Principles And Guidelines - United Nations Peacekeeping

Over the past six decades, United Nations peacekeepinghas evolved into a complex, global undertaking. Duringthis time, the conduct of United Nations peacekeepingoperations has been guided by a largely unwritten bodyof principles and informed by the experiences of themany thousands of men and women who have served inthe more than 60 operations launched since 1948. Thisdocument captures these experiences for the benefit andguidance of planners and practitioners of United Nationspeacekeeping operations.United NationsPeacekeeping OperationsPrinciples and Guidelines2008

Over the past six decades, United Nations peacekeepinghas evolved into a complex, global undertaking. Duringthis time, conduct of United Nations peacekeepingoperations has been guided by a largely unwritten bodyof principles and informed by the experiences of themany thousands of men and women who have served inthe more than 60 operations launched since 1948. Thisdocument captures these experiences for the benefit andguidance of planners and practitioners of United Nationspeacekeeping operations.United NationsPeacekeeping OperationsPrinciples and Guidelines2008

United NationsPeacekeeping OperationsPrinciples and GuidelinesUnited NationsDepartment of Peacekeeping OperationsDepartment of Field Support

CreditsContentsPeacekeeping Best Practices SectionDivision of Policy, Evaluation and TrainingDepartment of Peacekeeping OperationsUnited Nations SecretariatOne UN Plaza, New York, NY 10017Foreword Jean-Marie Guéhenno . 6Tel. 212 963 1234Approved by J.-M. Guéhenno, USG/DPKOApproved on 18 January 2008Contact: PBPS/D-PETReview date: January 2010Introduction Scope and Purpose of the Document . 8PART I: THE EVOLUTION OF UNITED NATIONS PEACEKEEPINGChapter 1 The Normative Framework forUnited 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 United Nations 2008. This publication enjoys copyright under Protocol 2of the Universal Copyright Convention. Nevertheless, governmental authorities or Member States may freely photocopy any part of this publicationfor exclusive use within their training institutes. However, no portion ofthis publication may be reproduced for sale or mass publication withoutthe express consent, in writing, of the Peacekeeping Best Practices Section,United Nations Department of Peacekeeping Operations.Chapter 2 The Evolving Role of United NationsPeacekeeping Operations.172.1 The Spectrum of Peace and Security Activities . 172.2 Linkages and Grey Areas . 182.3 The Core Business of United NationsPeacekeeping Operations . 202.4 Peacebuilding Activities . 25Design and layout: Rick Jones (rick@ studioexile.com)2 UNITED NATIONS PEACEKEEPING OPERATIONS2.5 Supporting Other Actors . 29CONTENTS 3

Chapter 3 The Basic Principles of United Nations Peacekeeping . 313.1 Applying the Basic Principles ofUnited Nations Peacekeeping . 313.2 Other Success Factors . 36Endnotes . 41Chapter 8 Supporting and SustainingUnited 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 . 81PART II: PLANNING UNITED NATIONS PEACEKEEPING OPERATIONS9.1 Managing Mission Impact . 81Chapter 4 Deciding to Deploy a United NationsPeacekeeping Operation . 479.2 Communications and Outreach . 924.1 Assessing the Options for United Nations Engagement . 474.2 Key Lessons for Planners and Decision Makers . 49Chapter 10 Transition and Exit . 8510.1 Partnerships and Transition Planning . 8510.2 Hand-Over and Withdrawal . 864.3 The Importance of Consultations withContributing Countries . 52Endnotes . 91Chapter 5 Planning a United Nations Peacekeeping Operation . 53Annex 1 United Nations Peacekeeping Doctrine Framework . 925.1 The Integrated Approach . 535.2 The Integrated Mission Planning Process (IMPP) . 54Annex 2 Selected Glossary of Acronyms and Terms . 94Endnotes . 57PART III: THE ART OF SUCCESSFUL MANDATE IMPLEMENTATIONChapter 6 Deployment and Start-Up ofUnited 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 . 667.1 The Relationship between Headquarters and the Field . 667.2 The Challenge of Mission Integration and Coordination . 694 UNITED NATIONS PEACEKEEPING OPERATIONSCONTENTS 5

ForewordJean-Marie GuéhennoOver the past sixty years, United Nations peacekeeping has evolved intoone of the main tools used by the international community to manage complex crises that pose a threat to international peace and security. Since thebeginning of the new millennium, the number of military, police and civilian personnel deployed in United Nations peacekeeping operations aroundthe world has reached unprecedented levels. Not only has United Nationspeacekeeping grown in size but it has become increasingly complex. Beyondsimply monitoring cease-fires, today’s multi-dimensional peacekeeping operations are called upon to facilitate the political process through the promotion of national dialogue and reconciliation, protect civilians, assist in thedisarmament, demobilization and reintegration of combatants, support theorganization of elections, protect and promote human rights, and assist inrestoring the rule of law.The present publication, which has been developed in close consultation withfield missions, Member States, United Nations system partners and otherkey stakeholders, represents the first attempt in over a decade to codify themajor lessons learned from the past six decades of United Nations peacekeeping experience. It is intended to help practitioners better understand thebasic principles and concepts underpinning the conduct of contemporaryUnited Nations peacekeeping operations as well as their inherent strengthsand limitations.I would like to express my gratitude to all those who have contributed tothe development of this key guidance document, which will continue to bereviewed and updated in the coming years as United Nations peacekeepingevolves and new lessons are learnt.Jean-Marie GuéhennoUnder-Secretary-General for Peacekeeping OperationsMarch 2008In order to meet the challenges posed by the unprecedented scale and scopeof today’s missions, the United Nations Department of Peacekeeping Operations (DPKO) and the Department of Field Support (DFS) have embarkedon a major reform effort, Peace Operations 2010, aimed at strengthening andprofessionalizing the planning, management and conduct of United Nationspeacekeeping operations. A key objective of this ongoing reform process isto ensure that the growing numbers of United Nations peacekeeping personnel deployed in the field, as well as those serving at Headquarters, haveaccess to clear, authoritative guidance on the multitude of tasks they arerequired to perform.6 UNITED NATIONS PEACEKEEPING OPERATIONSFOREWORD 7

sustainable peace in countries emerging from conflict. It identifies the com-Introductionparative advantages and limitations of United Nations peacekeeping operations as a conflict management tool, and explains the basic principles thatshould guide their planning and conduct. In doing so, it reflects the primarylessons learned during the past sixty years of United Nations peacekeep-Scope and Purpose of the Documenting. It draws on landmark reports of the Secretary-General and legislativeresponses to these reports, as well as relevant resolutions and statements ofthe principal organs of the United Nations.The present document is an internal DPKO/DFS publication. It sits at theOver the past six decades, United Nations peacekeeping has evolved into acomplex, global undertaking. During this time, the conduct of United Nationspeacekeeping operations has been guided by a largely unwritten body ofprinciples and informed by the experiences of the many thousands of menand women who have served in the more than 60 operations launched since1948. This document captures these experiences for the benefit and guidanceof planners and practitioners of United Nations peacekeeping operations.highest-level of the current doctrine framework for United Nations peacekeeping. Any subordinate directives, guidelines, standard operating procedures, manuals and training materials issued by DPKO/DFS should conformto the principles and concepts referred to in this guidance document.The document is intended to serve as a guide for all United Nations personnel serving in the field and at United Nations Headquarters, as well as anintroduction to those who are new to United Nations peacekeeping. AlthoughThe spectrum of contemporary peace operations has become increasinglybroad and includes both United Nations – led peace operations, as well asthose conducted by other actors, normally with the authorization of theSecurity Council. This guidance document focuses on only one element ofthat spectrum: United Nations-led peacekeeping operations, authorizedby the Security Council, conducted under the direction of the United NationsSecretary-General, and planned, managed, directed and supported by theUnited Nations Department of Peacekeeping Operations (DPKO) and theDepartment of Field Support (DFS). The specific focus of this document recognizes the need for a clearer articulation of the doctrinal foundations ofUnited Nations peacekeeping operations, in light of the new challenges posedby the shifting nature of conflict, from inter-state to intra-state conflicts.it is intended to help guide the planning and conduct of United NationsThe present document aims to define the nature, scope and core businessof contemporary United Nations peacekeeping operations, which are usually deployed as one part of a much broader international effort to build aoperations and it does not address any military tactics, techniques and8 UNITED NATIONS PEACEKEEPING OPERATIONSpeacekeeping operations, its specific application will require judgement andwill vary according to the situation on the ground. Peacekeeping practitioners in the field are often faced with a confusing and contradictory setof imperatives and pressures. This document is unable to resolve many ofthese issues; indeed, some have no clear, prescribed answers. Instead, it provides a handrail to assist planners and practitioners manoeuvre throughthe complexities of contemporary United Nations peacekeeping operations.This document reflects the multi-dimensional nature of contemporary UnitedNations peacekeeping operations, which are normally led in the field by asenior United Nations political figure. It does not seek to override the national military doctrines of individual Member States participating in theseprocedures (TTPs), which remain the prerogative of individual MemberStates. It is, nonetheless, intended to support civilian, police and militaryINTRODUCTION 9