is
HIV-positive.
C. Kissing someone who is HIV-positive.
D. Sharing a syringe or needle.

5. Which of the following is not a method of


HIV prevention?
A. Abstinence.
B. Being faithful to one partner if that partner is not
infected and is also sexually exclusive.
C. Using condoms during sexual activity.
D. Disrespecting individuals who have tested
positive for HIV.

8. Antiretroviral drug treatment, if


appropriately followed, can:
A. Allow those who are HIV-positive to slow the
progression of AIDS.
B. Provide a cure for AIDS.
C. Avoid putting loved ones and sex partners at risk
of HIV infection.
D. Prevent one from contracting HIV.

9. Taking preventive measures is:


A. Slightly helpful in protecting oneself against HIV
and AIDS.
B. Not necessary.
C. Critical to protecting the legitimacy of the
peacekeeping mission.
D. A personal decision of each peacekeeper and is
of no concern to the UN.

ANSWER KEY
1B, 2D, 3A, 4D, 5D,
6. The UN strongly discourages sexual relationships
between peacekeeping personnel and the local
population. The local population is a beneficiary
of the missions assistance and therefore a
relationship between mission personnel and a
local will be unbalanced in terms of power.
7C, 8A, 9C.

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UNIT IV

STANDARDS, VALUES, AND SAFETY OF UN


PEACEKEEPING PERSONNEL
Provided By Kofi Annan International Peacekeeping Training Center (KAIPTC):

PART 3: RESPECT FOR DIVERSITY


LESSON 5: INTRODUCTION TO RESPECT FOR DIVERSITY
5.1 What is Diversity?
5.2 UN Core Values on Respect for Diversity
5.3 Common Differences and Practicing Respect
Lesson 5 Quiz

LESSON 5
INTRODUCTION TO RESPECT FOR
DIVERSITY

LESSON
5

LESSON OBJECTIVES
5.1 What is Diversity?
5.2 UN Core Values on
Respect for Diversity
5.3 Common Differences
and Practicing
Respect

The aim of this lesson is to increase awareness of all kinds of diversity


that may be encountered in a peacekeeping mission, including cultural
diversity. The intention is to reduce the possibilities of misunderstandings
while enhancing opportunities for clear and positive communications
among diverse individuals and groups. By the end of Lesson 5, the
student should be able to meet the following objectives:

Explain what is meant by diversity;


Describe how cultural differences and different kinds of diversity might
be evident in the mission environment and in the host country;

Describe what is required in order to respect diversity in relation to

working effectively in a multicultural peacekeeping environment; and

Describe strategies for enhancing communications.

Introduction
The organizational core values of the United Nations are integrity,
professionalism, and respect for diversity. This lesson will emphasize the
final value of the three: respect for diversity. To illustrate the importance
of this, be aware that a peacekeeping operation involves peacekeepers
from many backgrounds working in a very mixed institution, both culturally
and institutionally military, civilian, and police. Its success also requires
respect for the local population, which will have its own cultural norms
and traditions. The missions ability to function well and to work effectively
with the host country depends on each peacekeepers ability to maintain
respectful relationships and communicate effectively with others. Being

aware of the diverse backgrounds and being


sensitive to different ways of doing things will help
peacekeepers make informed and responsible
choices in all aspects of their work.

The middle ring of elements (in the yellow ring)


reflects our personal circumstances and the
individual choices we make, such as geographic
location, work style, educational background, etc.

5.1 What is Diversity?

The outer ring represents the organizational


aspects of diversity. These include things such
as our field of work, how long weve been in the
organization, and the part of the organization
where we work. Other aspects are classification
levels and staff or management status. In
some organizations, union affiliation is also a
consideration. These organizational aspects often
do not immediately come to mind when thinking of
diversity, however they can make a big difference in
how we relate to one another, particularly in a work
environment such as a peacekeeping mission. As
discussed in Unit II, though all components of UN
peacekeeping operations work under the same
mandate, report to the same Head of Mission,
share a single budget, and depend on the same
integrated support services, there are significant
differences across the mission. These include
national, institutional, and professional differences,
both within the components and between them.

In its simplest definition, diversity means variety.


It refers to things that are different from each other.
When we speak about diversity in a human context,
we are talking about differences such as of ethnic
backgrounds, race, professional backgrounds,
religious or political beliefs, and much more.
The graphic below shows a way of looking at the
many layers and elements of diversity.
The innermost core in the diagram shows our
personality, the part that distinguishes us from
everyone else.
The first inner ring (shown in the darker blue)
consists of things we cannot change about
ourselves, such as age, race, and physical ability.

UN Pre-Deployment Training (PDT) Standards. Core PDT Materials 1st Ed. 2009.

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Cultivating an awareness of diversity


An iceberg is a very large piece of ice that is
floating in the ocean. Only a small fraction of the
iceberg can be seen above the waterline and the
rest is not easily visible. The part of the iceberg that
is under the water is invisible and has an unknown
shape. While the iceberg is beautiful, it is also
potentially dangerous to boats navigating in those
waters. They might run into the submerged part of
the iceberg due to their lack of awareness.
Diversity is like an iceberg in that way. There are
some things we easily notice about people traits
above the waterline and there are other parts
that are less obvious, or below the surface. Our
lack of awareness of the less obvious differences
can sometimes lead to misunderstandings and
even conflict. In this context, we need to explore
which aspects of diversity are easily noticeable and
which are less obvious. The image to the right lists
some possibly obvious and less obvious aspects.
Our cultural background, life experiences, and
personal preferences colour everything we see
and do. It is not possible to totally put these
things aside during our interactions with others.
However, cultivating self-awareness of our own
background and how we perceive things will help
us better understand how our own interpretations of
situations and events may differ from those of other
individuals. Being aware of our own perspective
allows us to consider the possibility that there may
be other ways of seeing a situation. This in turn
gives us an opportunity to make conscious choices.
As human beings, we have a tendency to make
assumptions about groups of people or diversities
that we do not know much about. Assumptions and
generalizations can lead to stereotypes which in
turn can lead to prejudices.
Stereotypes are generalizations applied to all
people of a certain type. For example, all tall
people are confident and all people with glasses
are smart. Stereotypes are not necessarily positive
or negative, however, they can create negative
impacts.

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Diversity is like an Iceberg

What you sense at


the surface (explicit,
conscious, and
obvious traits):

Traits hidden
underneath the
surface (less
obvious or tangible,
such as beliefs,
values, attitudes,
thoughts, and
stories):

Race, ethnicity,
language, dialect,
hair, skin, and eye
color, sex, age,
size, physical ability,
clothing, uniform, job
title, food, art, dance,
music, literature, and
education level
Concept of time, work ethic,
religion, beliefs, definition
of sin, organizational
attitudes and practices,
concept of justice, courtship
practices, meanings of
clothing or dress, concept
of cleanliness, theories on
illness or disease, concept
of past and future, attitude
toward new things, reaction
to change, relationship
with authority, patterns of
superior v. subordinate
behaviour, family roles, roles
of men and women, and
much more

Provided by Kofi Annan International Peacekeeping Training Center

Prejudices are judgments or opinions that are


formed without real knowledge or examination of
fact. Prejudices are generally negative. Examples
of prejudices in action are hiring practices that
exclude people because of their age, race, or
sex. This kind of practice is based on a prejudice
that someone will not be able to do a good job
because they may possess certain attributes. We
start a cycle of prejudice when we start to judge
other cultures by our own set of standards as our
means of defining the world around us. Prejudice
is often based on imperfect information and is
normally filtered through our own background
and experiences. Ignorance or unwillingness
to learn can result in unintentional conflict or
misunderstanding.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

When working in a culturally diverse environment


such as a peacekeeping operation, one must be
able to question their own beliefs and expectations
in order to avoid stereotyping, forming prejudices
against others, and acting from within a closed
or negative mind-set. For example, people may
sometimes make assumptions that all people
in the military are a certain way. However, the
reality is that the military itself is made up of
many different professions and organizational
cultures. Additionally, professional cultures might
vary considerably from country to country. This
might manifest in different ways, such as attitudes
to authority and hierarchy. It might be perfectly
acceptable in one country for someone in the
military to question a superiors decision but
unthinkable in another country. This is an example
of how there are always many factors at play in
every context and how stereotypes generally are
not accurate when truly examined and can cause
serious misunderstandings that get in the way of a
good working environment.

5.3 Common Differences and Practicing


Respect
The following sections illustrate some of the
most striking differences that new peacekeeping
personnel might encounter in mission and some
ideas on how to demonstrate respect.
Attitudes regarding authority and management
As mentioned previously, one is likely to encounter
different ways that people relate to authority and
management positions. At one extreme, a person
may seem to be acting subserviently and at the
other end of the spectrum, a person may seem
disrespectful. Remember that the difference
may be cultural. Take time to understand what is
happening. It may be that the person comes from a
national or professional culture where:

One should never disagree with a superior;


One should always air their opinions, even if they
are in direct disagreement with a superior;

5.2 UN Core Values on Respect for


Diversity
The United Nations core organization values
identify several ways that respect for diversity can
be practiced.1 These outline that peacekeeping
personnel will:

Work effectively with people from all


backgrounds;

Treat all people with dignity and respect;


Treat men and women equally;
Show respect for and understanding of

diverse points of view and demonstrate this


understanding in daily work and decisionmaking;

Examine ones own biases and behaviours to


avoid stereotypical responses; and

Not discriminate against any individual or group.

1 UN Peacekeeping PDT Standards, Core


Pre-Deployment Training Materials, 1st ed. (2009)
(CPTM) Unit 4 Part 3.

Opinions and ideas should not be shared openly;


and

Deals are made outside of public meetings.


Consider the implications of those ways of seeing
the world. Try to understand what is motivating
the other person. Ask advice if necessary from
trusted colleagues on how to approach problematic
situations.
Be clear and respectful in your communications
and expectations. The reality is that a
peacekeeping mission is a hierarchical
structure and there are certain protocols in how
communications work.
Body language and gestures
Body language communicates many things that you
do not actually say. It is commonly believed that
only seven percent of communication is transmitted
by actual words. The rest is our tone of voice and
body language.
Consider that gestures have different meanings
in different cultures and you have a situation that

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is full of possibilities for misunderstanding. For


example, a thumbs-up gesture in some countries is
a sign that things are going well. In other countries,
it is considered a rude gesture. A polite handshake
is accepted in many cultures but this kind of
physical contact is not welcomed everywhere.
Also, in some cultures it is acceptable for men to
shake hands with men but not with women. Men
commonly walk hand in hand in many cultures,
and women do likewise, indicating that they are
friends and trust one another. In other countries,
however, men who touch each other in public may
be believed to be exhibiting physical attraction to
one another.
The key is to find out what is culturally acceptable
in the host country and with ones colleagues
cultures and practice respect and tolerance. Take
time to observe and get acquainted with what is
culturally appropriate. Ask colleagues for advice as
needed.
Religion
Peacekeepers must be aware of the religious
beliefs and customs in the mission area. A variety
of religions can be found among local people and
among other peacekeepers as well. Please respect
all religions including religious artefacts and places
of worship.
Family and roles
Family ties are a key to a culture. Elders are greatly
respected in many societies. As a rule, one will
never go wrong by paying respect to elders. It is
also important to understand the kinds of family
ties in the local population. The expectations
and responsibilities may be very different than
where another person comes from. Take time to
understand the local roles and traditions for men
and women in the host country. These can vary
greatly in different areas.
Remember, respect for local customs and traditions
will reflect on the entire peacekeeping operation.
If a peacekeeper needs specific information in
order to be able to do their work, they can talk to
the Gender Advisor or Gender Focal Point in the
mission.

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Specific issues relating to women, peace, and


security are covered in Unit III.
Dress code
Dress codes can vary greatly between cultures
based on prevailing customs, climates, and
religious traditions. Being sensitive and adapting
to local clothing norms and concepts of modesty
when in public can go a long way in demonstrating
respect and connecting with the host community.
Concepts of time
There are many different perspectives on time
and how to manage it, and some of these may be
reflected in cultural norms. However, it is important
not to make assumptions or generalize on this
point. Some people think time is money while
others have a more flexible perspective and may
take what might seem like a long time to complete
a task. There may be a high value placed on social
interaction as part of the overall process of doing
business. Misunderstandings and hard feelings
can occur when a viewpoint is imposed as the
so-called correct way to operate. Being on time
is relative in different contexts. The military has its
own understanding of punctuality, which may differ
greatly from civilian practices or what the local
community does. Being late can have different
meanings culturally and should not necessarily be
taken as disrespect or lack of consideration. Try
to reserve judgment about the meaning behind
different attitudes and practices regarding time.
The Cross-cultural Communication Process
Language is culture-specific. Cultural undertones
always exist in a persons choice of words.
Communication involves both speaking and
hearing. When a message is spoken (original
intention), we are using the language and idioms of
our own culture. Our message is also embedded
with our cultural norms and values.
The listeners hear our message through their own
filter of language, use of idioms, norms, and values.
The message they receive may not be the same
as the one we have intended to send. It is going
through the receivers own filters and results in their
own understanding.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

The Cross-cultural Communication Process

CULTURE A
Communication Strategies

UN Pre-Deployment Training (PDT) Standards. Core PDT Materials 1st Ed. 2009.

To aid communication, use commonly used

words and check if the message has been


understood whenever possible. Avoid idioms and
slang as much as possible;

To verify ones own understanding, rephrase

what you have heard back to the speaker. If an


individual does not understand something, ask
the person to repeat or rephrase their statement;

Allow time for people to speak and give

opportunities to those who are speaking less;

Communicating across cultures can be

challenging. Practice patience and demonstrate


it in voice and body language as well; and

Be aware that humour is not cross-cultural and

may not translate with the meaning that you


intend. It may even cause confusion or offense.
Be careful with the use of humour.

Learning from others


The greatest cultural resources are local
colleagues. Like the beneficiaries of the
peacekeeping operation, they have witnessed and
experienced a lot during conflict. Be empathetic,
but take advantage of their local knowledge to
gain an insiders perspective. Create an office
atmosphere where national personnel are
encouraged to review programs through a cultural

lens. Ask national personnel what outsiders


most often misunderstand and mistakes that are
commonly made, then work to demonstrate respect
and understanding. Find out if there are local
gatherings or cultural events that can be attended
to learn more and make connections. Working with
international colleagues from all over the world in a
mission also brings a richness of perspectives and
ideas to work, including the experience of those
who have worked in other missions with different
cultures. These people are another potential source
of assistance and guidance.2

Summary
In this lesson, we explored ways of practicing
respect for diversity. Peacekeeping personnel
must be aware of the diversity of cultures around
them and sensitive to areas of commonality and
difference. Respect for diversity is a core value of
the United Nations system and specific strategies
have been outlined for practicing respect.
We all have cultural filters. We can exercise
awareness of our own views and biases.
Our language and cultural norms can affect
communication. It is important to ensure
understanding in both directions.
2 DPKO Standardized Generic Training Modules.
Integrated Training Service.

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End-of-Lesson Quiz
1. What do we mean when we talk about
diversity in this context?

6. How can respect for diversity be practiced?

A. Differences in ethnicity, race, professional


backgrounds, religion, and political beliefs.

B. By using biases not to avoid stereotypical


responses.

B. Common culture, knowledge, and religion.

A. By treating men and women differently.

C. Differences in ambition.

C. By not discriminating against any individual or


group.

D. Same colour of skin.

D. By treating rich people with dignity and respect.

2. What kinds of diversities and cultural


differences might you experience in a
peacekeeping mission and the host country?

7. To aid communication:

A. Race, ethnicity, language, sex, and religion.


B. Geographic location, work style, and educational
background.
C. Marital status, parental status, and appearance.
D. All of the above.

A. Use humour whenever possible.


B. Do not use body language.
C. Speak very loudly.
D. Avoid idioms and slang.

8. The greatest cultural resources are:


A. Host governments.

3. Diversity is like an iceberg, because:


A. It is very large.

B. Local colleagues.
C. International peacekeepers.
D. Armed forces.

B. It is unpredictable.
C. It is not well understood.
D. Only a small fraction of the iceberg can be seen,
and the rest is not easily visible.

4. Assumptions and generalizations can lead to


stereotypes which in turn can lead to:

9. Respect for diversity is a core value of:


A. The United Nations system.
B. The host countrys government.
C. World leaders.
D. The local population.

A. Understanding.
B. Prejudices.
C. Harmony.
D. Armed conflict.

5. _________ generally are not accurate when


truly examined and can cause serious
misunderstandings.
A. Opinions
B. Dimensions of diversity
C. Stereotypes
D. Cultural differences

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ANSWER KEY
1A, 2D, 3D, 4B, 5C, 6C, 7D, 8B, 9A

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UNIT IV

STANDARDS, VALUES, AND SAFETY OF UN


PEACEKEEPING PERSONNEL
PART 4: SECURITY AND SAFETY IN
UN PEACEKEEPING OPERATIONS
Provided By Kofi Annan International Peacekeeping Training Center (KAIPTC):
LESSON 6: SECURITY MANAGEMENT
6.1: Legal Basis 6.2: Peacekeeping Security Management
6.3: The Security Level System 6.4: Role of Military and Civilian Police
Lesson 6 Quiz
LESSON 7: SAFETY MANAGEMENT
7.1: Key Aspects of Safety 7.2: Road Safety 7.3: DPKO Safety Council
Lesson 7 Quiz
Provided By German Armed Forces United Nations Training Centre (GEUNTC):
LESSON 8: HEALTH
8.1: Food and Personal Hygiene
8.2: Access to Health Information Prior to Deployment Lesson 8 Quiz
LESSON 9: FIRST AID
9.1: Safety Fundamentals 9.2: Basis for Successful First Aid
9.3: Sustainment Phase Lesson 9 Quiz
LESSON 10: STRESS MANAGEMENT
10.1: What is Stress and Stress Management? 10.2: Types of Stress
10.3: Preparing for Stress Lesson 10 Quiz

LESSON 6
SECURITY MANAGEMENT

LESSON
6

LESSON OBJECTIVES
6.1: Legal Basis
6.2: Peacekeeping Security
Management

The aim of this lesson is to inform peacekeeping personnel about the


procedures and systems that maintain security during a mission, as well
as the role of each component in security maintenance. By the end of
Lesson 6, the student should be able to meet the following objectives:

6.3: The Security Level


System

Know the structures and functions of the UN Security Management

6.4: Role of Military and


Civilian Police

Know the roles of the Designated Official (DO) and Chief Security

System (UNSMS);
Officer; and

Understand common security threats and how they can be addressed.

Introduction
Peacekeeping personnel are exposed to a variety of risks and
occupational hazards in their fieldwork. During the 1990s, almost 900 men
and women lost their lives while on UN peacekeeping assignments and
many more suffered injuries, trauma, and disease. The Under-SecretaryGeneral for Peacekeeping Operations is responsible for the security
and safety of all peacekeeping personnel deployed in the field. On his
or her behalf, DPKO, in close cooperation with the Office of the United
Nations Security Coordinator (UNSECOORD), works to minimize the risks
faced by mission personnel through security and safety management
procedures. In UN terminology, references to safety and security
are sometimes used interchangeably. DPKO, however, draws a clear
distinction between security issues, defined as external threats ranging
from military assault to petty crime, and safety concerns, which are the

occupational hazards of any field deployment and


include the handling of unfamiliar equipment or
exposure to tropical diseases. The distinction is
important because of the different responsibilities
and mechanisms involved to ensure prevention,
protection, and enforcement.
The United Nations Security Management
System (UNSMS) prescribes UN system-wide
arrangements for the protection of UN civilian
personnel and property, as well as individually
deployed UN Police (UNPOL), staff officers, and
military experts on mission (military observers,
military liaison officers, arms monitors, etc.). It
does not cover military contingents or Formed
Police Units (FPUs) deployed to UN peacekeeping
operations, which are responsible for their own
security. Therefore, security training sessions in
pre-deployment training need to be tailored to
the different types of personnel participating in
the training. In addition to providing training on
security as outlined below, participants should also
be aware that civilians and individually deployed
military and police personnel are required to have
security clearance for travel to their mission.
Peacekeeping Training Centres (and/or the relevant
national institution which organizes the travel for
individually deployed military and police officers)
should ensure that all personnel have security
clearance prior to their travel to mission and should
request such clearance from their UN counterpart.
Civilians must complete Basic Security in the
Field (BSITF) prior to their travel to the mission.
Wherever possible, all individually deployed military
and police personnel should also complete both
the BSITF online training course as well as the
Advanced Security in the Field (ASITF) prior to
their deployment. If individually deployed police or
military personnel do not have access to computer
facilities, they must complete the B/ASITF courses
upon arrival. All personnel who have completed
Basic/Advanced Security in the Field (B/ASITF)
must always keep a copy of their certificate. They
will be asked to present it to the administration
once they arrive in mission, and may also be asked
to present the certificate at other times during
deployment. Instructors may choose to supplement
the B/ASITF training with any additional
mission-specific information or existing relevant

training. For example, the instructors of persons


deploying to missions with landmine threats
may choose to incorporate the United Nations
Mine Action Service (UNMAS) online Landmine
Awareness Training that can be downloaded from
the Trainers Toolbox at: <http://peacekeepingresourcehub.unlb.org>. If state governments have
additional security training requirements, these
should be incorporated into the pre-deployment
training in addition to the minimum UN security
training standards outlined here.

6.1 Legal Basis


The primary responsibility for the security and
protection of UN staff members, their spouses,
dependants, property, and the property of the
organization, rests with the host government.
Every government is responsible for protecting
persons and property while maintaining order
within its jurisdiction. A government hosting a UN
body or entity, including a peacekeeping operation,
is responsible for protecting UN personnel
and property, and both the UN and the host
government are party to an agreement detailing
this responsibility. For peacekeeping operations,
these provisions are laid out in the Status of
Forces Agreement (SOFA) or the Status of Mission
Agreement (SOMA).1
Host governments have not always been able to
fulfil their responsibility to protect UN personnel
and property for a variety of reasons. Faced with
a significant increase in casualties among UN
personnel in the early 1990s, Member States
started discussing proposals for a legal response
to the lack of adequate protection. This led to the
General Assemblys adoption of the Convention
on the Safety of United Nations and Associated
Personnel on 9 December 1994.

1 Safety and Security in UN Peacekeeping, Core


Pre-Deployment Training Materials, 1st ed. (2009)
(CPTM) Unit 4 Part 2.

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The Convention covers two aspects:

The fundamental obligations of States and of the


UN and associated personnel; and

A mechanism to ensure that those who have

attacked UN personnel are brought to justice


through prosecution or extradition.

The scope of the Convention extends to persons


engaged or deployed by the Secretary-General
of the United Nations as members of the military,
police, or civilian components of a United Nations
operation; and other officials and experts on
mission of the United Nations or its specialized
agencies who are present in an official capacity in
the area where a United Nations operation is being
conducted.
Because Member States were slow to accede, the
Convention entered into force on 15 January 1999,
despite its earlier adoption in 1994. By the end of
2001, only one-third of the UN Member States had
opted to sign the Convention, many of them troop
contributors to the UN.
The international track record on arrests for
the assault or murder of UN personnel remains
appalling. Between 1992 and 2001, only three
perpetrators were brought to justice for the murder
of peacekeeping personnel. It is too early to tell
whether the Convention will have any protective
effect in the longer term, but the UN must, for the
time being, continue to take all possible measures
to provide for the security of its personnel
independently.

6.2 Peacekeeping Security Management


In 1980, the UN established guidelines and
procedures for security management, which
were codified in the United Nations Field Security
Handbook. In 1988, the Office of the United
Nations Security Coordinator (UNSECOORD) was
established to support security arrangements for
field-based personnel of specialized UN agencies,
funds, programmes, and UN field offices. When
it came to peacekeeping operations however,
the general perception was that peacekeepers
were mostly military personnel, and therefore
were expected to be equipped with the means

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to defend themselves. This perception changed


during the 1990s with the rise of multidimensional
peacekeeping operations that included large
numbers of civilians and unarmed civilian police
personnel deployed alongside the military
component with separate operational tasks.
With the start of efforts to provide adequate
protection for all peacekeeping personnel came
the realization that peacekeeping missions could
not be easily incorporated into the UN security
management system. The UN Legal Counsel
stated in 1993 that the arrangements provided
for in the Field Security Handbook, which is
oriented towards civilian personnel engaged in
normal peace-time activity, cannot accommodate
peacekeeping operations, which have special
mandates and are often deployed in situations
where other activities have to be suspended.
Because the Security Council decides which
conflicts require peacekeepers and tailors the
mandate of a peacekeeping operation to the
situation, the basis for deployment is quite different
from that of other UN agencies. Because of these
special mandates, paragraph 13 of the Field
Security Handbook stipulates that with respect to
United Nations peacekeeping operations, military
and civilian personnel are under the exclusive
jurisdiction of the Special Representative of the
Secretary-General and/or Force Commander
or Chief of Staff, as applicable. Moreover,
while UNSECOORD is clearly the focal point
for security management, it does not have the
authority to address one of the main challenges
of peacekeeping security management, namely,
the integration of security planning for military,
civilian police, and civilian personnel. Since dividing
responsibility for the security of personnel would
compromise the chain of command within the
mission, all personnel remain under the jurisdiction
of the Head of Mission. Thus, DPKO bears a
special responsibility for managing the security
requirements of its operations.
Peacekeeping and the UN Security
Management System
While the full integration of peacekeeping missions
into the UN security management system is

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difficult, DPKO and UNSECOORD work very


closely together at Headquarters and in the field.
Such cooperation is vital for security of personnel
and for technical and political reasons. The UN
system must speak with one voice on security
matters, especially when it comes to assessing and
managing threats to its personnel or property.
In 1994, the General Assembly approved the
first post in UNSECOORD to provide support
to peacekeeping operations. In 2001 and 2002,
three additional security coordination officers
were approved for UNSECOORD to backstop
peacekeeping missions. Over the years, there have
been many improvements in promoting the security
of mission personnel. Specifically, UNSECOORD
provides technical expertise and support in the
following areas:

Providing advice and guidance on the security


and protection of UN personnel at every duty
station;

Providing security advice to Headquarters and


the field;

Conducting security assessment missions;


Assisting with mission start-up;
Managing hostage incidents;
Training Designated Officials, Security

Management Teams, officers, area security


coordinators, and wardens;

Training in security awareness for peacekeeping


personnel;

Screening security officer candidates;


Reviewing mission security plans;
Providing insurance coverage against malicious
acts; and

Providing support for stress management.


In the field, the security system in peacekeeping
operations is closely associated with the
mechanisms established by UNSECOORD under
the provisions of the Field Security Handbook.
The system is based on the Secretary-Generals
appointment of a Designated Official (DO), who
is responsible for the security and protection
of UN personnel at every duty station. The

United Nations Organization Mission in the Democratic Republic of the


Congo (MONUC) peacekeepers provide security at the trial of those
accused in the killing of the MILOBS in Mongwalu on 13 May 2003. (UN
Photo #139411 by Martine Perret, 19 February 2007)

Designated Official establishes and chairs a


Security Management Team (SMT) composed of
all heads of UN agencies, the field security officer,
medical staff, and other personnel, as appropriate,
to conduct collective security assessments and
develop coordinated contingency plans. The SMT
also recommends security phases applicable to
agency personnel and their dependants, as well as
the dependants of civilian peacekeeping personnel
(dependants of military and police personnel are
not included in these arrangements). The security
phase determines the type of restrictions imposed
on operational activities in the country as well as
the relocation/evacuation of personnel.
In places where peacekeeping operations are
deployed, the Head of Mission may be appointed
as the Designated Official for the mission area and
is therefore responsible not only for the security
of mission personnel but also for UN agency
personnel and their authorized dependants. In
this capacity, he/she has two distinct reporting
lines. On matters concerning the security of
peacekeeping personnel, he/she continues
to report to the Under-Secretary-General for
Peacekeeping Operations, and on matters
pertaining to the security of agency personnel, he/
she reports to the UN security coordinator. Under
this arrangement, the resident coordinator may
be appointed as the Deputy-Designated Official.

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Even when the Designated Official function is


fulfilled by another senior UN official, the Head
of Mission is always a member of the SMT at
the duty station and consults closely with all UN
colleagues on security-related issues. A mutual
and comprehensive exchange of information on
all developments with security implications is
critical to effective cooperation and coordinated
action. Some missions provide agency personnel
with unrestricted access to their joint operations
Centres, which has proven to be a useful means to
encourage an open flow of information.
Current Security Arrangements
In the initial stages of operational planning,
UNSECOORD advises DPKO on the security
arrangements needed for civilian staff, especially
on the creation of a dedicated security section,
depending on the operational requirements of the
mission and the threat it faces. All multidimensional
operations have a Chief Security Officer who is the
principal adviser to the Head of Mission on issues
affecting the security of mission personnel. He/she
should have direct access to the Head of Mission at
all times.
In addition to overseeing the preparation of
the security plan, the Chief Security Officers
responsibilities include:

Coordinating security arrangements with all

UN and external partners as well as the local


authorities;

Conducting assessments of the general security


situation, office, and residential security and
investigations;

Ensuring that an emergency communications


network is in place; and

Managing the guard force that protects mission


premises if no contingent is provided for that
purpose.

The security plan is the primary management tool


for security preparedness at any duty station. It
details individual responsibilities as well as the
security measures for emergency situations such
as military confrontations, internal disorder, and
natural disasters. It also provides instructions

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on emergency communications and supplies,


coordination and concentration points, and how to
reach safe havens. All mission personnel should
understand their role in the security plan, which
is developed by the Chief Security Officer. The
security plans for missions and UN agencies
should be coordinated and harmonized as much as
possible through the SMT, especially concerning
use of communications equipment and evacuation
assets.
To facilitate the coordination of security
arrangements, the Chief Security Officer appoints,
on behalf of the Head of Mission, a number of
wardens and deputy wardens, each of whom
ensures the implementation of the security plan in
a specified geographical zone. Wardens function
as a channel of communication between the Chief
Security Officer and the staff members, monitor
compliance with precautionary measures, and
stay informed of the location of staff members
residences in their zone in case of an evacuation.
In large missions, area security coordinators
may be appointed to coordinate and oversee the
security arrangements in a particular region and to
prepare an area-specific security plan. More details
on these arrangements are contained in the Field
Security Handbook and are discussed during a
new staff members orientation with the missions
security section. UNSECOORD has also issued a
document, Security in the Field, which is available
to all staff members and contains practical
measures that can minimize risks at the duty
station, including how staff can protect themselves
and their homes, and how to react in extreme
circumstances. Periodic security awareness
training is also provided by UNSECOORD at the
duty station; when courses are scheduled, civilian
staff participation is mandatory. In addition to
security training, staff must have access to stress
counselling to help them cope with the day-to-day
anxieties of being in an unfamiliar environment
or with trauma suffered as the result of a security
incident. A number of missions have a stress
counsellor on staff or provide access to counsellors
from another organization. All mission personnel
are encouraged to use these services.

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6.3 The Security Level System


The Security Level System (SLS) is a rubric
for rating the threat level of areas where the
United Nations operates in order to identify
the procedure for preparing to respond
to danger in that area. The Security
Level System is a tool for UN security
professionals to appropriately measure and
provide an overall impression to staff and
managers of how the security environment
in one area or location compares with
another.
It is applicable to all individuals covered by
the United Nations Security Management
System, as defined in Chapter III of the
Security Policy Manual, Applicability of
Security Arrangements.
The SLS is based on threat and not
risk, which is determined later. The SLS
describes the general, threat-based
security environment. Because security
measures must be designed to solve
specific security problems, the SLS is not
used to make specific security decisions.
The SLS objectively describes the threat
environment and uses this objective
evaluation to inform the Security Risk
Assessment, which then makes the actual
security decisions.2
The Security Level indicates the level
of danger that exists in the defined area
or location, rated on a scale between 1
(least dangerous environment) to 6 (most
dangerous environment), and determined
using a Structured Threat Assessment. The
Structured Threat Assessment evaluates
five categories: Armed Conflict, Terrorism,
Crime, Civil Unrest, and Hazards. Each
category is evaluated using a point system,
and the combination of these separate
evaluations determines the Security
Level. To be reliable, a Structured Threat
Assessment must have a clearly defined

Security Level Systems Overview


Security Level and Recommended
Management Actions

Authority and
Level of Oversight

(6) Extreme

SMT meets at least weekly (at DO discretion)

Secretary-General
(as delegated)

Re-evaluation of staffing needs and security


clearances based on the Acceptable Risk
Model and the new concept of operations
and security plan

External Security Clearance approved by


USG/DSS
(5) High

SMT meets at least weekly (at DO discretion) DO


Re-evaluation of staffing needs and security

USG/DSS (Validation
within seven days)

clearances based on the Acceptable Risk


Model (Staff in non-critical posts relocated/
evacuated)

Security Clearance required


(4) Substantial

SMT meets at least weekly (at DO discretion) DO


Re-evaluation of staffing needs and security

USG/DSS (Validation
within seven days)

clearances based on the Acceptable Risk


Model (Staff in non-critical posts relocated/
evacuated)

No external conferences
(3) Moderate

SMT meets at least monthly


DO must authorize external conferences

DO
Director DRO DSS
(Validation within
seven days)

DO
Director DRO DSS
SMT meets at least twice a year
(Validation within
External conference organizer must notify DO seven days)
(2) Low

(1) Minimal

SMT meets at least twice a year


TRIP entry for all official travel

2 UNSMS Security Policy Manual Chapter IV:


Security Management. Security Level System
(SLS) Interim Policy.

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DO
Director DRO DSS
DO: Designated
Official
DSS: Department of
Safety and Security
DRO: Division of
Regional Operations

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geographical area of analysis. It is rare for threats


and hazards to be the same throughout an entire
country, therefore most countries require more
than one Security Level Area. The Structured
Threat Assessment is updated any time there is
a significant change in the security environment,
whether the situation has improved or worsened.
The SLS provides security decision-makers
with a very important snapshot of the existing
threat-based environment in the defined area or
location where they need to operate. All Structured
Threat Assessments are conducted in the same
way, so security decision-makers have the
advantage of being able to compare their locations
with other locations in the world.
Roles and Responsibilities in the Security
Level System
All Security Advisers, Chief Security Advisers,
and Chief Security Officers are responsible for
preparing the Structured Threat Assessment
along with the Security Cell, using all applicable
threat-related information. The DO approves
Security Levels 1 through 5. The SecretaryGeneral, through the Under-Secretary-General
for Safety and Security, approves Level 6. Upon
approval, the Security Level is recorded in the
DSS database and automatically included in the
DSS Travel Advisory. The SLS must be a standing
agenda item for all SMT meetings, where the
Designated Official, in consultation with the SMT,
either confirms the Structured Threat Assessment
as it stands, or approves any changes to it due
to changes in the security environment. The
Headquarters of the Department of Safety and
Security is responsible for validating all Structured
Threat Assessments and resulting Security Levels.
Training Requirements
Requirements for Basic Security in the Field
(BSITF) and Advanced Security in the Field
(ASITF) are not linked to Security Levels and
all United Nations personnel must successfully
complete BSITF training. Following the revision
of the BSITF training, it will be renamed Security
for United Nations Personnel3. At that time, all
references to BSITF training will be replaced with
3 Ibid.

Security for United Nations Personnel Training.


Personnel being assigned to or visiting on official
travel to any field location, regardless of Security
Level, must successfully complete ASITF training.
As noted in the section of the Security Policy
Manual entitled Security Training, BSITF and
ASITF certificates are valid for three years, after
which staff members must recertify.
Security Clearance
Security clearance is required for all official travel
to any location regardless of the Security Level.
In order for the Designated Official and Security
Management Team to be aware of who is at
the duty station at any given time, all travel to
the duty station in any declared security phase
requires clearance from the DOl. The DO has the
delegated authority to grant security clearances for
official travel to areas designated Security Levels
1 through 5. The Under-Secretary-General for
Safety and Security may rescind this delegation as
required. Security clearance authority for areas in
which Security Level 6 is in effect is not delegated
and can be granted solely by the Under-SecretaryGeneral for Safety and Security on behalf of the
Secretary-General. As explained in detail in the
Policy Manual, Security Clearance Policy and
the Travel Request Information Process, (TRIP)
allows for both automatic and manual processes
for granting security clearances. If the security plan
for a certain location requires security clearance
only to track traveller numbers and movement,
then Designated Officials have the option of
setting automatic clearances in TRIP. When the
security plan requires control over the number of
travellers in a specific location, Designated Officials
can set the TRIP system so that all official travel
into a specific area has to be cleared manually.
Manual security clearance procedures can be
established at any location in any Security Level if
the Designated Official requires it, and it is highly
recommended that all areas in Security Level 4 or
higher use manual security clearance procedures.4
Relocation and Evacuation
The SLS does not deal with evacuation and
relocation of staff or eligible family members.
4 Ibid.

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This issue is categorized as a risk management


option and is considered after the Security Risk
Assessment has been conducted. See the Security
Policy Manual chapter entitled United Nations
Security Risk Management: Measures to Avoid
Risk for the procedures on making relocation
and evacuation decisions, as well as for issuing
All Agency Communiqus to this effect. For the
purpose of this policy, field location is any location
not designated as an H (Headquarters) duty
station under the mobility and hardship scheme
established by the International Civil Service
Commission (ICSC).
Discipline
It is critical that all staff members strictly follow
the instructions of the Chief Security Officer.
Observance of curfew and other security measures
can be burdensome for staff, especially when
they remain in force for an extended period of
time, but compliance is mandatory. Maintaining
disciplined adherence to the measures requires
leadership by the Head of Mission. Supervisors at
all levels are accountable for ensuring that their
staff comply with security measures and that they
never endanger their staff. It is very important that
the Head of Mission sets an example in his/her
own conduct. There have been cases when senior
managers, even Heads of Mission, have asked
their staff to stay late at the office to finish work,
forcing them to find their way home in darkness,
violating curfew, and jeopardizing their security.
Staff members refusing to comply with security
arrangements should be informed in writing by the
Head of Mission that non-compliance might result
in disciplinary proceedings and the imposition
of disciplinary measures. They should also be
advised that their actions could endanger the lives
of others, jeopardize evacuation arrangements and
may void their coverage under the UN insurance
policy for malicious acts. For military and civilian
police observers, any violation of mission security
procedures may result in repatriation.

6.4 Role of Military and Civilian Police


Military contingents often need to adjust aspects
of military doctrine and training to the different
challenges encountered in peacekeeping. This
also applies to security management because
the defensive posture of peacekeepers limits the
usual military options for action and reaction while
countering a threat. The use of force of any kind
by a member of a peacekeeping contingent is
defined by the Rules of Engagement (ROE). The
ROE are tailored to the specific mandate of the
mission and the situation on the ground. Contingent
commanders are responsible for ensuring that all
troops comply with the mission-specific ROE.
Unarmed military observers who are usually
responsible for monitoring ceasefires and liaising
with combatants should also be aware of the
special security requirements in peacekeeping
operations. Force commanders and chief military
observers should work closely with Chief Security
Officers, who often have considerable expertise
and UNSECOORD training in peacekeeping
security management. A number of Security
Council resolutions have specifically tasked
peacekeepers with the protection of UN and
associated personnel. The force commander
plays a crucial role translating this responsibility
into orders on the ground. While DPKO addresses
security management in its pre-deployment training
sessions, contingent commanders should also
be briefed upon arrival by the force commander.
If there is a civilian Head of Mission, he/she
should ensure close cooperation between the
force commander and the Chief Security Officer
so that military and civilian assets and logistic
arrangements are used in the most effective
manner to support common security objectives.5
Civilian police components play a special role
in staff security in missions where UN police
have executive authority. This is usually in the
context of an interim or transitional administration
mandate, as in the case of the United Nations
Interim Administration Mission in Kosovo (UNMIK).
When UN police are in charge of law enforcement,
mission personnel will be able to count on the
5 UN DPKO. Handbook on UN Multidimensional
Peacekeeping Operations.

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protection against internal threats that democratic


police forces normally provide to citizens. As with
the military component, the police commissioner
should work closely with the Chief Security
Officer to ensure that the best possible security
arrangements are in place for mission personnel.
Challenges
While peacekeeping security management has
come a long way, there are particular and unique
challenges for multidimensional missions. These
missions must integrate security arrangements
for components with different operational
requirements, orchestrate deployment and patrol
activity covering large geographical areas, deploy
large numbers of personnel rapidly before logistic
support is on the ground, and contend with a high
rate of personnel turnover. DPKO continues to
address these challenges in close consultation with
UNSECOORD and Member States. While far from
perfect, lessons learned from past crises as well
as an increasing awareness of the need for better
protection have significantly improved the security
arrangements for peacekeepers.

Summary
The United Nations Security Management System
(UNSMS) prescribes system-wide arrangements
for the protection of UN civilian personnel and
property, as well as individually deployed UN
Police (UNPOL), staff officers, and military experts
on mission (military observers, military liaison
officers, arms monitors, etc.). It does not cover
military contingents or Formed Police Units (FPUs)
deployed to UN peacekeeping operations, which
are responsible for their own security.
The primary responsibility for the security and
protection of UN staff members, their spouses,
dependants, property, and the property of the
organization, rests with the host government.
Every government is responsible for protecting
persons and property while maintaining order
within its jurisdiction. A government hosting a UN
body or entity, including a peacekeeping operation,
is responsible for protecting UN personnel
and property, and both the UN and the host
government are party to an agreement detailing

290 |

this responsibility. For peacekeeping operations,


these provisions are laid out in the Status of
Forces Agreement (SOFA) or the Status of Mission
Agreement (SOMA). However, the inability or
inadequacy of many host government security
measures eventually led to the General Assemblys
adoption of the Convention on the Safety of United
Nations and Associated Personnel on 9 December
1994.
As long as the safety of peacekeeping personnel
is at risk, the UN continues to seek independent
security solutions. Civilians must complete Basic
Security in the Field (BSITF) prior to their travel
to the mission. Wherever possible, all individually
deployed military and police personnel should also
complete both the BSITF online training course
as well as the ASITF prior to their deployment.
Guidelines and procedures for security
management have been codified in the United
Nations Field Security Handbook. UNSECOORD
was established to support security arrangements
for field-based personnel of specialized UN
agencies, funds, programmes, and UN field offices
and to provide support to peacekeeping operations,
with additional security coordination officers to
backstop peacekeeping missions. The resulting
Security Level System operates based on the
Secretary-Generals appointment of a Designated
Official (DO), who is responsible for the security
and protection of UN personnel at every duty
station. The Designated Official establishes and
chairs a Security Management Team (SMT). The
SMT also recommends security phases, which
determine the restrictions imposed on operational
activities in the country as well as the relocation/
evacuation of personnel.
While DPKO addresses security management in
its pre-deployment training sessions, contingent
commanders should also be briefed upon arrival by
the force commander. If there is a civilian Head of
Mission, he/she should ensure close cooperation
between the force commander and the Chief
Security Officer so that military and civilian assets
and logistic arrangements are used in the most
effective manner to support common security
objectives.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. Who is responsible for the security and
safety of all peacekeeping personnel
deployed in the field?
A. The Office of the United Nations Security
Coordinator.
B. The Chief Military Observer.
C. The Under-Secretary-General for Peacekeeping
Operations.

6. All multidimensional operations have a Chief


Security Officer who is the principal adviser
to the ___________ on issues affecting the
security of mission personnel.
A. Formed Police Units
B. Office of the United Nations Security
Coordinator
C. UN peacekeeping personnel

D. The Head of Mission.

D. Head of Mission

2. Civilians must complete Basic Security in


the Field (BSITF):

7. The SLS objectively describes the threat


environment and uses this objective
evaluation to inform the:

A. During the mission.


B. Prior to their travel to the mission.

A. Designated Official (DO).

C. After taking Advanced Security in the Field


(ASITF).

B. Security Risk Assessment.


C. Geneva Conventions.

D. After they have completed the mission.

D. United Nations Security Management System


(UNSMS).

3. The primary responsibility for the security


and protection of UN staff members rests
with:

8. What five categories does the Structured


Threat Assessment evaluate?

A. The host government.


B. The Head of Mission.
C. The Chief Military Observer.
D. Their spouses and dependants.

4. List five areas to which UNSECOORD


provides technical expertise and support.

9. The DO has the delegated authority to grant


_____for official travel to areas designated
Security Levels 1 through 5.
A. Security clearances
B. Requests
C. Large amounts of money
D. Reimbursement

5. Who is responsible for the security and


protection of UN personnel at every duty
station?

10: The United Nations Security Management


System (UNSMS) does not cover:

A. Military Experts.

A. Arms monitors.

B. The Designated Official (DO).

B. Staff officers or military observers.

C. The Director of Mission Support.

C. Military contingents or Formed Police Units


(FPUs).

D. Formed Police Units.

D. UN civilian personnel.

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ANSWER KEY
1C, 2B, 3A
4. UNSECOORD provides technical expertise and support in the following areas:

Providing advice and guidance on the security and protection of UN personnel at every duty
station;

Providing security advice to Headquarters and the field;

Conducting security assessment missions;

Assisting with mission start-up;

Managing hostage incidents;

Training Designated Officials, Security Management Teams, officers, area security


coordinators, and wardens;

Training in security awareness for peacekeeping personnel;

Screening security officer candidates;

Reviewing mission security plans;

Providing insurance coverage against malicious acts; and

Providing support for stress management.

5B, 6D, 7B,


8. The Structured Threat Assessment evaluates five categories: Armed Conflict, Terrorism,
Crime, Civil Unrest, and Hazards.
9A, 10C.

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LESSON 7
SAFETY MANAGEMENT

LESSON
7

LESSON OBJECTIVES
7.1: Key Aspects of Safety
7.2: Road Safety
7.3: DPKO Safety Council

The aim of this lesson is to inform peacekeeping personnel about safety


management in the field. By the end of Lesson 7, the student should be
able to meet the following objectives:

Be familiar with the structures and functions of the UN Security


Management System (UNSMS); and

Identify common safety threats and how they can be addressed.

Introduction
During the 1990s, almost 900 men and women lost their lives while on
United Nations (UN) peacekeeping assignments. Many more suffered
injuries, trauma, and disease. Most of these casualties could have been
prevented.
In UN terminology, references to safety and security are sometimes used
interchangeably. DPKO, however, draws a clear distinction between
security issues, which are external threats ranging from military assault to
petty crime, and safety concerns, which are the occupational hazards of
any field deployment and include the handling of unfamiliar equipment or
exposure to tropical diseases. The distinction is important because of the
different responsibilities and mechanisms involved in ensuring prevention,
protection, and enforcement. This lesson will focus on safety.

7.1 Key Aspects of Safety


Safety management concerns the protection of all
categories of mission personnel, equipment, and
material from unnecessary hazards. Safety can
be enhanced to a large extent when DPKO, field
missions, and individual personnel take actions
such as:

Establishing clear policies, procedures, and


standards;

Providing the requisite training; and


Ensuring compliance with standards through
effective oversight and management.

Most of these issues are handled within the Office


of Mission Support (OMS) in DPKO. Within this
framework, several sections, particularly within
the logistic support division, perform many of the
activities related to safety issues, either exclusively
or in conjunction with other Headquarters offices:

Road safety: The motor transport section

manages the global peacekeeping vehicle fleet


and is a member of the DPKO safety council.
The section ensures that motor transport
equipment procured for use in peacekeeping
missions meets with international safety
standards and that there are procedures in
place to ensure that UN-owned and contingentowned equipment are maintained and operated
safely. Policing safe operating procedures within
missions may require coordination with UN
security staff, civilian police, and the military.
This should be achieved, in part, through the
missions road safety committee;

Aviation safety: The Aviation Safety Unit plans,

coordinates, and monitors peacekeeping air


operations to ensure their compliance with UN
regulations, safety, and efficiency. The Unit has
developed a comprehensive safety policy and
procedures as outlined in the Aviation Safety
Manual. Within missions, an aviation safety unit
is normally established to deal with this important
issue;

Landmines/unexploded ordinance: As part of its


overall responsibility, the United Nations Mine
Action Service (UNMAS) of DPKO develops
mine action-related policies and international

Senegalese UN Police (UNPOL) officers get ready for their daily patrol on
the streets of Gao, Mali. (UN Photo #559897 by Marco Dormino, 29 August
2013)

mine action standards (including safety)


and monitors the activities of mine action
coordination centres in countries with a landmine
and unexploded ordnance problem;

Workplace safety: As part of its function

to provide basic infrastructure, including


office accommodation to field missions, the
engineering section provides safety standards
for heavy and other equipment. In the field,
the respective engineering unit or section is
responsible for safety aspects of these items and
also for fire safety; and

Environmental safety: The medical support unit


establishes policies and advises on health and
medical issues in field missions.

7.2 Road Safety


Road accidents are one of the most common
causes of injury and death of UN personnel in the
field, due to the frequency and severity of vehicular
incidents.
There are a number of reasons for this, related to
the road and traffic conditions in individual mission
areas, as well as to climatic factors and driver
experience. Consequently, there are a number
of rules, regulations, and expectations regarding
the use and control of UN-provided vehicles in

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UN Peacekeeping Operations. Peacekeeping


personnel who will be driving UN vehicles (UN
Police, military experts on mission, civilians, and
some contingent members, depending on the
context) should be aware of the basic rules related
to driver safety that apply to all UN peacekeeping
operations:

Wearing seatbelts when travelling in UN vehicles


is mandatory;

Driving under the influence of alcohol or drugs is


strictly prohibited;

Using mobile phones while driving UN vehicles is


prohibited; and

Observing the speed limits, as posted by local

authorities and within the UN, is mandatory at


all times. Peacekeeping personnel will receive a
briefing on road safety rules and conditions upon
arrival in mission.

In addition, personnel will be required to obtain a


UN drivers permit. No person shall operate a UN
vehicle unless they are in possession of a valid UN
drivers permit issued by the mission in question.
Peacekeeping personnel can only obtain a valid
UN driving permit if they are in possession of a
valid national, international, or military drivers
license and if they have passed the UN driving test
upon arrival in the mission. They must show their
national drivers license in order to be able to take
the UN driving test, so they must bring it with them
to the mission. Personnel will be provided with
the regulations governing the use of the missions
vehicles and/or a UN Drivers Handbook a
minimum of 24 hours prior to the driving test, which
should give access to the local or international road
signs and road regulations that are applicable to
the mission area in order they can be understood
prior to the test/ assessment being conducted. For
this purpose, each mission produces a UN Drivers
Handbook. Personnel should obtain a UN Drivers
Handbook from the Transport Section as quickly as
possible after their arrival.
Peacekeeping personnel have a maximum of three
chances to successfully pass the theoretical and
practical UN driving test. UN Police and military
experts on mission who are unable to pass by
the third attempt may be repatriated to their home

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country. Peacekeeping personnel are strongly


encouraged to have practical driving exercises
before deployment in the mission area. When
participants discover the mission to which they are
deploying, they should find out from the Pre-Arrival
Information Package whether those countries are
right-hand drive or left-hand drive and design their
practice accordingly. Generally, most peacekeeping
missions use four-wheel-drive vehicles. Instructors
may want to use such vehicles in their practical
exercises whenever possible.
In order for participants to be able to pass the UN
driving test in mission, they must be able to:

Move the vehicle safely into traffic;


Be able to change gears and control the clutch;
Start and stop uphill;
Signal correctly and in good time;
Adhere to all traffic signs and lights;
Appropriately check traffic in all directions when
changing lanes, turning, or passing;

Approach junctions, crossroads, and circles;


Turn left and right in traffic and execute a threepoint turn;

Adhere to passing rules when overtaking another


vehicle;

Negotiate curves safely;


Park safely and be able to reverse into a parking
space;

Execute a controlled stop in an emergency; and


Anticipate and react to changing road situations
while demonstrating awareness of other roadusers, including pedestrians and cyclists.

Preventing Accidents and Enhancing Safety


The Under-Secretary-General for Peacekeeping
Operations is responsible for the safety of
peacekeeping personnel. The Head of Mission has
direct responsibility for managing safety concerns
on the ground and therefore takes the necessary
measures to ensure the safety of mission
personnel, reporting to the Under-SecretaryGeneral for Peacekeeping Operations on this.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

DPKO supports safety management in the


missions through the development of policies,
procedures, and guidance to missions, training for
mission personnel, monitoring compliance with
these policies and procedures, and enhancing
awareness both at Headquarters and in the field.
DPKO considers it essential to improve safety
by ensuring accountability in the field missions,
particularly by enforcing measures when required.
DPKOs main areas of responsibility for safety in
peacekeeping operations include:

Road safety;
Aviation safety;
Weapons, ammunition, and explosives;
Landmines and unexploded ordnance;
Workplace safety; and
Environmental safety.

7.3 DPKO Safety Council


The DPKO Safety Council identifies procedural
changes and specific actions required to improve
safety in the field. The Council, chaired by the
Assistant Secretary-General for Mission Support, is
an advisory body to the Under-Secretary-General
for Peacekeeping Operations and consists of
representatives from all components of DPKO.
Other offices or departments of the Secretariat
may also be invited to participate. The terms of
reference for the safety council include:

A Chilean engineer from the United Nations Stabilization Mission in


Haiti (MINUSTAH) drives the roller onto a flat bed truck, after paving a
new road to the landfill in Port-au-Prince. (UN Photo #407770 by Logan
Abassi, 08 September 2009)

Road Safety Committee


Missions are responsible for establishing a road
safety committee with representation from all
areas of the mission. The committee should
report on a biannual basis to the Assistant
Secretary-General for OMS, forwarding a copy to
the Under-Secretary-General for Peacekeeping
Operations.
The committee is charged with:

Publishing mission road safety standard


operating procedures;

Identify safety trends in field operations to

Conducting detailed analyses of the causes

Develop a risk management strategy including

Instituting measures to detect and deter traffic

Develop a communications plan to increase the

Publishing a road safety bulletin detailing the

assess the risk of accidents and their human,


material, and financial costs;
policies and procedures that enable missions to
minimize the risk of accidents and the associated
human, material, and financial costs;
awareness of safety issues; and

Determine ways to provide better information on

the causes of accidents to improve preventive


measures, capture lessons learned, and develop
best practices.

and frequency of traffic incidents and making


recommendations on preventive measures;
offences, including police patrols and sobriety
checks by security personnel at the exits of UN
facilities;
results of accidents and trend analyses focusing
on practical accident avoidance measures for all
personnel; and

Holding regular safety stand-down periods and


briefings to focus attention on safety issues.

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Mission Aviation Safety Council


For aviation safety, the missions Aviation Safety
Council promotes safety awareness among all
personnel concerned with aviation. The Council
identifies safety-related issues and evaluates flight
operations, search and rescue procedures, mission
pre-accident plans (emergency response plan), and
mission medical and casualty evacuations from a
safety point of view.

preventive measures, including the monitoring and


implementation of clear policies, standards, and
procedures, and providing regular training.

A Mission Aviation Safety Council consists of


selected UN staff members, civil and military
aircrew members, and experts from air transport,
air traffic control, flight following, medical, crash
rescue/fire fighting, communications, and other
areas as required. The Council should be chaired
by the director of administration or the chief
administrative officer or, in his/her absence, by the
Chief of Integrated Support Services. The Council
should meet whenever necessary, but not less than
once a month. The Mission Aviation Safety Officer
acts as the secretary of the Council and reports to
the Safety Aviation Unit at Headquarters.1
Safety Stand-Down Days
DPKO has instituted safety stand-down days,
which are conducted regularly in field missions,
to raise awareness of safety issues. Missions
have been provided guidelines for the conduct
of the stand-down day, including advice on the
appropriate focus for the day, activities to be
conducted and post-activity reporting requirements.
To allow for an appropriate focus on safety, it is
recommended that only emergency or essential
activities be undertaken on safety stand-down days
to allow mission personnel to concentrate on safety
issues and not be distracted by other activities.

Summary
Safety management must be a priority in the
conduct of peacekeeping operations. Awareness
and preparedness are crucial to prevent and
mitigate hazards and effectively manage risks for
field personnel serving. DPKO is committed to
ensuring good safety management and enhancing
1 UN DPKO. Handbook on UN Multidimensional
Peacekeeping Operations. Chapter 11.

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End-of-Lesson Quiz
1. ________ are the occupational hazards of any
field deployment and include the handling
of unfamiliar equipment or exposure to
tropical diseases.

5. The _________ establishes policies and


advises on health and medical issues in field
missions.

A. Security issues

B. Engineering unit

B. Safety concerns
C. Hazmat issues
D. Medical concerns

2. Safety can be enhanced when DPKO, field


missions, and individual personnel take
actions such as:
A. Intimidating the local population.

A. Environmental unit
C. Workplace safety unit
D. Medical support unit

6. What are the basic rules related to driver


safety that apply to all UN peacekeeping
operations?

B. Establishing vague policies.

7. No person shall operate a UN vehicle unless


they are in possession of:

C. Permitting each peacekeeper to establish his or


her own procedures and standards.

A. A valid UN drivers permit issued by the mission


in question.

D. Providing the requisite training.

B. An international drivers license.


C. The host countrys national drivers license.

3. The motor transport section manages the


global peacekeeping vehicle fleet and is a
member of:
A. The Aviation Safety Unit.
B. The United Nations Mine Action Service
(UNMAS).
C. The DPKO safety council.
D. The Road Safety Committee.

4. The ____________ of DPKO develops mine


action-related policies and international
mine action standards.
A. Workplace Safety Unit
B. United Nations Mine Action Service (UNMAS)
C. United Nations Explosives Service (UNES)
D. Aviation Safety Unit

D. A valid UN learners permit.

8. The DPKO Safety Council identifies


procedural changes and specific actions
required to:
A. Enhance security in the mission.
B. Improve safety in the field.
C.Reprimand UN personnel who violate the host
countrys laws.
D. Create new laws in the host country.

9. The Road Safety Committee is charged with:


A. Instituting safety stand-down days.
B. Issuing military drivers licenses.
C. Instituting measures to detect and deter traffic
offences.
D. Evaluating mission medical and casualty
evacuations from a safety point of view.

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ANSWER KEY
1B, 2D, 3C, 4B, 5D,
6. The basic rules related to driver safety that apply to all UN peacekeeping operations are that:

Wearing seatbelts when travelling in UN vehicles is mandatory;

Driving under the influence of alcohol or drugs is strictly prohibited;

Using mobile phones while driving UN vehicles is prohibited; and

Observing the speed limits, as posted by local authorities and within the UN, is mandatory at all
times. Peacekeeping personnel will receive a briefing on road safety rules and conditions upon arrival
in mission.

7A, 8B, 9C.

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LESSON 8
HEALTH

LESSON
8

LESSON OBJECTIVES
8.1: Personal Hygiene and
Food Hygiene
8.2: Access to Health
Information Prior to
Deployment

The aim of this lesson is to encourage peacekeepers to apply concepts


of personal hygiene in their daily routine in order to avoid contracting
diseases or spreading them to others. The key concept underpinning
healthful living in the field is that prevention is better than cure. By
the end of Lesson 8, the student should be able to meet the following
objectives:

Be aware of best practices for personal hygiene and food safety; and
Know how to prepare health information, immunizations, and
appropriate prophylaxis prior to deployment.

Introduction
In addition to traffic accidents, other common risks to the safety of
peacekeeping personnel is illness and disease. Peacekeeping personnel
should therefore receive briefings on protecting their health while in the
mission and ensure that they have obtained the appropriate vaccinations
and preventive medicine (prophylaxis) prior to deployment.

The UN is concerned about the hygiene of its


personnel for various reasons, all of which have
important consequence:

The UN has pledged to combat communicable


diseases;

personal hygiene by always washing regularly with


clean water. All peacekeeping personnel should
ensure that they are familiar with appropriate
personal and food hygiene measures and personal
behaviours that can protect their health.

The UN cares about the health and well-being of

Here are some important ways to help maintain the


best possible health and hygiene:

The state of hygiene of a unit influences

Eat a healthy variety of foods;

peacekeepers;

operational readiness; and

The sum of individual and general hygiene


influences the lives of many.

In this lesson, we shall discuss a number of


elements of personal hygiene:

How to maintain ones body and personal fitness;


How to store and handle food and drink;
How to maintain sleeping and living quarters;
How to maintain hygiene in ablution facilities;
How to maintain communal areas; and
How to avoid creating breeding grounds for
animals and insects that spread disease.

Every UN peacekeeping operation will have some


form of medical facility. The level of service that
can be provided at the missions medical facility
will vary depending on the size of the mission, the
medical facilities and health care that is available
in the country, and other factors. You will receive
more information on the medical unit when you
arrive in the mission.

Exercise regularly;
Dress protectively;
Inspect your skin for bite marks;
Air and dry your boots regularly to prevent
bacteria from breeding in them;

Iron all clothes regularly, if possible, to kill bugs,


insects, and bacteria;

Be prudent in using alcohol and refrain from


using recreational drugs; and

Never have sex without a condom.


Food Hygiene
With the physical demands of peacekeeping work,
staying properly nourished and hydrated is critical.
Always make sure what you eat and drink is safe:

Drink water only in bottles or from containers


marked as drinking or potable water;

Boil water for at least 10 minutes if drinking water


is not available; or

Use water purification tablets, allowing enough


time for the tablets to work;

8.1 Personal Hygiene and Food Hygiene Never keep opened bottles of drink more than
Personal hygiene is the behaviour one uses to care
for their body as it is affected by the environment.
One can influence the effect that physical factors
outside of the body have on health and well-being
through good personal hygiene habits.1
Personal hygiene is ones best own contribution to
preventing disease, as well as a strategy to prevent
diseases that may affect others. Maintain good
1 Safety and Security in UN Peacekeeping, Core
Pre-Deployment Training Materials, 1st ed. (2009)
(CPTM) Unit 4 Part 1.

six hours;

Cook meat thoroughly so that it is well done, not


medium, rare, or raw;

Ensure that eggs are fully coagulated before


eating;

Store food in tightly closed containers;


Eat only food produced in clean or approved
facilities and use clean utensils; and

Control the rodent population by eating only at


designated eating areas.

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Maintain your Personal Space

gresourcehub.unlb.org>.

Peacekeeping operations often operate in areas


where diseases are spread easily. For this reason,
it is important to discourage any potential pests
from contaminating the living areas.

All rules and guidelines established in Prophylaxis,


Diagnosis, and Treatment of Malaria are to
be followed by personnel or units deploying to
countries or regions in which malaria is common.
In particular, in order to prevent malaria, due to
the operational needs of a peacekeeping mission,
all mission members shall use pharmaceutical
prophylaxis, which can be safely given at least
once a year.2 If you are concerned about whether
you are properly protected for your location, go
to the UN Medical Unit in the mission to check
the required and recommended vaccinations
and whether any prophylaxis is recommended or
required. They can advise you whether you have
the appropriate immunizations and medications, or
they can tell you where to find out. The contingents
medical personnel should have a copy of the
DPKO/DFS Medical Guidelines for Peacekeeping
Operations: Prophylaxis, Diagnosis, and Treatment
of Malaria for Training of Contingents.

Use mesh screens or netting to cover doors and


windows at all times;

In areas with malaria, dengue, or other

mosquito-borne diseases, always sleep under a


mosquito net;

Keep all surfaces clean by washing them


regularly;

Do not eat or keep food on or around beds, so


that rodents and insects will not be attracted;

Ventilate your bedding regularly in direct sunlight


to kill bugs and bacteria; and

Change and wash your bedding regularly.


Maintain a Hygienic Compound and Communal
Areas

Keep facilities and communal areas clean and


tidy at all times;

Ensure proper disposal of leftover food;


Ensure sanitary disposal of liquid and solid
wastes;

Keep all rooms clean, ventilated, and protected


against rodents and insects; and

Eliminate breeding areas for disease-carrying

animals or insects for example, drain pools of


stagnant water and puddles after rain.

Summary
Including proactive health practices as part of
safety management must be a priority while
conducting peacekeeping operations. Awareness
and preparedness are crucial in order to prevent
and mitigate hazards and to effectively manage
risks for serving field personnel. DPKO is
committed to ensuring good safety management
and enhancing preventive measures, including the
monitoring and implementation of clear policies,
standards, and procedures, and providing regular
training.

8.2 Access to Health Information Prior


to Deployment
All peacekeeping personnel are expected to
ensure that they receive all of the required and
recommended vaccinations and preventive
medicine (prophylaxis) for their mission from a
certified healthcare professional. Information
on required and recommended vaccinations is
contained in the mission-specific Pre-deployment
Information Package (PIP), which can be
downloaded from: <http://peacekeepin-

304 |

2 Pre-deployment Information Package.


Paragraph 3. Available at <http://peacekeepingresourcehub.unlb.org>.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

End-of-Lesson Quiz
1. The state of hygiene of a unit influences:
A. The host countrys population only.
B. Funds appropriated to a mission.
C. Operational readiness.

6. In areas with malaria, dengue, or other


mosquito-borne diseases, always:
A. Stay indoors.
B. Wear loose clothing.

D. Prophylaxis.

C. Sleep under a mosquito net.

2. ___________ is the behaviour one uses to


care for their body as it is affected by the
environment.

7. Ensure proper disposal of:

A. Personal fitness

B. Leftover drinking water.

B. Food hygiene
C. Prophylaxis
D. Personal hygiene

3. To maintain the best possible health and


hygiene, peacekeepers should:
A. Exercise regularly.
B. Avoid showering in remote locations.
C. Never use water purification tablets.
D. Cook meat until it is medium rare.

4. Iron all clothes regularly, if possible, to:


A. Look presentable.
B. Kill bugs, insects, and bacteria.
C. Control the rodent population.
D. Keep communal areas clean.

5. Never keep opened bottles of drink more


than:
A. One hour.

D. Drink tap water.

A. Malaria medication.
C. Mosquito nets.
D. Bedding.

8. Due to the operational needs of a


peacekeeping mission, all mission members
deploying to countries or regions in which
malaria is common shall use:
A. Retroactive health practices.
B. Antiretroviral drugs for malaria.
C. Pharmaceutical prophylaxis for malaria.
D. Security management.

9. The __________ in the mission can advise


you whether you have the appropriate
immunizations and medications for a
mission.
A. Mission Aviation Safety Council
B. Host countrys government
C. DPKO
D. UN Medical Unit

B. Six hours.
C. Ten Hours.
D. One Day.

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ANSWER KEY
1C, 2D, 3A, 4B, 5B, 6C, 7B, 8C, 9D

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LESSON 9
FIRST AID

LESSON
9

LESSON OBJECTIVES
9.1: Safety Fundamentals

By the end of Lesson 9, the student should be able to meet the following
objectives:

9.2: Basis for Successful


First Aid

Understand the responsibilities of first responders and first aid;

9.3: Sustainment Phase

Know the principal concerns that must be considered while giving basic

life support and while implementing first aid measures with casualties in
different kinds of emergencies; and

List the principal steps in giving basic life support.

Introduction
In a conflict area where danger is high and resources are limited,
administering first aid can mean the difference between life and death for
someone in need. All peacekeepers, both uniformed and civilian, must be
prepared to provide first aid to any casualty, wherever and whenever they
may find themselves as first responders.

The UN Peacekeeping Operations Training


Guidelines for National and Regional Training
Programmes states that it is important for
every peacekeeper to develop self-confidence,
self-reliance, and resourcefulness, since
statistically most first aid work will be done by the
individual working alone, either on his or her own
wounds, or those of a companion.1
Most incidents occur in places where there is no
immediate medical support. Statistics indicate
that medical attention during the first two hours is
critical for the survival or recovery of a casualty.
A few simple yet decisive actions taken by first
responders may positively decide the fate of the
injured persons.

9.1 Safety Fundamentals


Before moving in to provide any assistance, the
immediate security situation must be assessed.
The patient must not be approached until the
responder is cognisant of any potential threats that
must be regarded before aid is administered.
If the responder will become another casualty
before being able to assist the present casualty,
he or she will complicate the situation further,
delay aid, and also potentially endanger other
responders. While considering the safety of
the patient, the responder must also evaluate
whether the security situation of the surrounding
environment will permit treatment on the spot or if
evacuation is a priority over immediate treatment,
such as the case would likely be in the presence of
fire or chemicals.
Mechanism of Injury
Once a responder is able to safely approach
the patient, he or she must immediately try to
understand the mechanism of injury before
touching the patient to begin first aid.
1 UN Peacekeeping Operations Training
Guidelines for National and Regional Training
Programmes. Page 38. Available at <http://www.
usaraf.army.mil/documents_pdf/READING_ROOM/
UNpeacekeepingTngMan.pdf>.

Above all, there are two critical possibilities that


must be considered:

Spinal Injury
As a practical precaution, always treat a patient
as if she or he has a potential spinal injury, which
could include damage anywhere between the
neck and lower back. This means the patient
must not be moved or move themselves until
it is possible to stabilize them, usually with the
assistance of another person and a form of neck
brace. Otherwise, paralysis or other dangerous,
life-threatening complications are a potential
hazard. The spinal cord is protected by the spinal
column, and may suffer injury if the spinal column
is stretched, compressed, twisted, or broken.
If the person is conscious, ask them if they are
experiencing any pain in their head, neck, or back
or if they are aware of any numbness or potential
paralysis. Note whether the body has been
contorted in anyway or if any trauma was received
directly to the spinal region.2

Head Injury
Again, assess whether any trauma has been
taken to the head in any way, and whether or not
the patient is conscious. Attempt to communicate
with the patient to determine their mental status,
looking out for signs of confusion, shock, as well
as irregular breathing. If the patient is wearing a
helmet, do not remove it. If the patient is awake
and able to communicate, it is less likely that they
have suffered a head injury. Express support for
the patient to help them remain calm. If confused
or semi-conscious, the patient may have a head
injury or be affected by reduced circulation to the
brain, and is therefore a higher priority patient.
Observe closely and support the patient. If found
unconscious or comatose, the patient probably has
a severe head injury and is a high priority patient.
Observe closely while moving on to the next step.

2 Mayo Clinic. Spinal Injury First Aid. Available at


<http://www.mayoclinic.com/health/first-aid-spinalinjury/FA00010>.

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spread out over a greater area. If an enclosed


space becomes smaller, the pressure increases as
materials are condensed.
A cut, a burst, or a wound creates a point of low
resistance in the body, causing blood to flow from
the higher pressure of the circulation to the lower
pressure of areas not contained in the circulatory
system. This is what facilitates blood loss from the
body.

Bangladeshi Police Officer brings three injured persons to the Emergency


First Aid Unit of the United Nations Organization Mission in the
Democratic Republic of the Congo (MONUC), after a rescue operation
in Kinshasa, the Democratic Republic of the Congo (DRC). (UN Photo
#407770 by Martine Perret, 22 March 2007)

The Importance of Oxygen and Circulation


All cells need oxygen to maintain normal function.
With insufficient oxygen supply, cells become
dysfunctional; without oxygen, cells die.
Brain cells die if they are without oxygen for three
to five minutes. Muscle and skin cells can repair
after over an hour, but may have lost some of their
function. Basic life support is aimed at maintaining
the circulation of oxygen in the body to facilitate
optimal function and prevent cell death. Oxygen
for cells is absorbed in the lungs and carried by
the blood throughout the body when a person
breathes. The heart regularly contracts as it beats,
creating pressure so that these blood cells can be
circulated in the body to give oxygen to all cells.
Another scientific phenomenon to consider
that affects the basic logics of life support is
the movement of gas and liquid, which can be
understood as the result of changes in pressure.
Gases and liquids move from higher pressure to
lower pressure. To make gas and liquid move, one
must either increase the pressure on one side or
decrease pressure on the other.
For example, when an enclosed space becomes
bigger, the pressure decreases as materials

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This is also precisely how a syringe operates.


When the pin is drawn out, increasing the size of
the chamber, liquid flows into the syringe. When the
plunger is pushed back in, the space shrinks and
the liquid flows out. The same idea permits airflow
in and out of the body, which is the first step in
successful life support.

9.2 Basis for Successful First Aid


Once the previously discussed safety possibilities
have been assessed, the responder may begin
administering the ABCs of first aid, again, always
taking care not to disturb a damaged spine.
Airways
Open airways for stabilized breathing is the first
important step. See if the airway is blocked in any
way. If this is the case, the responder may need to
empty the mouth. Empty the mouth of any liquids
or objects that are not normal parts of the anatomy.
This includes:

Water;
Vomit or blood;
Food; and
Dentures or other foreign objects.
Emptying the mouth may be unpleasant, but it is
absolutely necessary.
To open the airways once the mouth is clear, gently
tilt the head backward and carefully tilt the chin
upward to straighten the airway from the mouth to
the neck. Ensure that the tongue does not block the
airway.3
3 British Red Cross. ABC First Aid Tips. Available

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Recovery Position
With patient lying on
one side, spine and
neck aligned:

Image from Europedia First Aid Kit. Available at http://www.europedia.


org/index.php?option=com_content&view=article&id=109&Itemid=151

If the patient does not breathe, or if the chest does


not expand and deflate, oxygen-rich air is not
reaching the blood cells.
If the patient is breathing, position the patient to
facilitate that the airways remain open and restrict
the possibility of foreign objects blocking the
breathing. If it is safe to do so, assist the patient
into a stable side-positioning, also known as
the recovery position. An example diagram is
depicted above.
If the patient is not breathing, the pressure in
the chest is the same as the pressure in the
air surrounding the patient. Oxygen-rich air will
only be able to reach the lungs of the patient
if air is blown into them, creating a higher
pressure. This technique is known as performing
artificial respiration, expired air ventilation, or
mouth-to-mouth resuscitation. Even if a responder
is uncertain or inexperienced, a good try is never
wrong, and may save a life. Peacekeepers can
receive training in this practice, as well as in
CPR, or Cardiopulmonary Resuscitation, which
addresses both respiration and heart function.
The responder should give two full breaths while
maintaining an air-tight seal between their mouth
at <http://www.redcrossfirstaidtraining.co.uk/
News-and-legislation/latest-news/2010/September/
Tip-of-the-month-sept.aspx>.

and the patients mouth. Each breath should be


one second in duration and cause their chest to
rise. Avoid giving too many breaths or breaths that
are too large or forceful.4
Bleeding
Blood loss is very life-threatening. If the patient is
visibly bleeding, apply pressure first at points of
major bleeding with any bandaging available and
maintain pressure sufficient for bleeding to stop.
A clean bandage is better than a dirty bandage; a
dirty bandage is better than no bandage.5 Pressure
is more effective when applied to the whole area
around the bleeding. Be careful when applying
pressure to the neck. If the patient is not visibly
bleeding, remember that a patient may have
significant internal bleeding without blood being
seen on the surface. Observe the patient for signs
of internal bleeding such as swelling or bruising.

4 American College of Emergency Physicians.


Emergency Care for You. < http://www.
emergencycareforyou.org/EmergencyManual/
HowToPerformCPR/>
5 Safety and Security in UN Peacekeeping, Core
Pre-Deployment Training Materials, 1st ed. (2009)
(CPTM) Unit 4 Part 1.

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Circulation
Check for adequate circulation and position the
patient to facilitate optimal circulation.
For blood cells to reach the lung tissue and
get oxygen from oxygen-rich air, and for the
oxygen-rich blood cells to reach the body cells,
there must be functional circulation. For functional
circulation you need a sufficient circulating volume
of blood and an active pump usually, the heart.
If there is no pump action, in other words, if the
heart is not beating, cardiac compressions will be
required through the administration of CPR.
Adequate circulation can also be supported by
positioning the patient optimally. Make sure he or
she is lying down; this decreases the resistance
caused by gravity against blood pumping upward
to the head and facilitates circulation. In the case
of inadequate circulation or a weak pulse, elevate
the legs so that blood flows away from the mass of
muscle and skin in the limbs, which can function
longer without oxygen, to the important and
vulnerable organs located more centrally in the
body.
In the case of no circulation or central pulse,
administer CPR through pumping action to induce
circulation. The American College of Emergency
Physicians offers these tips for performing chest
compressions6:
Kneel at the persons side, near his or her chest.
With the middle and forefingers of the hand
nearest the legs, locate the notch where the
bottom rims of the rib cage meet in the middle of
the chest.
Place the heel of the hand on the breastbone
(sternum) next to the notch, which is located in
the center of the chest, between the nipples.
Place your other hand on top of the one that is in
position. Be sure to keep your fingers up off the
6 American College of Emergency Physicians.
Emergency Care for You. < http://www.
emergencycareforyou.org/EmergencyManual/
HowToPerformCPR/>

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chest wall. You may find it easier to do this if you


interlock your fingers.
Bring your shoulders directly over the persons
sternum. Press downward, keeping your arms
straight. Push hard and fast. For an adult,
depress the sternum about a third to a half the
depth of the chest. Then, relax pressure on the
sternum completely. Do not remove your hands
from the persons sternum, but do allow the
chest to return to its normal position between
compressions. Relaxation and compression
should be of equal duration. Avoid interruptions
in chest compressions (to prevent stoppage of
blood flow).
Again, even if a responder is uncertain or
inexperienced at this, a good try is never wrong,
and may save a life. CPR training should be
available to peacekeepers.

9.3 Sustainment Phase


Once the ABCs of Airways, Bleeding, and
Circulation have been addressed and the patient
has spontaneous respiration and circulation, the
responder may continue to the Sustainment Phase.
These steps include:

Report: Communicate findings and treatment

administered in a brief yet exact message to


medical personnel so that they may facilitate
triage and assign the correct priority for medical
evacuation;7

Reassess Bleeding: Apply pressure and

bandages to any additional minor bleeding that


was not addressed before;

Immobilize fractures: If the patient shows any

sign of fractures, the extremity should be kept


immobile with a splint. The splint should include
the nearest joint on both sides of the fracture.
To aid in diagnosing the existence of a fracture,
the extremity may show an angle that is not in
symmetry with the other side of the body, or
there may be swelling or bleeding suggesting
that something has happened internally. When in
doubt, immobilize; and

7 Idem.

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Prepare to Evacuate: With due concern for the

injuries, the patient should be evacuated to a


medical facility according to the priority given by
medical personnel.

Once it is time to relocate the patient, keep the


spinal column straight in all dimensions when
moving the patient. It is preferable to use a vacuum
mattress or a backboard. If that is unavailable, roll
him or her carefully onto a stretcher. Maintain a
slight pull on the head to keep the neck straight
when moving the patient and apply a stiff neck
collar. To test spinal function, ask the patient to
carefully move hands and feet, and ask if he or she
feels gentle touch of the skin on hands and feet.
Remember that function does not exclude injury
that may get worse if the patient is not properly
handled.

Report to medical authorities to begin evacuation


and triage; and

Check with your training facility for any additional


training modules on practicing first aid or
administering CPR.

Summary
This lesson has presented a basic understanding
for what happens when the body is injured and how
first responders can counter life-threatening effects
through proper first aid. Peacekeepers and others
who find themselves in an emergency response
situation must remember that the principles of
Basic Life Support are simple, logical, and easy to
apply. Most importantly, they could save someones
life when medical personnel are not immediately
available.
Remember the basic ABCs:

Airways: Open for functional exchange of air;


Bleeding: Keep pressure to prevent and stop
blood loss; and

Circulation: Ensure that the heart is pumping

properly to deliver blood throughout the body.

It is also important to remember:

Monitor the safety situation of the environment


before moving in to assist a patient. Note
potential hazards such as fire or chemicals;

Observe for signs of injury to the spinal cord

or head. Avoid movement of the neck and the


spinal column;

Immobilize fractures or suspected fractures;

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End-of-Lesson Quiz
1. Statistics indicate that medical attention
during the first _____ hours is critical for
the survival or recovery of a casualty.
A. two

6. Basic life support is aimed at maintaining:


A. Pressure on a bleeding wound.
B. The circulation of oxygen in the body.
C. A steady temperature.

B. four

D. Satisfactory personal hygiene.

C. five
D. nine

7. Gases and liquids move from:

2. Before moving in to provide any assistance,


the _______________ must be assessed.
A. identity of the victim

A. The pin of a syringe to the chamber.


B. Lower pressure to higher pressure.
C. Higher pressure to lower pressure.
D. Air to water.

B. degree of the injury


C. immediate security situation
D. cause of the injury

3. As a practical precaution, always treat a


patient as if she or he:
A. Is bleeding internally.

8. If the patient is visibly bleeding, apply


pressure first at points of major bleeding
with:
A. Clean bandages only.
B. Your hands.
C. Dirty bandages if clean bandages are not
available.

B. Has an infectious disease.


C. Is not severely injured.

D. Tourniquets.

D. Has a potential spinal injury.

4. If found unconscious or comatose, the patient


probably has a severe head injury and:
A. Needs CPR.

9. In the case of no circulation or central pulse,


administer:
A. Standard first aid.
B. Aid in diagnosing the existence of a fracture.

B. Is hypothermic.

C. Sustainment techniques.

C. Is a high priority patient.

D. CPR.

D. Is visibly bleeding.

5. Brain cells die if they are without oxygen for:

10. What are the basic ABCs?

A. One to two minutes.


B. Three to five minutes.
C. Five to nine minutes.

ANSWER KEY

D. One hour.

1A, 2C, 3D, 4C, 5B, 6B, 7C, 8C, 9D,


10. Airways, Bleeding, and Circulation

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C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

LESSON 10
STRESS MANAGEMENT

LESSON
10

LESSON OBJECTIVES
10.1: What is Stress and
Stress Management?

The aim of this lesson is to provide peacekeepers with a basic concept of


stress and to how to manage stress as well as its symptoms. By the end of
Lesson 10, the student should be able to meet the following objectives:

10.2: Types of Stress


10.3: Preparing for Stress

Be familiar with different types of stress and different ways of dealing


and coping with stress;

Be able to define stress in general terms;


List and explain three types of stress; and
Explain stress management techniques and guidelines.

Introduction
Peacekeepers are usually competent and resilient professionals working
under extraordinary conditions. They are at increased risk of stress due
to the hazardous, austere, and isolated environments in which they work.
The occupational complexities that characterize peacekeeping operation
personnels prolonged separation from family and other support systems
exacerbate these risks. The stress that peacekeepers undergo in this
context represents a predictable occupational hazard and a normal,
natural response to such extraordinary circumstances.
Because peacekeeping operations are essentially characterized by
complex emergencies, making education, prevention, and advocacy
available on issues in order to promote resilience and functional stress
management is of paramount importance.

10.1 What is Stress and Stress


Management?

Important Qualities to Know about Stress

Stress is a normal reaction to an abnormal


situation. Stress is the physical and psychological
process of reacting to and coping with events or
situations that place pressure on a human being.
It serves the function of self-preservation or
protection in a threatening situation, enabling one
to:

Stress is necessary for human development;

Concentrate full attention on a particular threat;

The Stress Reaction

Mobilize maximum physical energy; and


Prepare for action in order to respond to the
threat.

Stress serves, and has always served, a purpose.


For our prehistoric ancestors and for us, stress
had and still has great informative value. It is part
of what has allowed humans to survive up to the
present day.
Stress Management

Stress is inherent to survival;


Stress is initially positive, but too much is
unhealthy;

Stress is addictive; and


Stress is manageable.

The stress reaction is a positive and normal


reaction, necessary for the protection of the
individual, and necessary for optimal performance.
It prepares the individual for performance in an
urgent situation or in response to a threat. This
reaction can be observed in the following physical
manifestations:

The pupils widen, improving vision; and


The pulse increases, bringing increased blood
flow to muscles.

The concept of stress management has become a


very trendy topic, yet sometimes it remains unclear
what exactly it means.

This reaction is often illustrated with the example


of the three Fs: Fright, Flight, and Fight, the three
possible reactions in a stressful situation.

Stress management refers to the process of


identifying and analysing any problems related
to stress, as well as the application of a variety
of tools to alter either the source of stress or the
experience of stress.

Each individuals reaction to stress differs,


depending on the prior life experiences that have
influenced him or her. When an individual confronts
a situation for the first time, it is difficult and stress
will be a guiding power in resolving the situation.
However, if similar circumstances have been
confronted before, the individual will have familiarity
and learned techniques that will reduce the overall
stress of the same situation.

The main objective of stress management is to


simply enable an individual to function at his or her
optimal level in a healthy and positive manner. It
is important that UN personnel of all components
are able to live healthy lives, perform their duties
safely, and feel good about their work rather than
overwhelmed or under-supported.
The United Nations has stated that avoiding
negative side effects in individuals during or
following their participation in a peacekeeping
operation is a primary goal. Psychologically
stable and content personnel increase operational
readiness and efficiency.1
1 UN DPKO Civil Affairs Handbook. Chapter 6.
Available at: < http://www.un.org/en/peacekeeping/

documents/civilhandbook/Civil_Affairs_Handbook.
pdf >

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Factors that influence the way individuals cope with


stress include:

Past experience with similar situations;


Education and professional skills;
Pre-deployment training;

A persons reaction is mostly determined by


his or her physical and psychological strength
or weakness. Peacekeepers should be aware
that they will often be confronted with stressful
situations, and even more so if the mission is in a
conflict zone.

Age;

Typical causes of basic stress in the field include:

Physical fitness;

Lack of influence on own situation;

Self-esteem; and

Lack of food variety;

Approach to life.

Repetitive or boring duties;

With each bit of education and skills comes a


new set of solutions that can serve in potentially
new and stressful situations. With training comes
experience, as well as the confidence among peers
and teachers, which will also support effective
stress management. Also, it is easier to find
solutions if a person trusts in his or her own ability
to do so.
Physical fitness, proper nutrition, and rest
increase ones resistance to physical as well as
psychological trauma. Spirituality may support
an individual in times of uncertainty, difficulty, or
danger.

10.2 Types of Stress


The type of stress experienced depends on its
characteristics of frequency, duration, and intensity.
Peacekeepers are exposed regularly to both
minor and major incidents, which can result in the
build-up of stress.
Three types of stress are described in order of
increasing intensity:

Basic stress;
Cumulative stress; and
Traumatic Stress, or Critical Incident Stress.

Limited possibility for contemplation, privacy, or


separation from other members of the unit;

Minimal recreational possibilities; and


Limited contact with loved ones at home.
Basic stress is unavoidable but may vary according
to the normal circumstances of individuals. For
example, for individuals in a steady relationship at
home, the stress of being away from a significant
other while deployed may constitute a major stress
not experienced by other individuals not in such
relationships.
Cumulative Stress
Cumulative stress is the result of more minor, basic
strains that occur too often, last too long, and have
become too severe. This type of stress is subtle,
but pervasive. It happens when people suffer
prolonged and unrelieved exposure to a variety of
stressors.
Cumulative stress is frequently due to a
combination of personal, work, and incidental
events, which generate frustration. When it
goes unnoticed, or when it is not well managed,
cumulative stress can result in burnout.
Typical situations are:

Repetitive situations with lack of respect from


superiors;

Basic Stress
Everyone experiences basic stress (also called
basal or minor stress) on a daily basis. This can
generate tension, frustration, irritation, or anger.

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Periods with overwhelming responsibilities;


Periods with insufficient rest; and
Periods with non-defined operational danger.

C O R E P R E - D E P L O Y M E N T T R A I N I N G M AT E R I A L S

Both basic and cumulative stresses may derive


from simple daily activities or a lack of them. In a
peacekeeping mission, it is very important to have
something valuable to do. Living in an unfamiliar
environment with little or no privacy requires
challenging activities and a strong sense of
fulfilment to avoid demoralization and stress.
Traumatic Stress or Critical Incident Stress
A traumatic or critical incident is usually defined as
an event out of the range of normal experience, or
a sudden and unexpected event that causes one
to lose control. It involves the perception of a threat
to life and can include elements of physical or
emotional loss.
This type of stress is less familiar than basic stress
or cumulative stress and is more difficult to deal
with. It provokes unusually strong physical and
emotional reactions experienced in the face of such
a critical incident.
The possibility that peacekeepers will encounter or
observe one or more of these traumatic situations
in a conflict zone is very high. The trauma is
exacerbated because very often the peacekeeper
is unable to assist or change the plight of helpless
victims.
Typical examples of critical incidents that can occur
in peacekeeping are:

Self or friends being affected by road traffic


accidents;

Local atrocities;
Being under direct fire;
Negative news from family or friends at home;
and

Direct physical threat or hostage situations.


Few people will be unaffected by a critical incident,
however, reactions may differ considerably. It is
important to accept that the reaction to stress is
as individual as all other reactions to physical,
psychological, or emotional situations. Some
individuals handle cumulative and CIS stress with
minimal problems. Some are grossly affected. This
does not make one individual better than the other.

Happiness for this Austrian soldier is a parcel from home. (UN Photo
#145460 by John Isaac, 10 December 1990)

Some find that Critical Incident Stress (CIS) is


easier to live with than cumulative stress, as
the reactions are more accepted by others
than with cumulative stress, where a connection
between a situation and the reaction may be more
obscure. The severity of reactions will depend
on various factors relating to the incident as well
as to the individual (e.g. suddenness, intensity,
duration, available social support; individuals past
experience, personal loss, perception of threat,
personal ability to cope, etc.).
Some reactions are immediate, while other may
occur days, weeks, or even several months later.
Such prolonged and life-altering reactions to CIS
are known as Post-Traumatic Stress Disorder
(PTSD).2
These reactions or symptoms can interfere with
an individuals ability to cope at work or at home.
For a vast majority of people, most symptoms will
diminish in intensity and frequency within a few
days or weeks. In some cases, they may last up
to three months after the event, or in the most
extreme of cases, a lifetime.

2 International Committee of the Red Cross,


Coping With Stress.

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10.3 Preparing for Stress

Dealing with Stress in the Field

Planning a military action and planning ways


to address stress in oneself or in groups have
the same characteristics. They must be based
on experience, practice, and training. By
understanding the situation in the mission and
finding out what situations you may be expected to
confront, one can begin to cope in advance.

It is important for peacekeeping personnel to


recognize the signs of stress and to be able to
cope with the effects of traumatic situations.
Most stress can be managed. Determination and
self-discipline are keys to finding the source(s) of
stress and coping with it before it has escalated to
an uncontrollable level.

It is important that officers share information with


their units. Operational and emotional parameters
should be explained to all. Training and planning for
how to manage ones own stress or that of others
must be part of preparations. Training must be
repeated in in-mission training sessions.3

The following guidelines have been found to


be effective in stress management strategy
development:

Suddenness and unpredictability are usually the


essence of a critical incident. One can never really
be fully and totally prepared to face such an event.

Identify sources of stress;


Know personal limitations;
Manage time well;
Be assertive, but not aggressive;
Accept creative challenges;

As with any military operation, intelligence,


planning, and briefing on stress management must
be followed by individual practice and preparation
so that everyone maintains the knowledge needed
to respond optimally.

Get enough sleep;

If individuals are prepared for situations they may

Make time for relaxation and physical exercise;

encounter, they have a chance to be prepared to


meet the way they might be affected;

If individuals are hit by a stress reaction and are

prepared for it, they may acknowledge what is


behind the reaction, relate to it, and deal with it in
an appropriate manner;

All people who have had stress-related reactions


should be identified and offered follow-up upon
return from mission; and

National experience on stress management


should be collected for the good of future
deployments.

When preparing for stress management,


knowing what to do and what not to do are
equally important. If a person experiences a
stress reaction, and is prepared for it, they can
acknowledge what is behind the reaction, relate to
it, and deal with it.

Rest or conserve strength;


Eat regularly;
Control intake of alcohol, tobacco, etc.;
Develop satisfying friendships and relationships;
Have a positive attitude; and
Have a sense of humour.
Non-Productive Stress Management
Many see alcohol as a way to relax.

Limited consumption of alcohol is acceptable

in social settings, but alcohol as a means of


relaxation adds a new problem instead of solving
the problems created by stress.

Use of alcohol as a recreational drug is

unacceptable. Excessive use of alcohol and


driving under the influence of alcohol is a major
problem in many peacekeeping missions.

3 UN DPKO, United Nations Stress Management


Booklet. 1995.

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Sex is used by some as a recreational drug or a


mode of relaxation. However, keep in mind that:

Reaction to stress may show in the performance of


the individual:

DPKO strongly advises against having sex

Concentrating on the tasks at hand may become

Sex does not solve or heal stress-related

Individuals normally in command of their

during the mission;


reactions; and

Having sex with commercial sex workers or

people from the local population is against the


Code of Conduct and strictly prohibited.

Identifying Stress-related Disease


Many do not react to subtle changes in their own
emotions or behaviour, but may identify it in others.
If an individual can identify changes that may
be stress-related in him or herself, or in others,
they should initiate treatment. A person must
acknowledge a reaction to be able to relate to and
deal with it.
How does too much stress affect an individual?

It is often easier to identify stress reactions in


others than in oneself;

If one recognizes it in him or herself, accept it


and seek support in dealing with it; and

If one recognizes it in others, they should help


them to get the support they need.

The symptoms and reactions of stress-related


disease may be physical, such as fatigue, cold
sweats, elevated blood pressure, and increased
heart rate with pains resembling angina pectoris
(systematic tremors), cognitive side effects such
as temporary confusion, difficulty concentrating,
slowing of thought processes, difficulty in
understanding situations and making decisions,
emotional side effects such as anxiety, guilty
feelings, sadness, feeling defeated and apathetic,
anger, irritability, scapegoat mentality, feeling
all-powerful, excited, or invulnerable, or behavioural
changes, such as dangerous driving, hyperactivity,
endless discussions, senseless arguments, and
staying too long in the office.4

increasingly difficult;

performance start forgetting appointments


and decisions, changing their priorities, and
becoming forgetful; and

Individuals normally decisive suddenly stop


making decisions.

The physical side of stress reactions most often


seen are:

Spells of dizziness and nausea;


Higher than normal pulse or erratic heart rate;
and

Episodes of sweating.
Although the range of emotional reactions to
trauma is limited, such reactions may vary from one
individual to another. The time it takes for these
reactions to appear and their severity depends on
the persons character and vulnerability at the time.
It is typical for a normally well-balanced individual
to show episodes of:

Unprovoked anger;
Emotional incontinence, when good things
appear good beyond belief and sad things
become sad beyond limits;

Sadness or depression without any known


reason; and

A feeling of not being able to perform to


expectation.

Stress reactions lead to a number of other


changes in the individual, including a change in
eating habits. These changes may lead to loss of
appetite or development of an eating disorder such
as anorexia, or to binge eating and disregard for
weight changes.

4 Ibid.

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People who are normally impeccably tidy may


become less particular with their personal hygiene.
Behaviour changes often lead to withdrawal from
the company of others. Always beware of those
who suddenly become invisible.
The normal emotional state of an individual
fluctuates between happy and unhappy, with an
average around content. In a mentally healthy
individual, every day will have its highs and lows.
Stress reactions often makes highs and lows
go away, and the person becomes emotionally
flat. The most important warning sign for a quiet
sufferer is withdrawal.

Summary
Stress is a normal and natural reaction to
changes and difficulties encountered through
life. When these stresses become too frequent,
too prolonged, or too intense, they start to have
negative effects on well-being. By recognizing the
three kinds of stress, the factors that contribute to
and diminish stress, and resources for support,
stress management can become a reality, even in
the field. Remember that peacekeeping operations
present individuals with situations that are more
stressful than usual. However, with proper
communication, preparation, and support, these
difficulties can be endured and overcome.

Stress Management is like mental first aid, and


should be approached in the same manner,
following much the same hints.

Observe that someone (maybe yourself) is in


need of help;

Identify the agent or cause that has initiated the


process leading to a need for help; and

Change the situation of the person so that this


process can no longer affect him.

By caring and applying your knowledge, you may


begin reversing the process. Continue caring until
the process is fully reversed. If you cannot reverse
the process fully, seek professional help. If you
cannot manage your own stress ask someone for
support. If you see somebody in need of support,
dont shy away, but offer what you have learned.
In brief, listen, comfort, and support.
Most situations can be solved at unit level. It is no
shame to the units or to the individuals involved if
this level of support is not sufficient. In these cases,
acknowledge the need and refer to professional
stress management.

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End-of-Lesson Quiz
1. Stress enables one to:
A. Know personal limitations.
B. Have a sense of humour.
C. Mobilize maximum physical energy.
D. Conserve strength.

2. The main objective of stress management is


to:
A. Enable an individual to avoid all potentially
frustrating situations.

7. Both basic and cumulative stresses may derive


from:
A. Simple daily activities.
B. Traumatic incidents.
C. Negative news from family or friends at home.
D. Hostage situations.

8. Prolonged and life-altering reactions to


Critical Incident Stress are known as:
A. Traumatic stress.

B. Enable an individual to function at his or her


optimal level in a healthy and positive manner.

B. Post-Traumatic Stress Disorder (PTSD).

C. Enable an individual to use eating to cope with


problems.

D. Intensive cumulative stress.

D. Identify the basic types of stress,

3. Stress is:

C. Stress management.

9. List at least five guidelines that have been


found to be effective in stress management
strategy development.

A. Always unhealthy.
B. Unmanageable.
C. Unnatural.
D. Addictive.

4. The stress reaction is a ____________


reaction.
A. negative and careless

10. The normal emotional state of an individual


fluctuates between happy and unhappy, with
an average around:
A. Content.
B. Depressed.
C. Ecstatic.
D. Neutral.

B. positive and normal


C. honest
D. destructive and unnatural

5. List the factors that influence the way


individuals cope with stress.
6. What is the most intense type of stress?
A. Cumulative stress.
B. Basic stress.
C. Critical Incident Stress.
D. Pre-deployment stress.

ANSWER KEY
1C, 2B, 3D, 4B,
5. Factors that influence the way individuals cope
with stress includep past experience with similar
situations; education and professional skills;
pre-deployment training; age; physical fitness;
self-esteem; and approach to life.
6C, 7A, 8B,
9. For complete list, see Dealing with Stress in the
Field under Section 10.3.
10A.

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Appendix A: Table of Acronyms


AIDS

Acquired Immune Deficiency Syndrome

AP

Anti Personnel (Mines)

ARV

Antiretroviral Drug

B/ASITF

Basic/Advanced Security Training in the Field

CAO

Chief Administrative Officer

CDT

Conduct and Discipline Team

CIMIC

Civil-Military Coordination

CIVPOL

Civilian Police

CMO

Chief Military Observer

COE

Contingent-Owned Equipment

CONOPS

Concept of Operations

CPTM

Core Pre-deployment Training Materials

CRC

Convention on the Rights of the Child

CSO

Chief Security Officer

DDR

Disarmament, Demobilisation, and Reintegration

DFS

Department of Field Support

DPKO

Department of Peacekeeping Operations

DPA

Department of Political Affairs

DUF

Directive on the Use of Force

ECOSOC

Economic and Social Council

FC

Force Commander

FPU

Formed Police Unit

GA

General Assembly

HC

Humanitarian Coordinator

HIV

Human Immunodeficiency Virus

HOM

Head of Mission

ICRC

International Committee of the Red Cross

ICCPR

International Covenant on Civil and Political Rights

IDP

Internally Displaced Persons

IHL

International Humanitarian Law

IMPP

Integrated Mission Planning Process

ISF

Integrated Strategic Framework

ISS

Integrated Support Services

ITS

Integrated Training Service

LOAC

Law of Armed Conflict

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MEDEVAC

Medical Evacuation

MILOBS

(UN) Military Observers

MOU

Memorandum of Understanding

MSA

Meal and Subsistence Allowance

MTS

Misconduct Tracking System

OCHA

Office for the Coordination of Humanitarian Affairs

OIOS

Office of Internal Oversight Services

PCO

Personnel Conduct Officer

PIO

Public Information Office(r)

PKO

Peacekeeping Operation

PTSD

Post-Traumatic Stress Disorder

RBB

Results-Based Budget

ROE

Rules of Engagement

SC

Security Council

SEA

Sexual Exploitation and Abuse

SG

Secretary-General

SLS

Security Level System

SOFA

Status of Forces Agreement

SOMA

Status of Mission Agreement

SOP

Standard Operating Procedures

SRSG

Special Representative to the Secretary-General

STI

Sexually Transmitted Infection

TCC

Troop-Contributing Country

UDHR

Universal Declaration of Human Rights

UNCT

United Nations Country Team

UNDP

United Nations Development Programme

UNHCR

United Nations High Commissioner for Refugees

UNHOC

United Nations Humanitarian Operations Centre

UNHQ

United Nations Headquarters

UNICEF

United Nations Childrens Fund

UNOE

United Nations Owned Equipment

UNPKO

United Nations Peacekeeping Operations

UNSCR

United Nations Security Council Resolution

UNSECOORD Office of the United Nations Security Coordinator


UNSMS

United Nations Security Management System

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Appendix B: List Of UN Peacekeeping Operations

List of UN Peacekeeping Operations


DOMREP

Mission of the Representative of the Secretary-General in the Dominican Republic

MINUGUA

United Nations Verification Mission in Guatemala

UN Civilian Police Support Group

MINURCA

United Nations Mission in the Central African Republic

MINURCAT

United Nations Mission in the Central African Republic and Chad

MINURSO

United Nations Mission for the Referendum in Western Sahara

MINUSTAH

United Nations Stabilization Mission in Haiti

MIPONUH

United Nations Civilian Police Mission in Haiti

MONUA

United Nations Observer Mission in Angola

MONUC

United Nations Organization Mission in the Democratic Republic of the Congo

MONUSCO

United Nations Organization Stabilization Mission in the Democratic Republic of the


Congo

ONUB

United Nations Operation in Burundi

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ONUC

United Nations Operation in the Congo

ONUCA

United Nations Observer Group in Central America

ONUMOZ

United Nations Operation in Mozambique

ONUSAL

United Nations Observer Mission in El Salvador

UNAMIC

United Nations Advance Mission in Cambodia

UNAMID

African Union-United Nations Hybrid Operation in Darfur

UNAMIR

United Nations Assistance Mission for Rwanda

UNAMSIL

United Nations Mission in Sierra Leone

UNASOG

United Nations Aouzou Strip Observer Group

UNAVEM I

United Nations Angola Verification Mission I

UNAVEM II

United Nations Angola Verification Mission II

UNAVEM III

United Nations Angola Verification Mission III

UNCRO

United Nations Confidence Restoration Operation in Croatia

UNDOF

United Nations Disengagement Observer Force

UNEF I

First United Nations Emergency Force

UNEF II

Second United Nations Emergency Force

UNFICYP

United Nations Peacekeeping Force in Cyprus

UNGOMAP

United Nations Good Offices Mission in Afghanistan and Pakistan

UNIFIL

United Nations Interim Force in Lebanon

UNIIMOG

United Nations Iran-Iraq Military Observer Group

UNIKOM

United Nations Iraq-Kuwait Observation Mission

UNIPOM

United Nations India-Pakistan Observation Mission

UNISFA

United Nations Organization Interim Security Force for Abyei

UNMEE

United Nations Mission in Ethiopia and Eritrea

UNMIBH

United Nations Mission in Bosnia and Herzegovina

UNMIH

United Nations Mission in Haiti

UNMIK

United Nations Interim Administration Mission in Kosovo

UNMIL

United Nations Mission in Liberia

UNMIS

United Nations Mission in the Sudan

UNMISET

United Nations Mission of Support in East Timor

UNMISS

United Nations Mission in the Republic of South Sudan

UNMIT

United Nations Integrated Mission in Timor-Leste

UNMOGIP

United Nations Military Observer Group in India and Pakistan

UNMOP

United Nations Mission of Observers in Prevlaka

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UNMOT

United Nations Mission of Observers in Tajikistan

UNOCI

United Nations Operation in Cte dIvoire

UNOGIL

United Nations Observation Group in Lebanon

UNOMIG

United Nations Observer Mission in Georgia

UNOMIL

United Nations Observer Mission in Liberia

UNOMSIL

United Nations Observer Mission in Sierra Leone

UNOMUR

United Nations Observer Mission Uganda-Rwanda

UNOSOM I

United Nations Operation in Somalia I

UNOSOM II

United Nations Operation in Somalia II

UNPREDEP

United Nations Preventive Deployment Force

UNPROFOR United Nations Protection Force


UNSF

United Nations Security Force in West New Guinea

UNSMIH

United Nations Support Mission in Haiti

UNSMIS

United Nations Supervision Mission in Syria

UNTAC

United Nations Transitional Authority in Cambodia

UNTAES

United Nations Transitional Administration for Eastern Slavonia, Baranja and Western
Sirmium

UNTAET

United Nations Transitional Administration in East Timor

UNTAG

United Nations Transition Assistance Group

UNTMIH

United Nations Transition Mission in Haiti

UNTSO

United Nations Truce Supervision Organization

UNYOM

United Nations Yemen Observation Mission

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Appendix C: We Are United Nations Peacekeepers

The United Nations Organization embodies the aspirations of all the people of the world for peace. In
this context the United Nations Charter requires that all personnel must maintain the highest standards
of integrity and conduct.
We will comply with the Guidelines on International Humanitarian Law for Forces Undertaking United
Nations Peacekeeping Operations and the applicable portions of the Universal Declaration of Human
Rights as the fundamental basis of our standards.
We, as peacekeepers, represent the United Nations and are present in the country to help it recover
from the trauma of a conflict. As a result we must consciously be prepared to accept special constraints
in our public and private lives in order to do the work and to pursue the ideals of the United Nations
Organization.
We will be accorded certain privileges and immunities arranged through agreements negotiated
between the United Nations and the host country solely for the purpose of discharging our
peacekeeping duties. Expectations of the world community and the local population will be high and our
actions, behaviour and speech will be closely monitored.
We will always:

Conduct ourselves in a professional and disciplined manner, at all times;


Dedicate ourselves to achieving the goals of the United Nations;
Understand the mandate and mission and comply with their provisions;
Respect the environment of the host country;
Respect local customs and practices through awareness and respect for the culture, religion,
traditions and gender issues;

Treat the inhabitants of the host country with respect, courtesy and consideration;
Act with impartiality, integrity and tact;
Support and aid the infirm, sick and weak;
Obey our United Nations superiors and respect the chain of command;
Respect all other peace-keeping members of the mission regardless of status, rank, ethnic or
national origin, race, gender, or creed;

Support and encourage proper conduct among our fellow peace-keepers;


Maintain proper dress and personal deportment at all times;
Properly account for all money and property assigned to us as members of the mission; and
Care for all United Nations equipment placed in our charge.

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329

We will never:

Bring discredit upon the United Nations, or our nations through improper personal conduct, failure to
perform our duties or abuse of our positions as peace-keepers;

Take any action that might jeopardize the mission;


Abuse alcohol, use or traffic in drugs;
Make unauthorized communications to external agencies, including unauthorized press statements;
Improperly disclose or use information gained through our employment;
Use unnecessary violence or threaten anyone in custody;
Commit any act that could result in physical, sexual or psychological harm or suffering to members
of the local population, especially women and children;

Become involved in sexual liaisons which could affect our impartiality, or the well-being of others;
Be abusive or uncivil to any member of the public;
Willfully damage or misuse any United Nations property or equipment;
Use a vehicle improperly or without authorisation;
Collect unauthorized souvenirs;
Participate in any illegal activities, corrupt or improper practices; or
Attempt to use our positions for personal advantage, to make false claims or accept benefits to
which we are not entitled.

We realize that the consequences of failure to act within these guidelines may:
Erode confidence and trust in the United Nations;
Jeopardize the achievement of the mission; and
Jeopardize our status and security as peacekeepers.

United Nations Department of Peacekeeping Operations


Training Unit

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Appendix D: Secretary-Generals Bulletin on Sexual


Exploitation and Abuse
ST/SGB/2003/13

United Nations

Secretariat

9 October 2003

Secretary-Generals Bulletin
Special measures for protection from sexual exploitation and
sexual abuse
The Secretary-General, for the purpose of preventing and addressing cases of
sexual exploitation and sexual abuse, and taking into consideration General
Assembly resolution 57/306 of 15 April 2003, Investigation into sexual
exploitation of refugees by aid workers in West Africa, promulgates the following
in consultation with Executive Heads of separately administered organs and
programmes of the United Nations:
Section 1
Definitions
For the purposes of the present bulletin, the term sexual exploitation means
any actual or attempted abuse of a position of vulnerability, differential power, or
trust, for sexual purposes, including, but not limited to, profiting monetarily,
socially or politically from the sexual exploitation of another. Similarly, the term
sexual abuse means the actual or threatened physical intrusion of a sexual nature,
whether by force or under unequal or coercive conditions.
Section 2
Scope of application
2.1 The present bulletin shall apply to all staff of the United Nations, including
staff of separately administered organs and programmes of the United Nations.
2.2 United Nations forces conducting operations under United Nations command
and control are prohibited from committing acts of sexual exploitation and sexual
abuse, and have a particular duty of care towards women and children, pursuant to
section 7 of Secretary-Generals bulletin ST/SGB/1999/13, entitled Observance by
United Nations forces of international humanitarian law.
2.3 Secretary-Generals bulletin ST/SGB/253, entitled Promotion of equal
treatment of men and women in the Secretariat and prevention of sexual
harassment, and the related administrative instruction 1 set forth policies and
procedures for handling cases of sexual harassment in the Secretariat of the United
Nations. Separately administered organs and programmes of the United Nations
have promulgated similar policies and procedures.
__________________
1

03-55040 (E)

Currently ST/AI/379, entitled Procedures for dealing with sexual harassment.

101003

*
0
3
5
5
0
4
0
*

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ST/SGB/2003/13

Section 3
Prohibition of sexual exploitation and sexual abuse
3.1 Sexual exploitation and sexual abuse violate universally recognized
international legal norms and standards and have always been unacceptable
behaviour and prohibited conduct for United Nations staff. Such conduct is
prohibited by the United Nations Staff Regulations and Rules.
3.2 In order to further protect the most vulnerable populations, especially women
and children, the following specific standards which reiterate existing general
obligations under the United Nations Staff Regulations and Rules, are promulgated:
(a) Sexual exploitation and sexual abuse constitute acts of serious misconduct
and are therefore grounds for disciplinary measures, including summary dismissal;
(b) Sexual activity with children (persons under the age of 18) is prohibited
regardless of the age of majority or age of consent locally. Mistaken belief in the age
of a child is not a defence;
(c) Exchange of money, employment, goods or services for sex, including
sexual favours or other forms of humiliating, degrading or exploitative behaviour, is
prohibited. This includes any exchange of assistance that is due to beneficiaries of
assistance;
(d) Sexual relationships between United Nations staff and beneficiaries of
assistance, since they are based on inherently unequal power dynamics, undermine
the credibility and integrity of the work of the United Nations and are strongly
discouraged;
(e) Where a United Nations staff member develops concerns or suspicions
regarding sexual exploitation or sexual abuse by a fellow worker, whether in the
same agency or not and whether or not within the United Nations system, he or she
must report such concerns via established reporting mechanisms;
(f) United Nations staff are obliged to create and maintain an environment
that prevents sexual exploitation and sexual abuse. Managers at all levels have a
particular responsibility to support and develop systems that maintain this
environment.
3.3 The standards set out above are not intended to be an exhaustive list. Other
types of sexually exploitive or sexually abusive behaviour may be grounds for
administrative action or disciplinary measures, including summary dismissal,
pursuant to the United Nations Staff Regulations and Rules.
Section 4
Duties of Heads of Departments, Offices and Missions
4.1 The Head of Department, Office or Mission, as appropriate, shall be responsible
for creating and maintaining an environment that prevents sexual exploitation and
sexual abuse, and shall take appropriate measures for this purpose. In particular, the
Head of Department, Office or Mission shall inform his or her staff of the contents of
the present bulletin and ascertain that each staff member receives a copy thereof.
4.2 The Head of Department, Office or Mission shall be responsible for taking
appropriate action in cases where there is reason to believe that any of the standards
listed in section 3.2 above have been violated or any behaviour referred to in section

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ST/SGB/2003/13

3.3 above has occurred. This action shall be taken in accordance with established
rules and procedures for dealing with cases of staff misconduct.
4.3 The Head of Department, Office or Mission shall appoint an official, at a
sufficiently high level, to serve as a focal point for receiving reports on cases of
sexual exploitation and sexual abuse. With respect to Missions, the staff of the
Mission and the local population shall be properly informed of the existence and
role of the focal point and of how to contact him or her. All reports of sexual
exploitation and sexual abuse shall be handled in a confidential manner in order to
protect the rights of all involved. However, such reports may be used, where
necessary, for action taken pursuant to section 4.2 above.
4.4 The Head of Department, Office or Mission shall not apply the standard
prescribed in section 3.2 (b), where a staff member is legally married to someone
under the age of 18 but over the age of majority or consent in their country of
citizenship.
4.5 The Head of Department, Office or Mission may use his or her discretion in
applying the standard prescribed in section 3.2 (d), where beneficiaries of assistance
are over the age of 18 and the circumstances of the case justify an exception.
4.6 The Head of Department, Office or Mission shall promptly inform the
Department of Management of its investigations into cases of sexual exploitation
and sexual abuse, and the actions it has taken as a result of such investigations.
Section 5
Referral to national authorities
If, after proper investigation, there is evidence to support allegations of sexual
exploitation or sexual abuse, these cases may, upon consultation with the Office of
Legal Affairs, be referred to national authorities for criminal prosecution.
Section 6
Cooperative arrangements with non-United Nations entities or individuals
6.1 When entering into cooperative arrangements with non-United Nations entities
or individuals, relevant United Nations officials shall inform those entities or
individuals of the standards of conduct listed in section 3, and shall receive a written
undertaking from those entities or individuals that they accept these standards.
6.2 The failure of those entities or individuals to take preventive measures against
sexual exploitation or sexual abuse, to investigate allegations thereof, or to take
corrective action when sexual exploitation or sexual abuse has occurred, shall
constitute grounds for termination of any cooperative arrangement with the United
Nations.
Section 7
Entry into force
The present bulletin shall enter into force on 15 October 2003.
(Signed) Kofi A. Annan
Secretary-General

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333

Appendix E: Security Council Resolution 1539 (2004)

S/RES/1539 (2004)

United Nations

Security Council

Distr.: General
22 April 2004

Resolution 1539 (2004)


Adopted by the Security Council at its 4948th meeting,
on 22 April 2004
The Security Council,
Reaffirming its resolutions 1261 (1999) of 25 August 1999, 1314 (2000) of 11
August 2000, 1379 (2001) of 20 November 2001, and 1460 (2003) of 30 January
2003 which provide a comprehensive framework for addressing the protection of
children affected by armed conflict,
Recalling its resolution 1308 (2000) on the responsibility of the Security
Council in the maintenance of peace and security: HIV/AIDS and International
Peacekeeping Operations and its resolution 1325 (2000) on Women, Peace and
Security,
While noting the advances made for the protection of children affected by
armed conflict, particularly in the areas of advocacy and the development of norms
and standards, remaining deeply concerned over the lack of overall progress on the
ground, where parties to conflict continue to violate with impunity the relevant
provisions of applicable international law relating to the rights and protection of
children in armed conflict,
Recalling the responsibilities of States to end impunity and to prosecute those
responsible for genocide, crimes against humanity, war crimes and other egregious
crimes perpetrated against children,
Reiterating its primary responsibility for the maintenance of international
peace and security and, in this connection, its commitment to address the
widespread impact of armed conflict on children,
Underlining the importance of the full, safe and unhindered access of
humanitarian personnel and goods and the delivery of humanitarian assistance to all
children affected by armed conflict,
Noting the fact that the conscription or enlistment of children under the age of
15 or using them to participate actively in hostilities in both international and noninternational armed conflict is classified as a war crime by the Rome Statute of the
International Criminal Court and noting also that the Optional Protocol to the
Convention on the Rights of the Child on the involvement of children in armed
conflict requires States parties to set a minimum age of 18 for compulsory
recruitment and participation in hostilities and to raise the minimum age for
04-31863 (E)

*0431863*
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S/RES/1539 (2004)

voluntary recruitment from that set out in article 38, paragraph 3, of the Convention
on the Rights of the Child and to take all feasible measures to ensure that members
of their armed forces who have not attained the age of 18 years do not take a direct
part in hostilities,
Stressing its determination to ensure respect for its resolutions and other
international norms and standards for the protection of children affected by armed
conflict,
Having considered the report of the Secretary-General of 10 November 2003
pursuant to paragraph 16 of its resolution 1460 (2003) and stressing that the present
resolution does not seek to make any legal determination as to whether situations
which will be referred in the Secretary-Generals report are or are not armed
conflicts within the context of the Geneva Conventions and the Additional Protocols
thereto, nor does it prejudge the legal status of the non-State parties involved in
these situations,
Strongly condemns the recruitment and use of child soldiers by parties to
1.
armed conflict in violation of international obligations applicable to them, killing
and maiming of children, rape and other sexual violence mostly committed against
girls, abduction and forced displacement, denial of humanitarian access to children,
attacks against schools and hospitals as well as trafficking, forced labour and all
forms of slavery and all other violations and abuses committed against children
affected by armed conflict;
Requests the Secretary-General, taking into account the proposals
2.
contained in his report as well as any other relevant elements, to devise urgently and
preferably within three months, an action plan for a systematic and comprehensive
monitoring and reporting mechanism, which utilizes expertise from the United
Nations system and the contributions of national Governments, regional
organizations, non-governmental organizations in their advisory capacity and
various civil society actors, in order to provide timely, objective, accurate and
reliable information on the recruitment and use of child soldiers in violation of
applicable international law and on other violations and abuses committed against
children affected by armed conflict, for consideration in taking appropriate action;
Expresses its intention to take appropriate measures, in particular while
3.
considering subregional and cross-border activities, to curb linkages between illicit
trade in natural and other resources, illicit trafficking in small arms and light
weapons, cross-border abduction and recruitment, and armed conflict, which can
prolong armed conflict and intensify its impact on children, and consequently
requests the Secretary-General to propose effective measures to control this illicit
trade and trafficking;
Calls upon all parties concerned to abide by the international obligations
4.
applicable to them relating to the protection of children affected by armed conflict,
as well as the concrete commitments they have made to the Special Representative
of the Secretary-General for Children and Armed Conflict, to UNICEF and other
United Nations agencies, and to cooperate fully with the United Nations
peacekeeping missions and United Nations country teams, where appropriate in the
context of the cooperation framework between the United Nations and the concerned
government, in the follow-up and implementation of these commitments;
Takes note with deep concern of the continued recruitment and use of
5.
children by parties mentioned in the Secretary-Generals report in situations of

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S/RES/1539 (2004)

armed conflict which are on its agenda, in violation of applicable international law
relating to the rights and protection of children and, in this regard:
(a) Calls upon these parties to prepare within three months concrete timebound action plans to halt recruitment and use of children in violation of the
international obligations applicable to them, in close collaboration with United
Nations peacekeeping missions and United Nations country teams, consistent with
their respective mandates;
(b) Requests the Secretary-General, in order to promote an effective and
coordinated follow-up to this resolution, to ensure that compliance by these parties
is reviewed regularly, within existing resources, through a process involving all
stakeholders at the country level, including government representatives, and
coordinated by a focal point to be designated by the Secretary-General and in charge
of engaging parties in dialogue leading to time-bound action plans, so as to report to
the Secretary-General through his Special Representative by 31 July 2004, bearing
in mind lessons learned from past dialogues as contained in paragraph 77 of the
Secretary-Generals report;
(c) Expresses its intention to consider imposing targeted and graduated
measures, through country-specific resolutions, such as, inter alia, a ban on the
export or supply of small arms and light weapons and of other military equipment
and on military assistance, against these parties if they refuse to enter into dialogue,
fail to develop an action plan or fail to meet the commitments included in their
action plan, bearing in mind the Secretary-Generals report;
Also takes note with deep concern of the continued recruitment and use
6.
of children by parties in other situations of armed conflict mentioned in the
Secretary-Generals report, in violation of applicable international law relating to
the rights and protection of children, calls on these parties to halt immediately their
recruitment or use of children and expresses, on the basis of timely, objective,
accurate and reliable information received from relevant stakeholders, its intention
to consider taking appropriate steps to further address this issue, in accordance with
the Charter of the United Nations, its resolutions 1379 (2001) and 1460 (2003) and
the present resolution;
Decides to continue the inclusion of specific provisions for the protection
7.
of children in the mandates of United Nations peacekeeping operations, including,
on a case-by-case basis, the deployment of child protection advisers (CPAs), and
requests the Secretary-General to ensure that the need for, and the number and roles
of CPAs are systematically assessed during the preparation of each United Nations
peacekeeping operation;
Reiterates its requests to all parties concerned, including United Nations
8.
agencies, funds and programmes as well as financial institutions, to continue to
ensure that all children associated with armed forces and groups, as well as issues
related to children, are systematically included in every disarmament,
demobilization and reintegration process, taking into account the specific needs and
capacities of girls, with a particular emphasis on education, including the
monitoring, through, inter alia, schools, of children demobilized in order to prevent
re-recruitment and bearing in mind the assessment of best practices, including those
contained in paragraph 65 of the report of the Secretary-General;
Calls upon States and the United Nations system to recognize the
9.
important role of education in conflict areas in halting and preventing recruitment
and re-recruitment of children contrary to the obligations of parties to conflict;

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S/RES/1539 (2004)

10. Notes with concern all the cases of sexual exploitation and abuse of
women and children, especially girls, in humanitarian crisis, including those cases
involving humanitarian workers and peacekeepers, requests contributing countries to
incorporate the Six Core Principles of the Inter-Agency Standing Committee on
Emergencies into pertinent codes of conduct for peacekeeping personnel and to
develop appropriate disciplinary and accountability mechanisms and welcomes the
promulgation of the Secretary-Generals bulletin on special measures for protection
from sexual exploitation and sexual abuse;
11. Requests the agencies, funds and programmes of the United Nations, with
support from contributing countries, to implement HIV/AIDS education and offer
HIV testing and counselling services for all United Nations peacekeepers, police and
humanitarian personnel;
12. Welcomes recent initiatives by regional and subregional organizations and
arrangements for the protection of children affected by armed conflict and, in this
regard, notes the adoption by ECOWAS of a peer review framework on the
protection of children and the adoption of Guidelines on Children and Armed
Conflict by the European Union and encourages such organizations and
arrangements, in cooperation with the United Nations, to pursue their efforts,
through, inter alia:
(a) Mainstreaming the protection of children affected by armed conflict into
their advocacy, policies and programmes, paying special attention to girls;
(b)

Developing peer review and monitoring and reporting mechanisms;

(c)

Establishing, within their secretariats, child protection mechanisms;

(d) Including child protection staff and training in their peace and field
operations;
(e) Undertaking sub- and interregional initiatives to end activities harmful to
children in times of conflict, in particular, cross-border recruitment and abduction of
children, illicit movement of small arms, and illicit trade in natural resources;
13. Encourages support for the development and strengthening of capacities
of national and regional institutions and local and regional civil society networks to
ensure the sustainability of local initiatives for advocacy, protection and
rehabilitation of children affected by armed conflict;
14. Reiterates its request to the Secretary-General to ensure that in all his
reports on country-specific situations, the protection of children is included as a
specific aspect of the report and expresses its intention to give its full attention to
the information provided therein when dealing with those situations on its agenda
and in this regard stresses the primary responsibility of the United Nations
peacekeeping missions and United Nations country teams, consistent within their
respective mandates, to ensure effective follow-up to this and the other resolutions;
15. Further requests the Secretary-General to submit a report by 31 October
2004 on the implementation of this resolution and its resolutions 1379 (2001) and
1460 (2003) which would include, inter alia:
(a) Information on compliance and progress made by parties mentioned in
his report in situations of armed conflict which are on the agenda of the Security
Council, in accordance with paragraph 5, as well as by parties in other situations of
armed conflict mentioned in his report, in accordance with paragraph 6, in ending
the recruitment or use of children in armed conflict in violation of applicable

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S/RES/1539 (2004)

international law relating to the rights and protection of children, bearing in mind all
other violations and abuses committed against children affected by armed conflict;
(b) Information on progress made regarding the action plan requested in
paragraph 2 that calls for a systematic and comprehensive monitoring and reporting
mechanism;
(c)
report;
16.

The incorporation of best practices for DDR programmes outlined in his


Decides to remain actively seized of this matter.

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Appendix F: The Universal Declaration of Human Rights

PREAMBLE
Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the
human family is the foundation of freedom, justice and peace in the world,
Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged
the conscience of mankind, and the advent of a world in which human beings shall enjoy freedom of
speech and belief and freedom from fear and want has been proclaimed as the highest aspiration of the
common people,
Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebellion
against tyranny and oppression, that human rights should be protected by the rule of law,
Whereas it is essential to promote the development of friendly relations between nations,
Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental
human rights, in the dignity and worth of the human person and in the equal rights of men and women
and have determined to promote social progress and better standards of life in larger freedom,
Whereas Member States have pledged themselves to achieve, in cooperation with the United Nations,
the promotion of universal respect for and observance of human rights and fundamental freedoms,
Whereas a common understanding of these rights and freedoms is of the greatest importance for the
full realization of this pledge,
Now, Therefore THE GENERAL ASSEMBLY proclaims THIS UNIVERSAL DECLARATION OF
HUMAN RIGHTS as a common standard of achievement for all peoples and all nations, to the end that
every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by
teaching and education to promote respect for these rights and freedoms and by progressive measures,
national and international, to secure their universal and effective recognition and observance, both
among the peoples of Member States themselves and among the peoples of territories under their
jurisdiction.
Article 1.

All human beings are born free and equal in dignity and rights. They are endowed with reason and
conscience and should act towards one another in a spirit of brotherhood.

Article 2.

Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of
any kind, such as race, colour, sex, language, religion, political or other opinion, national or social
origin, property, birth or other status. Furthermore, no distinction shall be made on the basis of the
political, jurisdictional or international status of the country or territory to which a person belongs,
whether it be independent, trust, non-self-governing or under any other limitation of sovereignty.

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Article 3.

Everyone has the right to life, liberty and security of person.


Article 4.

No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their
forms.

Article 5.

No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment.


Article 6.

Everyone has the right to recognition everywhere as a person before the law.
Article 7.

All are equal before the law and are entitled without any discrimination to equal protection of the law.

All are entitled to equal protection against any discrimination in violation of this Declaration and against
any incitement to such discrimination.

Article 8.

Everyone has the right to an effective remedy by the competent national tribunals for acts violating the
fundamental rights granted him by the constitution or by law.

Article 9.

No one shall be subjected to arbitrary arrest, detention or exile.


Article 10.

Everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal,
in the determination of his rights and obligations and of any criminal charge against him.

Article 11.

(1) Everyone charged with a penal offence has the right to be presumed innocent until proved guilty
according to law in a public trial at which he has had all the guarantees necessary for his defence.

(2) No one shall be held guilty of any penal offence on account of any act or omission which did not

constitute a penal offence, under national or international law, at the time when it was committed. Nor
shall a heavier penalty be imposed than the one that was applicable at the time the penal offence was
committed.

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Article 12.

No one shall be subjected to arbitrary interference with his privacy, family, home or

correspondence, nor to attacks upon his honour and reputation. Everyone has the right to the
protection of the law against such interference or attacks.

Article 13.

(1) Everyone has the right to freedom of movement and residence within the borders of each state.
(2) Everyone has the right to leave any country, including his own, and to return to his country.
Article 14.

(1) Everyone has the right to seek and to enjoy in other countries asylum from persecution.
(2) This right may not be invoked in the case of prosecutions genuinely arising from non-political
crimes or from acts contrary to the purposes and principles of the United Nations.

Article 15.

(1) Everyone has the right to a nationality.


(2) No one shall be arbitrarily deprived of his nationality nor denied the right to change his
nationality.

Article 16.

(1) Men and women of full age, without any limitation due to race, nationality or religion, have

the right to marry and to found a family. They are entitled to equal rights as to marriage, during
marriage and at its dissolution.

(2) Marriage shall be entered into only with the free and full consent of the intending spouses.
(3) The family is the natural and fundamental group unit of society and is entitled to protection by
society and the State.

Article 17.

(1) Everyone has the right to own property alone as well as in association with others.
(2) No one shall be arbitrarily deprived of his property.
Article 18.

Everyone has the right to freedom of thought, conscience and religion; this right includes freedom

to change his religion or belief, and freedom, either alone or in community with others and in public
or private, to manifest his religion or belief in teaching, practice, worship and observance.

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Article 19.

Everyone has the right to freedom of opinion and expression; this right includes freedom to hold

opinions without interference and to seek, receive and impart information and ideas through any
media and regardless of frontiers.

Article 20.

(1) Everyone has the right to freedom of peaceful assembly and association.
(2) No one may be compelled to belong to an association.
Article 21.

(1) Everyone has the right to take part in the government of his country, directly or through freely
chosen representatives.

(2) Everyone has the right of equal access to public service in his country.
(3) The will of the people shall be the basis of the authority of government; this will shall be

expressed in periodic and genuine elections which shall be by universal and equal suffrage and
shall be held by secret vote or by equivalent free voting procedures.

Article 22.

Everyone, as a member of society, has the right to social security and is entitled to realization,

through national effort and international cooperation and in accordance with the organization and
resources of each State, of the economic, social and cultural rights indispensable for his dignity and
the free development of his personality.

Article 23.

(1) Everyone has the right to work, to free choice of employment, to just and favourable conditions of
work and to protection against unemployment.

(2) Everyone, without any discrimination, has the right to equal pay for equal work.
(3) Everyone who works has the right to just and favourable remuneration ensuring for himself and

his family an existence worthy of human dignity, and supplemented, if necessary, by other means of
social protection.

(4) Everyone has the right to form and to join trade unions for the protection of his interests.
Article 24.

Everyone has the right to rest and leisure, including reasonable limitation of working hours and
periodic holidays with pay.

Article 25.

(1) Everyone has the right to a standard of living adequate for the health and well-being of himself

and of his family, including food, clothing, housing and medical care and necessary social services,

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and the right to security in the event of unemployment, sickness, disability, widowhood, old age or
other lack of livelihood in circumstances beyond his control.

(2) Motherhood and childhood are entitled to special care and assistance. All children, whether born
in or out of wedlock, shall enjoy the same social protection.

Article 26.

(1) Everyone has the right to education. Education shall be free, at least in the elementary and

fundamental stages. Elementary education shall be compulsory. Technical and professional


education shall be made generally available and higher education shall be equally accessible to all
on the basis of merit.

(2) Education shall be directed to the full development of the human personality and to

the strengthening of respect for human rights and fundamental freedoms. It shall promote
understanding, tolerance and friendship among all nations, racial or religious groups, and shall
further the activities of the United Nations for the maintenance of peace.

(3) Parents have a prior right to choose the kind of education that shall be given to their children.
Article 27.

(1) Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts
and to share in scientific advancement and its benefits.

(2) Everyone has the right to the protection of the moral and material interests resulting from any
scientific, literary or artistic production of which he is the author.

Article 28.

Everyone is entitled to a social and international order in which the rights and freedoms set forth in
this Declaration can be fully realized.

Article 29.

(1) Everyone has duties to the community in which alone the free and full development of his
personality is possible.

(2) In the exercise of his rights and freedoms, everyone shall be subject only to such limitations

as are determined by law solely for the purpose of securing due recognition and respect for the
rights and freedoms of others and of meeting the just requirements of morality, public order and the
general welfare in a democratic society.

(3) These rights and freedoms may in no case be exercised contrary to the purposes and principles
of the United Nations.

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Article 30.

Nothing in this Declaration may be interpreted as implying for any State, group or person any right
to engage in any activity or to perform any act aimed at the destruction of any of the rights and
freedoms set forth herein.

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End-of-Course Exam Instructions


General Information
The End-of-Course Exam is provided as a separate component of this course. It covers the material in
all the lessons of this course, including any material found in the courses annexes and appendices. The
exam may be found in your Student Classroom at https://www.peaceopstraining.org/users/user_index.

Format of Questions
The exam consists of 50 multiple-choice questions. Each question gives the student a choice of four
answers marked A, B, C, and D, with only one of these being the correct answer.

Time Limit
There is no time limit for the exam. This allows the student to read and study the questions carefully, and
to consult the course text. Furthermore, if the student cannot complete the exam in one sitting, he or she
may save the exam and come back to it without being graded. The Save button is located at the bottom
of the exam, next to the Submit my answers button. Clicking on the Submit my answers button will end
the exam.

Passing Grade
To pass the exam, a score of 75 per cent or better is required. An electronic Certificate of Completion
will be awarded to those who have passed the exam. A score of less than 75 per cent is a failing grade,
and students who have received a failing grade will be provided with a second, alternate version of the
exam, which can likewise be completed without a time limit. Students who pass the second exam will be
awarded a Certificate of Completion. Those who fail the second exam will be disenrolled from the course.

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About the Authors


Key contributors to this course include authors from the Australian Defence Force Peace Operations Training Centre (ADF-POTC), the Chilean Joint Peacekeeping Operations Centre
(CECOPAC), Capt. Volker Straubmeier from the German Armed Forces UN Training Centre
(GEUNTC), Col. Edwin A. Adjei and Col. Tom Ba-Taa-Banah from the Kofi Annan International
Peacekeeping Training Centre in Ghana (KAIPTC), and Mr. Ulf Jinnestrand from the Swedish
Armed Forces International Centre (SWEDINT). The manuscripts various components authored
at these multiple centres were assembled by Dammen Consultants Norway (DCN) into a single
comprehensive course.

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Courses at the Peace Operations Training Institute


Course Name

English

French

Spanish

An Introduction to the UN System

Commanding UN Peacekeeping Operations

The Conduct of Humanitarian Relief Operations

Core Pre-deployment Training Materials

Disarmament, Demobilization, and Reintegration (DDR)

Ethics in Peacekeeping

Gender Perspectives in UN Peacekeeping Operations

The History of UN Peacekeeping: 1945 to 1987

The History of UN Peacekeeping: 1988 to 1996

The History of UN Peacekeeping: 1997 to 2006

Human Rights

Human Rights and Peacekeeping

Implementation of SCR 1325 (2000) in Africa

Implementation of the UNSCRs on Women, Peace, and Security


in Asia and the Pacific

Implementation of the UNSCRs on Women, Peace, and Security


in Latin America and the Caribbean

International Humanitarian Law and the Law of Armed Conflict

Logistical Support to UN Peacekeeping Operations

Operational Logistical Support

Advanced Topics in UN Logistics

Mine Action

Peacekeeping and International Conflict Resolution

Preventing Violence Against Women

Principles and Guidelines

Protection of Civilians

United Nations CivilMilitary Coordination (UN-CIMIC)

United Nations Military Observers

United Nations Police

The Peace Operations Training Institute is committed to bringing essential, practical knowledge
to students and is always working to expand its curriculum with the most up-to-date and relevant
information possible. POTIs latest course list can be found at www.peaceopstraining.org, which
includes the courses increasing availability in Portuguese and Arabic. Visit the website regularly
to keep abreast of the latest changes to POTIs curriculum.

Peace Operations

Training Institute

Peace Operations Training Institute

www.peaceopstraining.org