peacekeeping operations, its specific application will require judgement and Observation, monitoring and reporting – using static posts, patrols, over-.
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2008 Over the past six decades, United Nations peacekeeping has evolved into a complex, global undertaking. During this time, the conduct of United Nations peacekeeping operations has been guided by a largely unwritten body of principles and informed by the experiences of the many thousands of men and women who have served in the more than 60 operations launched since 1948. This document captures these experiences for the bene˜t and guidance of planners and practitioners of United Nations peacekeeping operations. United Nations Peacekeeping Operations Principles and Guidelines
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2008 Over the past six decades, United Nations peacekeeping has evolved into a complex, global undertaking. During this time, conduct of United Nations peacekeeping operations has been guided by a largely unwritten body of principles and informed by the experiences of the many thousands of men and women who have served in the more than 60 operations launched since 1948. This document captures these experiences for the bene˜t and guidance of planners and practitioners of United Nations peacekeeping operations. United Nations Peacekeeping Operations Principles and Guidelines
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2 | UNITED NATIONS PEACEKEEPING OPERATIONS CONTENTS | 3Contents Credits Peacekeeping Best Practices Section Division of Policy, Evaluation and Training Department of Peacekeeping Operations United Nations Secretariat One UN Plaza, New York, NY 10017 Tel. 212 963 1234 Approved by J.-M. Guéhenno, USG/DPKO Approved on 18 January 2008 Contact: PBPS/D-PET Review date: January 2010 © United Nations 2008 . This publication enjoys copyright under Protocol 2 of the Universal Copyright Convention. Nevertheless, governmental authori -ties or Member States may freely photocopy any part of this publication for exclusive use within their training institutes. However, no portion of this publication may be reproduced for sale or mass publication without the express consent, in writing, of the Peacekeeping Best Practices Section, United Nations Department of Peacekeeping Operations. Design and layout: Rick Jones (rick @studioexile.com) Foreword Jean-Marie Guéhenno 6Introduction Scope and Purpose of the Document 8PART I: THE EVOLUTION OF UNITED NATIONS PEACEKEEPING Chapter 1 The Normative Framework for United Nations Peacekeeping Operations 131.1 The Charter of the United Nations . 131.2 Human Rights .. 141.3 International Humanitarian Law 151.4 Security Council Mandates .. 16 Chapter 2 The Evolving Role of United Nations Peacekeeping Operations 172.1 The Spectrum of Peace and Security Activities .. 172.2 Linkages and Grey Areas . 182.3 The Core Business of United Nations Peacekeeping Operations 202.4 Peacebuilding Activities .. 252.5 Supporting Other Actors 29
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4 | UNITED NATIONS PEACEKEEPING OPERATIONS CONTENTS | 5Chapter 3 The Basic Principles of United Nations Peacekeeping . 313.1 Applying the Basic Principles of United Nations Peacekeeping .. 313.2 Other Success Factors . 36Endnotes 41PART II: PLANNING UNITED NATIONS PEACEKEEPING OPERATIONS Chapter 4 Deciding to Deploy a United Nations Peacekeeping Operation 474.1 Assessing the Options for United Nations Engagement .. 474.2 Key Lessons for Planners and Decision Makers .. 494.3 The Importance of Consultations with Contributing Countries 52Chapter 5 Planning a United Nations Peacekeeping Operation . 535.1 The Integrated Approach 535.2 The Integrated Mission Planning Process (IMPP) .. 54Endnotes 57PART III: THE ART OF SUCCESSFUL MANDATE IMPLEMENTATION Chapter 6 Deployment and Start-Up of United Nations Peacekeeping Operations .. 616.1 Typical Phases of Deployment .. 616.2 The Mission Start-Up Process . 626.3 Managing the Mission Start-Up Process .. 64Chapter 7 Managing United Nations Peacekeeping Operations .. 66 7.1 The Relationship between Headquarters and the Field . 667.2 The Challenge of Mission Integration and Coordination .. 69Chapter 8 Supporting and Sustaining United Nations Peacekeeping Operations .. 758.1 United Nations Logistics and Administration . 758.2 Human Resource Management . 778.3 Security of Personnel 79Chapter 9 Maintaining Support for the Mission 819.1 Managing Mission Impact .. 819.2 Communications and Outreach 92Chapter 10 Transition and Exit .. 8510.1 Partnerships and Transition Planning .. 8510.2 Hand-Over and Withdrawal . 86Endnotes 91 Annex 1 United Nations Peacekeeping Doctrine Framework .. 92 Annex 2 Selected Glossary of Acronyms and Terms .. 94
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6 | UNITED NATIONS PEACEKEEPING OPERATIONS FOREWORD | 7Jean-Marie Guéhenno Foreword Over the past sixty years, United Nations peacekeeping has evolved into one of the main tools used by the international community to manage com -plex crises that pose a threat to international peace and security. Since the beginning of the new millennium, the number of military, police and civil – ian personnel deployed in United Nations peacekeeping operations around the world has reached unprecedented levels. Not only has United Nations peacekeeping grown in size but it has become increasingly complex. Beyond simply monitoring cease-˜res, today™s multi-dimensional peacekeeping oper -ations are called upon to facilitate the political process through the promo -tion of national dialogue and reconciliation, protect civilians, assist in the disarmament, demobilization and reintegration of combatants, support the organization of elections, protect and promote human rights, and assist in restoring the rule of law. In order to meet the challenges posed by the unprecedented scale and scope of today™s missions, the United Nations Department of Peacekeeping Opera -tions (DPKO) and the Department of Field Support (DFS) have embarked on a major reform effort, Peace Operations 2010 , aimed at strengthening and professionalizing the planning, management and conduct of United Nations peacekeeping operations. A key objective of this ongoing reform process is to ensure that the growing numbers of United Nations peacekeeping per -sonnel deployed in the ˜eld, as well as those serving at Headquarters, have access to clear, authoritative guidance on the multitude of tasks they are required to perform. The present publication, which has been developed in close consultation with ˜eld missions, Member States, United Nations system partners and other key stakeholders, represents the ˜rst attempt in over a decade to codify the major lessons learned from the past six decades of United Nations peace -keeping experience. It is intended to help practitioners better understand the basic principles and concepts underpinning the conduct of contemporary United Nations peacekeeping operations as well as their inherent strengths and limitations. I would like to express my gratitude to all those who have contributed to the development of this key guidance document, which will continue to be reviewed and updated in the coming years as United Nations peacekeeping evolves and new lessons are learnt. Jean-Marie Guéhenno Under-Secretary-General for Peacekeeping Operations March 2008
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10 | UNITED NATIONS PEACEKEEPING OPERATIONS INTRODUCTION | 11 PART I The Evolution of United Nations Peacekeeping Operations The Charter of the United Nations was signed, in San Francisco, on 26 June 1945 and is the foundation docu -ment for all the United Nations work. The United Nations was established to fisave succeeding generations from the scourge of warfl and one of its main purposes is to maintain international peace and security. Peacekeeping, although not explicitly provided for in the Charter, has evolved into one of the main tools used by the United Nations to achieve this purpose. personnel who are training and preparing to serve in United Nations peace -keeping operations. Troop Contributing Countries and Police Contributing Countries (TCCs/PCCs) to United Nations peacekeeping operations may wish to draw on this document in developing their respective doctrines, training and pre-deployment programmes. For partners, this guidance document is intended to foster a clearer under -standing of the major principles guiding the conduct of United Nations peacekeeping operations. Key partners include TCCs/PCCs, regional and other inter-governmental organizations, the range of humanitarian and development actors involved in international crisis management, as well as national and local actors in the countries where United Nations peacekeep -ing operations are deployed. In this regard, the document supports a vision of a system of inter-locking capabilities in which the roles and responsibili -ties and comparative advantages of the various partners are clearly de˜ned. This document draws on analysis contained in the landmark 2000 Report of the Panel on United Nations Peace Operations (The Brahimi Report) and other existing sources to help guide United Nations peacekeepers in the coming years. It is a living document that will be reviewed and updated regularly to re˚ect major evolutions in United Nations peacekeeping practices. The current version will be due for review in January 2010 and may be updated earlier, if required. As with the current version, Member States, TCCs/ PCCs, ˜eld missions, United Nations system partners, regional organiza -tions and other key stakeholders will be consulted to ensure that the docu -ment continues to re˚ect the concerns, views, insights, and expertise of major partners both within and outside the United Nations system.
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12 | UNITED NATIONS PEACEKEEPING OPERATIONS PART I CHAPTER 1 | 131.1 The Charter of the United Nations The Charter of the United Nations was signed, in San Francisco, on 26 June 1945 and is the foundation document for all the United Nations work. The United Nations was established to fisave succeeding generations from the scourge of warfl and one of its main purposes is to maintain international peace and security. Peacekeeping, although not explicitly provided for in the Charter, has evolved into one of the main tools used by the United Nations to achieve this purpose. The Charter gives the United Nations Security Council primary responsi -bility for the maintenance of international peace and security. 1 In ful˜lling this responsibility, the Security Council may adopt a range of measures, including the establishment of a United Nations peacekeeping operation. The legal basis for such action is found in Chapters VI, VII and VIII of the Charter. While Chapter VI deals with the fiPaci˜c Settlement of Disputesfl, Chapter VII contains provisions related to fiAction with Respect to the Peace, Breaches of the Peace and Acts of Aggressionfl. Chapter VIII of the Charter also provides for the involvement of regional arrangements and agencies in the maintenance of international peace and security, provided such activi -ties are consistent with the purposes and principles outlined in Chapter I of the Charter. United Nations peacekeeping operations have traditionally been associated with Chapter VI of the Charter. However, the Security Council need not Chapter 1 The Normative Framework for United Nations Peacekeeping Operations Chapter 2 The Evolving Role of United Nations Peacekeeping Operations Chapter 3 The Basic Principles of United Nations Peacekeeping The Normative Framework for United Nations Peacekeeping Operations Chapter 1
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14 | UNITED NATIONS PEACEKEEPING OPERATIONS PART I CHAPTER 1 | 15refer to a speci˜c Chapter of the Charter when passing a resolution author -izing the deployment of a United Nations peacekeeping operation and has never invoked Chapter VI. In recent years, the Security Council has adopted the practice of invoking Chapter VII of the Charter when authorizing the deployment of United Nations peacekeeping operations into volatile post- con˚ict settings where the State is unable to maintain security and public order. The Security Council™s invocation of Chapter VII in these situations, in addition to denoting the legal basis for its action, can also be seen as a statement of ˜rm political resolve and a means of reminding the parties to a con˚ict and the wider United Nations membership of their obligation to give effect to Security Council decisions. Linking United Nations peacekeeping with a particular Chapter of the Char -ter can be misleading for the purposes of operational planning, training and mandate implementation. In assessing the nature of each peacekeeping oper -ation and the capabilities needed to support it, TCCs and PCCs should be guided by the tasks assigned by the Security Council mandate, the concept of operations and accompanying mission Rules of Engagement (ROE) for the military component, and the Directives on the Use of Force (DUF) for the police component. 1.2 Human Rights International human rights law is an integral part of the normative frame -work for United Nations peacekeeping operations. The Universal Declara -tion of Human Rights, which sets the cornerstone of international human rights standards, emphasizes that human rights and fundamental freedoms are universal and guaranteed to everybody. United Nations peacekeeping operations should be conducted in full respect of human rights and should seek to advance human rights through the implementation of their mandates (See Chapter 2). United Nations peacekeeping personnel Œ whether military, police or civilian Œ should act in accordance with international human rights law and under -stand how the implementation of their tasks intersects with human rights . Peacekeeping personnel should strive to ensure that they do not become perpetrators of human rights abuses. They must be able to recognize human rights violations or abuse, and be prepared to respond appropriately within the limits of their mandate and their competence. United Nations peacekeep -ing personnel should respect human rights in their dealings with colleagues and with local people, both in their public and in their private lives. Where they commit abuses, they should be held accountable. 1.3 International Humanitarian Law International humanitarian law is known also as fithe law of warfl or fithe law of armed con˚ict,fl and restricts the means and methods of armed con˚ict. International humanitarian law is contained in the four Geneva Conven -tions of 1949 and their two Additional Protocols of 1977 , as well as in rules regulating the means and methods of combat. International humanitarian law also includes conventions and treaties on the protection of cultural prop -erty and the environment during armed con˚ict, as well as protection of victims of con˚ict. International humanitarian law is designed to protect persons who do not participate, or are no longer participating, in the hostilities; and it main -tains the fundamental rights of civilians, victims and non-combatants in an armed con˚ict. It is relevant to United Nations peacekeeping operations because these missions are often deployed into post-con˚ict environments where violence may be ongoing or con˚ict could reignite. Additionally, in post-con˚ict environments there are often large civilian populations that have been targeted by the warring parties, prisoners of war and other vul -nerable groups to whom the Geneva Conventions or other humanitarian law would apply in the event of further hostilities. United Nations peacekeepers must have a clear understanding of the prin -ciples and rules of international humanitarian law and observe them in situ -ations where they apply. The Secretary-General™s Bulletin on the Observance
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16 | UNITED NATIONS PEACEKEEPING OPERATIONS PART I CHAPTER 2 | 17by United Nations Forces of International Humanitarian Law of 6 August 1999 (ST/SGB/ 1999 /13) sets out the fundamental principles and rules of international law that may be applicable to United Nations peacekeepers. 1.4 Security Council Mandates United Nations peacekeeping operations are deployed on the basis of a man -date from the United Nations Security Council. The tasks that a United Nations peacekeeping operation will be required to perform are set out in the Secu -rity Council mandate. Security Council mandates differ from situation to situation, depending on the nature of the con˚ict and the speci˜c challenges it presents. Since United Nations peacekeeping operations are normally de -ployed to support the implementation of a cease-˜re or a more comprehensive peace agreement, Security Council mandates are in˚uenced by the nature and content of the agreement reached by the parties to the con˚ict. Security Council mandates also re˚ect the broader normative debates shap -ing the international environment. In this regard, there are a number of cross-cutting, thematic tasks that are regularly assigned to United Nations peacekeeping operations on the basis of the following landmark Security Council resolutions: Security Council resolution 1325 (2000 ) on women, peace and security; 2 Security Council resolution 1612 (2005 ) on children and armed con˚ict; 3 Security Council resolution 1674 (2006 ) on the protection of civilians in armed con˚ict; 4 The range of tasks assigned to United Nations peacekeeping operations has expanded signi˜cantly in response to shifting patterns of con˚ict and to best address emerging threats to international peace and security. Although each United Nations peacekeeping operation is different, there is a considerable degree of consistency in the types of mandated tasks assigned by the Secu -rity Council. These are described in greater detail in Chapter 2, below. 2.1 The Spectrum of Peace and Security Activities Peacekeeping is one among a range of activities undertaken by the United Nations and other international actors to maintain international peace and security throughout the world. Although peacekeeping is the focus of this document, it is important for practitioners to understand how it relates to and differs from con˚ict prevention, peacemaking, peace enforcement and peacebuilding. Con˜ict prevention involves the application of structural or diplomatic meas -ures to keep intra-state or inter-state tensions and disputes from escalating into violent con˚ict. Ideally, it should build on structured early warning, information gathering and a careful analysis of the factors driving the con -˚ict. Con˚ict prevention activities may include the use of the Secretary- General™s figood of˜ces,fl preventive deployment or con˜dence-building measures. Peacemaking generally includes measures to address con˚icts in progress and usually involves diplomatic action to bring hostile parties to a negoti -ated agreement. The United Nations Secretary-General, upon the request of the Security Council or the General Assembly or at his her own initiative, may exercise his or her figood of˜cesfl to facilitate the resolution of the con˚ict. Peacemakers may also be envoys, governments, groups of states, regional organizations or the United Nations. Peacemaking efforts may also be under -The Evolving Role of United Nations Peacekeeping Operations Chapter 2
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