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Introduction
This presentation covers the planning process of a peacekeeping
operation at UN Headquarters from its initiation to the deployment
of the mission. It draws on the official Guidelines and Principles for
UN peacekeeping operations as well as on other sources.
By mouse-clicking the process evolves gradually, providing
information on every step of the planning process. A functional
distinction is made between
(dark
decision-making
administrative bodies
blue) and (light bodies
blue).
For more information on the different UN bodies, please click on the
i-buttons located in the right-hand corner of each box.
Integrated hyperlinks will lead you to the relevant UN websites. By
clicking on the buttons
located at the bottom of each slide you
can jump forward or backward between different phases of the
planning process.
Planning a UN peacekeeping operation is a dynamic and non-linear
process which depends on many different factors, such as the
urgency of deployment and the size, scope, and aim of the mission as
determined by the Security Council. Therefore, please note that the
planning process presented hereafter is simplified. Certain steps which
appear to be sequential may actually occur simultaneously or in a
different order, while others may be left out on a case-by-case basis.
Notwithstanding, each mission is based on certain indispensable
key documents, such as the Concept of Operations (CONOPS) and
the Security Council Resolution
containing the missions mandate.
UN Photo/John Isaac
UN
Photo/Martine
Perret
UN
Photo/Logan
Abassi
UN
UN
Photo/John
Photo
Isaac
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5th Committee
ACABQ
Authorizes
operational
budget of a
Budgetary
mission
oversight by the
General
Assembly
SECURITY COUNCIL
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Reports and gives
recommendations
Department of
Department of
eacekeeping Operations Field Support
(DPKO)
(DFS)
Police Contributing
Countries (PCC)
UN Country Team
UN Agencies and Funds
(UNDP, UNHCR, WFP)
NGOs
UN bodies and
Tasks planning,
authorizesCentral
UN
NGOs working
decisionUN Secretariat
departments
operationsmaking body
in the field
Secretary-General
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UN Secretariat
Department of
Safety and Security
(DSS)
Department of
Political Affairs
(DPA)
5th Committee
Troop Contributing
Countries (TCC)
Police Contributing
Countries (PCC)
ACABQ
Authorizes
operational
Upon
Budget
of a
2007
mission
UN Country Team
SECURITY COUNCIL
Secretary-General
The Secretary-General (supported
by his Secretariat) plays a critical
role in helping the Security
Council determine whether a UN
peacekeeping operation is the
most
appropriate
course of
The SG
may also initiate
action.
assessments of a crisis situation
and a possible UN involvement
without consulting the Security
Council beforehand.
SECURITY COUNCIL
Stage 1
PreMandate
Planning
Secretary-General
SECURITY COUNCIL
DPKO
Stage 1
PreMandate
Planning
Phase A
Strategic
Assessm
ent
DPKO
DFS
Stage 1
DPA
Note:
IMTF
DPKO
PreMandate
Planning
Stage 1
DPKO
DFS
Meanwhile at the
level of operational
The findings of the
planning, DPKO and
TAM provide the
TAM
DFS begin to develop
basis for the
a draft Concept of
operational
Operations
planning.
The
operational
(CONOPS).
planning process
As aisfirst step, following an initial risk and
initiated with threat
a
assessment by the Department of
Planning Directive
Safety and Security (DSS) and DPKOs
issued by the Office
Under-of Military Affairs (OMA), a joint
Secretary-General
of
Technical
Assessment Mission (TAM)
the DPKO.
is
deployed.
The
TAM, led by the Office of Operations,
evaluates the situation in the field.
Among others, the TAM comprises
military, security, political, and logistics
experts from the different DPKO and DFS
PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)
The preliminary
planning results are
forwarded to the
USG for approval.
USG
Stage 1
DPKO
Office of Operations
DFS
Development of an
At Operational
this point,TAM
several
concurrent
planning
Estimate,
including a
steps
are
initiated
revised risks & in
DPKO
and assessment
DFS.
threats
and
possibleinformal
courses
Meanwhile,
of
action.
talks
with potential
Troop Contributing
Countries (TCCs) to
estimate potential
force
availability.
The Operational
Estimate is refined,
based on likely
availability of troops
and logistics and on a
thorough options
PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)
The preliminary
planning results are
forwarded to the
USG for approval.
DPKO
USG
Stage 1
CONOPS
Office of Operations
Within DFS
Meanwhile, DFSs
Field Budget and
Finance Division
works out the
draft Mission
Budget.
Field Budget and
Finance Division
DFS
Initiation of logistics
and transport
planning.
Logistics Support
Division
Recruitment of
mission leadership
personnel, such as
the SRSG/Head of
Mission, Force
Commander, Police
Commissioner, etc.
Senior Leadership
Appointment Section
PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)
DPKO
Stage 1
CONOPS
PMCA
DFS
ACABQ
PreMandate
Planning
A PMCA allows for the
financing of essential
pre-mandate tasks
necessary to set up the
mission, such as
the recruitment of
core personnel;
the deployment of an
advance team;
the establishment of
a mission HQ;
the initiation of
procurement with a
long lead time.
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)
Office of Operations
Secretary-General
This Report of the
Secretary-General is
based on the draft
CONOPS and builds on
the findings of the
Technical Assessment
Mission (TAM) as well as
the analysis of strategic
options.
SECURITY COUNCIL
RESOLUTION
5th Committee
ACABQ
Stage 1
PreMandate
Planning
Phase C
Mandate
Preparati
on
RESOLUTION
DPKO
CONOPS
SRSG
MIP
Stage 2
Operation
al
Planning
Phase A
Mandate
Implementa
tion
Plan (MIP)
Logistics Support
Division
Deployment
preparations, e.g.
contracting
transport,
transferring mission
assets, final
movement
planning, organizing
logistics and supply
on the ground.
Operation
al
Planning
DFS
Meanwhile, several
final planning
procedures are
again conducted
concurrently
at UN
Within
DPKO
HQ.
Office of Rule of Law &
Office of Military Affairs
Security Institutions
DPKO
The Rules of
Engagement (RoE)
and further
guidelines
are
Force generation:
drafted.
visits to Troop
Contributing
Countries (TCCs),
nego-tiating
Memoranda of
Understanding
The Directives on
the Use of Force
(DUF) are drafted.
Force
generation: visits
to Police
Contributing
Countries (PCCs),
MoU negotiations;
movement
Stage 2
Office of Operations
The OO coordinates
and leads the final
deployment
preparations and
ensures compliance
with political
guidelines.
Phase B
Deploymen
t
Preparation
UN Secretariat
These documents serve
as the legal basis for the
As a final step, a
SOFA
missions relation with
Status of Forces
SOMA
the host nation, the SOFA
Agreement
covering the military
(SOFA) and a
component and the SOMA
Status of
the police/civilian
Mission
Deployment
of the Peacekeeping Operation:
component.
Agreement
Host Nation
SOFA and SOMA are
are
(SOMA)
once deployed, the authority in the field lies with negotiated
the SRSG and
andthe
signed
by
SOFA and SOMA
are
prepared by the
senior leadership team;
the
UN and the host
compre-hensive
Office of Legal
UN
the SRSG reports to the SG through the USG of the
DPKO;
nation
of thedealing
operation.
documents,
with
Affairs.
UN Headquarters provides political and strategic guidance and
all aspects concerning
operational support.
the mission, such as the
freedom of movement of
its members, jurisdiction
over the missions
personnel, the provision
of water, electricity and
In practice, agreeing on
other utilities, etc.
the SOFA and the SOMA is
one of the most critical
and sometimes
contentious issues
between the UN and the
Stage 3
Deployme
nt
Informati
on
INTEGRATED MISSION PLANNING PROCESS (IMPP)
An initiative to achieve UN System-wide coherence in mounting and running a peace operation.
Amid a growing complexity of multi-dimensional peacekeeping operations today, DPKO has recently
developed a new Integrated Mission Planning Process (IMPP). In its guidelines endorsed by the
Secretary-General the IMPP is defined as follows:
The IMPP does not aim to take over all other planning processes. It aims to ensure that
the right people are at the table, that the right issues are being considered, and that the
appropriate authorities and accountabilities are in place []. (IMPP Guidelines p. 3)
IMPP thus represents an overarching coordination and planning regime which seeks to comprise all
relevant actors, such as UN offices, agencies and funds (OCHA, UNDP, UNHCR, UNICEF, WFP, OHCHR,
etc.) as well as the World Bank and the IMF. An Integrated Mission can therefore be understood as a UN
System-wide response to a crisis.
For the IMPP to be implemented, an Integrated Mission Task Force (IMTF) comprising
representatives of all relevant UN entities will be established as the formal headquarters-based planning
body for a UN operation, as shown in this presentation. In addition, an Integrated Mission Planning
Team (IMPT) will be established as the country-based body responsible for strategic planning in the
integrated mission setting.
Once the concept is put into effect, all steps of the mission planning process are supposed to be
conducted in accordance with the guiding principles of the IMPP.
Background of the Integrated Missions Concept and the IMPP
A lack of coherence among field activities in the humanitarian relief, development, political and security spheres had
been acknowledged in a number of evaluation reports and studies on UN peacekeeping operations over the last decade.
As a consequence, a series of high-level panels and working groups worked out different coordination models, which
culminated in the development of the Integrated Missions Concept in 2004/2005. In order for the UN to implement this
concept and to enable its different entities in the field to deliver as one, the IMPP was developed (mainly) in 2006 and
2007. In all likelihood, it will be implemented in 2008, while being reviewed and refined.
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UNOMIG 1993-
1964-
UNAMA* 2002-
1999-
UNMOGIP 1949-
UNMIT 2006-
Ludwigkirchplatz 3-4
10719 Berlin
Germany
Phone ++49 (0)30 520 05 65
0
Fax
++49 (0)30 520 05 65
90
www.zif-berlin.org
research@zif-berlin.org
Informati
on
SECURITY COUNCIL
It is the prerogative of the Security Council to determine when
and where a
UN peacekeeping operation should be deployed in order to restore and
safeguard the peace (UN Charter art. 24(1), art. 39).
The decision to deploy a UN peacekeeping operation requires a
minimum of nine votes from the Security Councils fifteen members,
including the votes of the five permanent members (art. 27). However,
the full backing of a mission by all Security Council members is
strongly desired.
UN Photo/Eskinder Debebe
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Informati
on
GENERAL ASSEMBLY (GA)
5th Committee
responsible for administration and budgetary matters;
based on the 5th Committees reports, the GA considers and
approves the
UNs budget and financial and budgetary arrangements with
UN agencies;
each May, the 5th Committee holds a resumed session to deal
with
administrative aspects of UN peacekeeping and approves the
annual
peacekeeping budget;
it also considers urgent matters relating to the financing of a
peacekeeping mission authorized by the Security Council at
any of its sessions.
UN Photo/Paulo Filgueiras
Advisory
Committee
on
Administrative
Budgetary Questions (ACABQ)
and
UN Photo/Eskinder Debebe
ACABQ in session
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Informati
on
Department of Peacekeeping Operations (DPKO)
Established 1992, currently led by Under-Secretary-General Jean-Marie Guhenno
Mandate:
planning, managing and deploying UN peacekeeping operations;
providing political & executive direction to UN peacekeeping operations on behalf of
the SG;
close cooperation with the Department of Field Support ;
support of other peace and security operations that are predominantly civilian
(political missions);
working closely with Department of Political Affairs;
UN Photo/Ryan Brow
USG Guhenno
Organizational chart
DPKO website
Executive Office
Office of Operations
Africa I Division
Current Military
Operations
Africa II Division
Military Planning
Service
Force Generation
Service
USG
Situation Center
DDR Section
Mine Action
Service
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Informati
on
Department of Political Affairs (DPA)
Established 1992 as the UN focal point for conflict prevention,
peacemaking, and
peacebuilding, led by Under-Secretary-General B. Lynn Pascoe.
Mandate:
monitoring and assessing global political developments;
advising the UN Secretary-General on actions to advance the
cause of peace;
providing support and guidance to UN peace envoys and political
missions in the field;
serving Member States through electoral assistance and through
the support of DPA staff to the work of the Security Council and
other UN bodies;
with regard to the planning of a peacekeeping operation, DPA
(along with the OHCHR) is in charge of the human rights
component of the potential mission.
UN Photo
USG Pascoe
DPA website
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Informati
on
Department of Field Support (DFS)
Established 2007, led by Under-Secretary-General Susana Malcorra (reporting to the USG of the DPKO)
Mandate: Support peace operations in the areas of:
personnel (recruitment of high quality leadership and field staff; overseeing standards of conduct);
logistics (ensuring appropriate resources incl. materiel, direction, guidance and oversight);
communications & IT (ensuring reliable, responsive and continuous voice, data and video services);
budget and finance (providing financial support services, appropriate funding and responsible
stewardship of funds entrusted to UN peace operations);
UN Photo/WFP
USG Malcorra
Organizational chart
Executive Office
Field Personnel
Division
Field Personnel
Operations
Service
Field Personnel
Specialist
Support Service
Senior Leadership
Appointments
Section
Logistics Support
Division
Operational
Support Service
Specialist
Support Service
Conduct and
Discipline Unit
Communication and
IT Service
Operations
Section
Information
Systems Section
Transportation
and Movement
Service
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Informati
on
Office for the Coordination of Humanitarian Affairs
(OCHA)
Established 1998, led by UN Emergency Relief Coordinator (ERC, with USG status) John Holmes
As a coordinating body, free fromday-to-day operational challenges, OCHA focuses on the full
spectrum
of issues associated with humanitarian assistance. This includesanticipating changes in
operational
environments and setting the agenda for common international humanitarian actions even
before crises
occur.
UN Photo
ERC Holmes
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Informati
on
Department of Safety and Security (DSS)
DSS is headed since February 2005 by Under-Secretary-General David Veness.
The Department of Safety and Security is responsible for providing leadership,
operational support
and oversight of the security management system to enable the safest and most
efficient conduct
of the programs and activities of the UN System.
UN Photo
USG Veness
DSS website
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