Cpo PDF

Peace Operations Training Institute
COMMANDING UNITED NATIONS

PEACEKEEPING OPERATIONS
Course Author
Major General Tim Ford (Retd)
Former Military Advisor to the UN DPKO
Series Editor
Harvey J. Langholtz, Ph.D.
2008 Peace Operations Training Institute
COMMANDING UNITED NATIONS

PEACEKEEPING OPERATIONS
Course Author
Major General Tim Ford (Retd)
Former Military Advisor to the UN DPKO
Series Editor
Harvey J. Langholtz, Ph.D.
2008 Peace Operations Training Institute

1309 Jamestown Road, Suite 202
Williamsburg, VA 23185 USA
www.peaceopstraining.org
First edition: 1997 by Captain Jean Michel Faure

Second edition: October 2004 by Major General Tim Ford
Cover: UN Photo #068100 by Marie Frechon
Photos in this course were obtained from the UNs web page unless otherwise indicated.
The material contained herein does not necessarily reflect the views of the Peace Operations Training Institute,
the Course Author(s), or any United Nations organs or affiliated organizations. 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.
Commanding United Nations

Peacekeeping Operations
TABLE OF CONTENTS
FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V
FORMAT OF STUDY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI
METHOD OF STUDY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII
LESSON 1 THE UNITED NATIONS FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1
1.2
1.3
1.4
1.5
Foundations and Nature of the United Nations System

Working Organisation of the United Nations
UN Organs and Agencies
Financing the UN
UN Reform
LESSON 2 DEVELOPMENT OF PEACEKEEPING OPERATIONS . . . . . . . . . . . . . . . . . . . 17
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
Annex A
Annex B
Annex C
UN Missions in the Field

Peacekeeping and the Charter of the United Nations
Initiation of UN Peace Operations
Defining UN Peace Operations
UN Peace-Building and Political Missions
UN Peacekeeping Missions
Status of the Forces
Agreements Between the UN and the Troop Contributors
Guidelines for Troop-Contributing Countries
Recent Security Council Resolutions (UNMIL, UNMICI)
Model Status of Forces Agreement
Typical Contents of Mission Guidelines for TCCs
LESSON 3 STRATEGIC PLANNING AND PREPARATION . . . . . . . . . . . . . . . . . . . . . . . . 59
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
Annex A
Introduction
The Department of Peacekeeping Operations (DPKO)
UN Peacekeeping Doctrine
Planning and Preparation
Components in a Peacekeeping Mission
Obtaining Military and Police Capability UNSAS
Development of Mission Rules of Engagement
DPKO Training Guidance
Mission Orientation Programme
The Secretary-Generals Bulletin: Functions and Organization
of the DPKO, May 2000
iii
LESSON 4 SELECTION AND PREPARATION OF LEADERS . . . . . . . . . . . . . . . . . . . . . . 83
4.1
4.2
4.3
4.4
4.5
4.6
Annex A
Annex B
Annex C
The Need to Change

Policy and Head of Mission
UN Command Chain
Selection and Appointment of Mission Leadership
Training of Key Personnel
Appointment and Other Directives
Standard Directives for Special Representatives of the Secretary-General
Command Directive for the Force Commander of UNFICYP
Directive for the Police Commissioner of UNMIL
LESSON 5 REGIONAL ORGANISATION, MEMBER STATE AND NATIONAL ISSUES . . 127
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
Annex A
Annex B
Annex C
Annex D
Annex E
Annex F
Annex G
Introduction
Relationships Between the UN and Regional Arrangements
Doctrine
Training and Preparation Responsibilities
Sustainability and Logistical Support Requirements
Memorandums of Understanding
Deployment Periods, Rotation, and Standardisation
Command and Control
Model Memorandum of Understanding
UN Financial and Logistics Guidelines
2003 Standard Costs Manual Extract
2003 Standard Ratios Manual Extract
2002 COE Manual Extract
Strategic Deployment Stock (SDS) Overview
Definitions of UN Command and Control Terminologies
LESSON 6 LEADERSHIP, COOPERATION AND INTEGRATION IN MISSIONS . . . . . . . 157
6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
Annex A
Annex B
Introduction
Mission Integration
Component Leadership
Civil-Military Coordination
Working with the UN Country Team
Cooperation with NGOs
Coordination with Humanitarian Affairs
Relations with the Media
Security Coordination
Note from the Secretary-General
DPKO Specific Security Arrangements
iv
LESSON 7 UN PEACEKEEPING MISSION STRUCTURES, POLICIES AND SOPS . . . . . 175
7.1
7.2
7.3
7.4
7.5
Mission Structure
Civilian Components
Military Component
Police Component
Standard Operating Procedures (SOPs)
LESSON 8 NATIONAL AND CONTINGENT COMMAND IN MISSIONS . . . . . . . . . . . . . . .193
8.1
8.2
8.3
8.4
National Contingent Headquarters

National Support Elements
Command and Control in Peacekeeping Missions
National Issues in Missions
LESSON 9 TACTICAL TECHNIQUES FOR COMMANDERS IN UN PEACEKEEPING

OPERATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
9.1
9.2
9.3
9.4
Annex A
Annex B
Annex C
Annex D
Annex E
Introduction
Training and Competence
Military Tasks and Techniques
Civilian Police Tasks and Techniques
UN Observation Posts
Conducting UN Patrols; Patrol Classification; Patrol Report
Mounting Checkpoints
Convoy Escorts
Exchange and Transfer of Refugees or Other Personnel
LESSON10 OTHER COMMAND ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
10.1
10.2
10.3
10.4
10.5
10.6
Annex A
Annex B
Annex C
Annex D
Annex E
Guidance to Commanders
UN Rules of Engagement (ROE)
Medical Responsibilities of Commanders
Welfare of Contingents
Accommodation
UN Medals and Commendations
Ten Rules Code of Personal Conduct for Blue Helmets
We are United Nations Peacekeepers
Authorised Numbered ROE for (UN--)
UN Medical Levels
UN Medical Standards for Peacekeeping Missions
APPENDIX A: TABLE OF ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257

APPENDIX B: LIST OF UN PEACEKEEPING MISSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
END-OF-COURSE EXAMINATION INSTRUCTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
FOREWORD
This course is designed for those who may find themselves in leadership positions in UN
peacekeeping operations, or for those wishing to understand the issues associated with
commanding in peacekeeping operations. It should prove useful for participants at the strategic,
operational, or tactical level, for senior and junior leaders, to those appointed to UN command
and staff positions, and for those with national command or staff responsibilities. It is applicable
to civilian, military, and police appointments, although the later sections of the course
concentrate principally on the issues that arise within military and police contingents. It should
also be useful to those in organisations that need to interact with UN peacekeeping missions or
with the Department of Peacekeeping Operations in the UN Secretariat, such as Member States,
Non-Governmental Organisations (NGOs), and other UN organisations and agencies.
The course first considers those strategic and international issues that define UN
peacekeeping, including the relationships that exist between the UN, its Member States, and
other organisations. It then considers how UN peacekeeping missions are authorised, launched,
and supported by the international community and Member States. The course also looks at how
Field Missions are structured and organised, and finally at the issues associated with
commanding in UN peacekeeping missions at operational, national, and tactical levels, including
security, force protection, and sustainment concerns.
Tim Ford
2004
vi
FORMAT OF STUDY
This course is designed for independent study
at a pace determined by the student
Course format and materials permit:
MODULAR STUDY
EASE OF REVIEW
INCREMENTAL LEARNING
Please visit http://www.peaceopstraining.org/course_extras

to view a video introduction to this course
by author Major General Tim Ford.
STUDENTS RESPONSIBILITY
The student is responsible for:
Learning course material

Completing the End-of-Course Examination
Submitting the End-of-Course Examination
Please consult your enrolment confirmation email or the end of

this course for examination submission instructions.
vii
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 error, go back to
the 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 percent or
higher, you will be awarded a Certificate of Completion. If you score below 75
percent, you will be given one opportunity to take a second version of the End-ofCourse Examination.
One note about spelling is in order. This course was written in English as it is used in
the United Kingdom.
viii
LESSON 1
THE UNITED NATIONS FRAMEWORK
1.1
1.2
1.3
1.4
Financing the UN
1.5
UN Reform
Lesson 1 / The United Nations Framework
LESSON OBJECTIVES
By the end of Lesson 1, the student should be able to meet the following objectives:
Understand the background to the creation of the UN;
Appreciate the overall role of the UN and its complexity and international nature;
Identify the principal organs of the UN;
Know the responsibilities of the General Assembly and the Security Council;
Describe the difference between the UN organs and UN agencies; and
Appreciate the evolving nature of UN financing and reform.

to view a video introduction to this lesson by
course author Major General Tim Ford.
1.1
Creation
The United Nations was created by a world determined to save succeeding generations
from the scourge of war during an international conference of 50 countries held in San
Francisco in April 1945. Those delegates deliberated on the basis of proposals worked out by
the representatives of China, the Soviet Union, the United Kingdom and the United States at
Dumbarton Oaks, United States, in August-October 1944. This origin of the UN accounts for the
increased responsibilities granted to the victorious nations of World War II within the
Organisation; their leading role still prevails today in the constitution of the five permanent
members of the Security Council. Its creation was marked by the signing of the treaty that
describes its status: the Charter of the United Nations.
The establishment of the UNs organisation characterises the changes seen in
international relationships during the 20th century. Even though the idea of setting up an
international organisation with political objectives was not new, its achievement is quite recent.
The only other organisation in modern history to gain this distinction was the League of Nations,
which was conceived in similar circumstances and established in 1919 during the First World
War under the Treaty of Versailles to promote international cooperation and to achieve peace
and security. The International Labour Organisation was also created under the Treaty of
Versailles as an affiliated agency of the League. The League of Nations ceased its activities after
failing to prevent the Second World War.
The UN Charter
The Charter of the United Nations was ratified on 26 June 1945. It has subsequently
been amended several times by the United Nations General Assembly and currently consists of
some 111 Articles and 19 Chapters. These describe the purposes, principles, membership,
organs and scope of UN activities. The Charter of the United Nations is readily available to
read in the small blue booklet available from the UN and on the web at:
http://www.un.org/aboutun/charter/index.html.
Outline of the UN Charter

Charter Statement
We the peoples of the United Nations determined to save succeeding
generations from the scourge of war
Chapter I
Chapter II
Chapter III
Chapter IV
Chapter V
Chapter VI
Chapter VII
Chapter VIII
Chapter IX
Chapter X
Chapter XI
Chapter XII
Chapter XIII
Chapter XIV
Chapter XV
Chapter XVI
Chapter XVII
Chapter XVIII
Chapter XIX
Purposes and Principles

Membership
Organs
The General Assembly
The Security Council
Pacific Settlement of Disputes
Action with Respect to Threats to the Peace, Breaches of
the Peace, and Acts of Aggression
Regional Arrangements
International Economic and Social Cooperation
The Economic and Social Council
Declaration regarding Non-Self-Governing Territories
International Trusteeship System
The Trusteeship Council
The International Court of Justice
The Secretariat
Miscellaneous Provisions
Transitional Security Arrangements
Amendments
Ratification and Signature
Key Principles of the UN Charter include:
Sovereign equality of all Member States;

Peaceful settlement of disputes;
Restraint from use of force; and
Non-intervention in the domestic affairs of nations (except for enforcement measures
under Chapter VII).
International Agreements
Since its creation, the United Nations has played a leading role in multinational
discussions and in the development of international law. However, in understanding the
background to international peace and security issues and peacekeeping activities, we need to be
aware that many earlier treaties and principles exist that continue to influence the conduct of
international organisations, such as The Hague Convention of 1907, which is included in todays
understanding of the Laws of Armed Conflict. We also need to be aware of the many other
international and regional organisations and agreements that exist and have an impact on the
international process.
Membership
The United Nations began
with the fifty nations in 1945 that
were its original members. As of
2004, the United Nations included
191 nations, such that nearly all of
the world's recognised nations are
active members of the UN.
Additionally, some 17 non-Member
States
and
international
organisations maintain permanent
observer status at UN Headquarters
in New York.
Though the Charter does not
make it compulsory, most Member
States establish a diplomatic
mission in New York to represent
them on a permanent basis at UN
Headquarters.
These Permanent
Missions normally are comprised of
a Permanent Representative,
usually of Ambassadorial rank, plus
national staff officially appointed
by their own governments who can
represent the Member State as a
UN Headquarters in New York, New York.
national delegation in the various
(Photo by Harvey J. Langholtz)
UN agencies and meetings. Many
now include national military and police officers as counsels or attachs who advise the
Permanent Mission on relevant technical aspects associated with UN Peace Operations and
represent their nations at appropriate UN committees and working groups.
1.2
The United Nations today is a relatively large and complex system, composed of six
major branches (called Organs), plus a large number of associated specialised agencies,
programmes and related organisations that operate around the world. The United Nations, while
headquartered in New York, maintains a significant presence in Addis Ababa, Bangkok, Beirut,
Geneva, Nairobi, Santiago, and Vienna, and has offices all over the world. Its outline structure is
shown in the following organisational diagram.
International professionals, general service and field staff conduct the day-to-day
functioning of the UN offices and field missions, as well as provide continuity in the
administration of this complex organisation. The Secretariat has a staff of about 8,900 people
under the regular budget drawn from some 170 countries. As international civil servants, the
Secretary-General and other staff members answer to the United Nations alone for their activities
and take an oath not to seek or receive instructions from any Government or outside authority.
Under the Charter, each Member State vows to respect the exclusively international character of
the responsibilities of the Secretary-General and the staff and to refrain from seeking to influence
them improperly in the discharge of their duties.
The UN staff worldwide, including local staff and peacekeepers, totals approximately
64,700 people.
1.3
The six principal organs of the UN are detailed below. They are:
The General Assembly;

The Security Council;
The Economic and Social Council;
The Trusteeship Council;
The International Court of Justice; and
The Secretariat.
In particular, three UN organs significantly affect international peace and security issues.
These are the UN General Assembly, the UN Security Council, and the UN Secretariat.
The UN General Assembly
The main deliberative
organ of the United Nations is the
General Assembly. It is composed
of representatives of all Member
States, each of which has one vote.
Decisions on important questions S
such as those on peace and
security, admission of new
Members and budgetary matters S
require a two-thirds majority.
Decisions on other questions are
reached by a simple majority.
The General Assembly preparing for a regular

session of its Member States.
The General Assembly works in sessions, mainly with a regular yearly session, usually
commencing in September and continuing until December. At the start of each regular session,
the General Assembly elects a new president, as well as twenty-one vice-presidents and the
chairpersons of the Assembly's six Main Committees. To ensure equitable geographical
representation, the presidency of the Assembly rotates each year among five groups of States:
African, Asian, Eastern European, Latin American and Caribbean, and Western European and
other States. At the beginning of each regular session, the Assembly holds a general debate,
often addressed by heads of state and government, in which Member States express their views
on the most pressing international issues.
The General Assembly can also request special sessions, which are called to order by the
Secretary-General as required by particular circumstances, either at the request of the Security
Council, or at the request of the majority of the UN General Assembly members. Special
emergency sessions may be called within twenty-four hours of a request by the Security Council
on the vote of any nine Council Members, or by a majority of the United Nations Members, or
by one Member if the majority of Members concurs.
During sessions, the General Assembly works either in plenary session or in committee
sessions. Most questions are then discussed in its six Main Committees:
First Committee
Second Committee
Third Committee
Fourth Committee
Fifth Committee
Sixth Committee
Disarmament and International Security Committee

Economic and Financial Committee
Social, Humanitarian and Cultural Committee
Special Political and Decolonization Committee
Administrative and Budgetary Committee
Legal Committee
The responsibilities of the General Assembly include both shared and unique responsibilities:
Shared responsibilities:
With the Security Council: issues concerning peacekeeping and international security;
With the Trusteeship Council: monitoring of administration of territories under
supervision.
Unique responsibilities:
Study of reports from other United Nations agencies;
Statement of general principles of cooperation for peacekeeping, particularly
concerning disarmament;
International cooperation in various fields and for protection of human rights;
Approval of supervision agreements; and
Approval of the Organisation's budget.
The UN Security Council

The
primary
responsibility of the UN
Security Council is to
maintain international
peace and security. The
Council is composed of
five
permanent
members China,
France, Russia, the
United Kingdom, and
the United States and
The UN Security Council Chamber passes a Security Council Resolution
ten
non-permanent
by a show of hands.
members
that
are
elected to represent their regions for a two-year term. The Presidency of the Council rotates
monthly, according to the English alphabetical listing of its Member States. Traditionally, the
ten non-permanent seats on the Council have been apportioned on a regional basis as follows:
Africa (2)
Arab (1)
Asia (2)
Eastern Europe (1)
Latin America (2)
Western Europe (2)
The Security Council is organised so that it can perform its tasks on a permanent basis.
The Security Council keeps the Secretary-General and the General Assembly informed of its
activities.
The UN Secretariat
Over and above its administrative functions, the Secretariat is
in charge of recording and issuing the international treaties signed by
Member States of the United Nations. It is managed by the
Secretary-General, the Senior Official in the Organisation, who is
appointed every five years by the General Assembly upon the
recommendation of the Security Council. The Secretary-General
plays an important political role over and above his specific function
at the UN. He may receive mandates from Agencies of the UN to
perform specific missions, in particular, that of political mediation.
The structure of the UN Secretariat is outlined below:
THE SECRETARIAT
Secretary-General
Ban Ki-moon, 2007.
EXECUTIVE OFFICE OF THE

SECRETARY-GENERAL

SECRETARY-GENERAL

SECRETARY-GENERAL
DEPARTMENTS
INDEPENDENT OFFICES
OVERSEAS OFFICES
Department of Political
Affairs
Office for the Coordination of

Humanitarian Affairs
UN Office at Geneva
Department for Disarmament

Affairs
Office of the Iraq Programme
UN Office at Vienna
Office of the UN Security

Coordinator
UN Office at Nairobi
Department of Peacekeeping
Operations
Department of Economic &
Social Affairs
Office for Drug Control &

Crime Prevention
Department of General
Assembly Affairs &
Conference Services
Department of Public
Information
Department of Management
Each of the Departments and Offices in the Secretariat is headed by an Under-SecretaryGeneral, who coordinates their activities through the Executive Office of the Secretary-General.
The Heads of Departments and Agencies meet periodically with the Secretary-General and the
Deputy-Secretary-General in the Senior Management Group and in the Executive Committee on
Peace and Security.
10
All Departments and Offices have some input in peacekeeping and resolving conflicts.
For example, the Office of Legal Affairs is deeply involved in developing the Rules of
Engagement for Peacekeeping Operations, the Memorandums of Understanding, and the Status
of Forces Agreements with Member States. In addition, the Department of Management
authorises the budget for Field Missions.
Later in this course, we will consider the function of some of these Departments that are
significantly involved in the issue of conflict-management in more detail. These include the
Department of Political Affairs (DPA), the Department of Peacekeeping Operations (DPKO), the
Office of Coordination of Humanitarian Agencies (OCHA), and the Office of the Security
Coordinator (UNSECOORD).
The Economic and Social Council
The UN Charter established the Economic and Social Council (ECOSOC) as the
principal organ to coordinate the economic, social and related work of the United Nations and
the specialised agencies and institutions, known as the United Nations family of organisation.
Some of the functions and powers of the Economic and Social Council are:
To serve as the central forum for the discussion of international economic and social
issues of a global or interdisciplinary nature and the formulation of policy
recommendations on those issues addressed to Member States and to the United Nations
system;
To make or initiate studies and reports and make recommendations on international
economic, social, cultural, educational, health and related matters; and
To promote respect for and observance of human rights and fundamental freedom.
Today ECOSOC is comprised of fifty-four members with one vote each. Of these fiftyfour members, eighteen are elected each year and serve for a three-year term. The Council meets
in an annual five-week session alternating between New York and Geneva. The Council is not a
decision-making body. They prepare items for decisions by the General Assembly and assist the
Security Council when so required.
The International Court of Justice
The International Court of Justice (ICJ) is the principal judicial organ of the United
Nations. It settles legal disputes between States and gives advisory opinions to the United
Nations and its specialised agencies. Its Statute is an integral part of the United Nations Charter.
The Court is open to all States that are parties to its Statute, which include all Members of
the United Nations. Only States may be parties in contentious cases before the Court and submit
disputes to it. The Court is not open to private persons and entities or international organisations.
The General Assembly and the Security Council can ask the Court for an advisory
opinion on any legal question. Other organs of the United Nations and the specialised agencies,
when authorised by the Assembly, can ask for advisory opinions on legal questions within the
scope of their activities.
11
The Trusteeship Council

The Charter established the Trusteeship Council in 1945 to provide international
supervision for eleven Trust Territories placed under the administration of seven Member States.
In addition, it ensured that adequate steps were taken to prepare the Territories for selfgovernment or independence. The Charter authorised the Trusteeship Council to examine and
discuss reports from the Administering Authority on the political, economic, social and
educational advancement of the peoples of Trust Territories; to examine petitions from the
Territories; and to undertake special missions to the Territories.
By 1994, all Trust Territories had attained self-government or independence, either as
separate States or by joining neighbouring independent countries. The last to do so was the Trust
Territory of the Pacific Islands (Palau), which became the 185th Member State. Its work
completed, the Trusteeship Council consisting of the five permanent members of the Security
Council has amended its rules of procedure to meet where occasion may require.
The UN and Other Agencies
The UN includes a number of agencies that depend mainly on the General Assembly and
on the Economic and Social Council. Additionally, there are other international agencies that do
not belong to the UN but which nevertheless maintain close relations with the Organisation
through the Economic and Social Council. Peacekeepers may encounter some of these
Programmes, Agencies or Commissions when working in connection with or as a part of the
peacekeeping operation. Most importantly, these include:
The Office of the United Nations High Commissioner for Refugees (UNHCR), which
is voluntarily financed, extends international protection to more than 18 million refugees
throughout the world, seeking to ensure that they receive asylum and favourable legal status in
their asylum country. Its headquarters is in Geneva, but its staff of over 400 professionals is
spread in over 270 bases in about 120 countries at any one time.
The United Nations Children's Fund (UNICEF), again voluntarily financed, this is a
semi-autonomous organisation which helps developing countries, at their request, to improve the
quality of life of their children, through low cost community based services in maternal and child
health, nutrition, sanitation and education, as well as emergency relief. Its headquarters is in
New York, but the bulk of the staff is carrying out activities in the field in over 160 countries.
The United Nations Development Programme (UNDP), which is the world's largest
channel for providing multilateral technical and pre-investment assistance to developing
countries, and is supporting over 6,000 projects in some 150 countries. The UNDP, as the
principal political representative to developing nations, has an operational role coordinating with
national representatives on behalf of the UN, and coordinating the activities of different UN
agencies in each country.
The World Food Programme (WFP), which is the worlds largest international food
aid organisation, is responsible for handling annually around 3 million metric tons of food aid.
Its mandate is to help poor people in developing countries by combating world hunger, natural
12
catastrophes, and poverty. Annually, it provides over 75 million people in more than 66
countries with basic foodstuffs.
A wide range of other UN and international organisations are also significantly
contributing to international peace and security, development and humanitarian assistance
around the world. These include the World Health Organisation (WHO), the World Bank and
the International Monetary FUND (IMF), the International Organisation for Migration (IOM),
and the United Nations Relief and Works Agency (UNRWA) amongst others.
The International Red Cross and Red Crescent Movement
The International Committee of the Red Cross (ICRC), based in Switzerland, is the
founding institution of the International Red Cross and Red Crescent Movement. This
Movement includes three branches: ICRC; the National Red Cross and Red Crescent Societies
(National Societies); and the International Federation of Red Cross and Red Crescent Societies
(IFRC). All three branches have distinct tasks:
ICRC
ICRCs mandate is to operate in areas of armed conflict and internal disturbance. It
originally focused mainly on protection work, such as promotion among the conflicting parties of
the various Geneva Conventions and Protocols, regarding such matters as the treatment of
civilians and prisoners of war. In recent years, the provision of assistance in complex
emergencies has become a very large component as well, especially inside conflict zones (and on
both sides of conflict lines).
ICRC was originally a Swiss organisation, in part to more effectively promote its
fundamental principles of neutrality, impartiality, and independence. It now incorporates a staff
of different nationalities in its assistance efforts (e.g., doctors and mechanics). However, its
Delegates, who handle protection matters and the more sensitive negotiations regarding
providing assistance, remain almost exclusively Swiss.
National Red Cross and Red Crescent Societies
National Societies operate in more than 160 countries around the world (using the Red
Crescent symbol in Islamic countries). These Societies act as auxiliaries to the public authorities
in their own countries. They provide a range of services, including disaster relief, health and
social assistance, and first aid courses. During wartime, National Societies may support the
army medical services.
International Federation of Red Cross and Red Crescent Societies
The Federation (or IFRC) works around the world to support the actions of the various
National Societies. It assists with the coordination of international assistance provided via the
Red Cross Movement to victims of natural disasters, and to victims of manmade disasters outside
of conflict areas (where ICRC takes the lead).
13
1.4
Financing the UN
United Nations funding comes from three different sources:
Assessed contributions to the regular budget;

Assessed contributions for peacekeeping operations; and
Voluntary contributions for specialised agencies and subsidiary organisations.
The scale of assessments for contributions to the regular budget is determined every 3
years on the basis of GNP and ranges from a maximum of 22% of the budget (USA) to a
minimum of 0.001% (developing countries). Apart from these contributions, the regular budget
is funded from revenues from the sale of items such as UN souvenirs, special stamps, books, and
brochures. The biennial regular budget for 2004-5 had a value of 3.058 billion US dollars.
Scale of Assessment of Major Contributors -- 2001
USA
22 %
Japan
19.628 %
Germany
9.493 %
France
6.283 %
United Kingdom
5.380 %
Italy
4.922 %
Canada
2.573 %
Spain
2.448 %
Brazil
1.702 %
Netherlands
1.688 %
Australia
1.604 %
Korea, Republic of
1.318 %
Russia
1.200 %
Belgium
1.098 %
Sweden
0.998 %
In addition to their contributions to the regular budget, UN Member States contribute to

the peacekeeping operations budget and to the cost of international courts and tribunals. The
level of these contributions is based initially on their assessed contributions to the regular budget
and is thus linked to each country's financial capacity. However, the actual level of assessed
contributions to the peacekeeping operations budget also takes into account the political
responsibility of the permanent members of the UN Security Council. Since peace missions vary
in number and duration, contributions to the peacekeeping budget also fluctuate more widely
from year to year than contributions to the regular budget. In recent years with about 15 active
14
peacekeeping operations including two or three major multidimensional missions, the

annual peacekeeping budget has been in the order of about 3 billion US dollars.
Member countries also contribute on an entirely voluntary basis to the many projects and
activities of the UN's specialised agencies and other subsidiary organisations. The administrative
costs of such bodies are met from the regular budget.
For years the UN system has been in financial crisis, caused mainly by the failure of
some member countries to pay their dues. For some time, a number of Member States have been
working towards a reform of the UN scales of assessment in order to share the costs more
equitably. After more than twelve months of discussions and a highly dramatic final phase, the
negotiations on new scales of assessment for contributions to the regular budget, as well as to the
peacekeeping operations budget, were concluded on 23 December 2000 in New York.
1.5
UN Reform
As you will have gathered from the overview above, the United Nations is a large,
multidimensional organisation that is operating in a complex political and financial environment.
In order to remain relevant, it must respond to the concerns of its Member States and be seen as a
process and organisation that meets the demands of the present international situation. The UN
must constantly adjust to new conditions and new needs. At the same time, it must continue to
meet its Charter and the enshrined principles of sovereign equality of all Member States and nonintervention in the domestic affairs of nations. To meet these challenges and to respond to
concerns about how various UN activities have evolved in the past, the Membership and the
Secretariat of the UN have undertaken various major reform programmes and reviews over the
years. In particular, since Secretary-General Kofi Annan took office in 1997, the process of
reform has been pursued rigorously. Many of you would be familiar with the Report of the Panel
of Experts on United Nations Peace Operations, commonly referred to as the Brahimi Report,
which was endorsed by the Millennium Summit of the General Assembly in September 2000,
much of which has now been implemented in the management and conduct of UN peacekeeping
operations.
This reform process continues with the Secretary-General announcing in September 2003
a plan to further strengthen the United Nations and improve its ability to meet the challenges
placed before it by the Member States and the worlds peoples. The latest reform proposal sets
out an agenda for further change that will affect the full spectrum of the United Nations
entities and activities. The objective is neither to reduce the budget, nor to respond to pressures
or conditions imposed from outside. Rather, it is an initiative from within. We must take a
critical look at all our activities, writes the Secretary-General, and ask ourselves whether they
are relevant to the implementation of the Millennium Declaration and whether they have the
desired impact. And if the answer is no, we must be willing to let go.
15
LESSON 1
END-OF-LESSON QUIZ
1.
The United Nations was founded:

A. In 1908;
B. In 1945;
C. During the Cold War;
D. Before the Second World War.
2.
The aim of the United Nations is to:

A. Maintain international peace and security;
B. Act as a World Parliament;
C. Enact international humanitarian laws;
D. None of the above.
3.
Among the following principles, which govern(s) the UN system?

A. Equality of states;
B. Leadership of nuclear powers;
C. Non-intervention into domestic affairs of a state;
D. Both a. and c.
4.
The United Nations General Assembly is composed of:

A. All Member States;
B. Five permanent members and twenty elected members;
C. Ten permanent members;
D. A proportion of Member States representing the different regions in the world.
5.
The UN Security Council is composed of:

A. Five members;
B. Ten members elected annually;
C. Fifteen members;
D. Twenty-five members.
6.
The five permanent members of the Security Council are:

A. China, India, Japan, Russia, United States;
B. Argentina, France, Japan, Russia, United Kingdom;
C. China, France, Russia, United Kingdom, United States;
D. France, India, Russia, United Kingdom, United States.
16
7.
The Secretary-General of the United Nations is appointed:

A. By the General Assembly upon the recommendation of the Security Council;
B. Annually by the Security Council rotating through five groups of Member States;
C. By the International Court of Justice every five years;
D. After receiving a two-thirds majority vote of the Trusteeship Council.
8.
The UN Secretariat is comprised of:

A. Civil servants detached to the UN to represent Member States for fixed periods;
B. Individuals normally on a contract to the UN who are recruited from the Member
State;
C. All the departments, agencies and organisations associated with the UN;
D. All of the above.
9.
Chapter VI of the UN Charter deals with:

A. Peacekeeping operations;
B. Details on the regional arrangements within a mission;
C. Coercive measures to enforce compliance by an aggressor;
D. The pacific settlement of disputes between countries.
10. The regular budget of the UN is financed by:

A. Mandatory contributions by the five permanent members of the Security Council;
B. Voluntary contributions by Member States;
C. Assessed contributions determined every three years on the basis of GNP;
ANSWER KEY
1B, 2A, 3D, 4A, 5C, 6C, 7A, 8B, 9D, 10C
LESSON 2
DEVELOPMENT OF PEACEKEEPING
OPERATIONS
2.1
2.2
2.3
2.4
2.5
2.6
UN Peacekeeping Missions
2.7
2.8
2.9
Annex A
Recent Security Council Resolutions (UNMIL, UNMICI)
Annex B
Model Status of Forces Agreement
Annex C
Typical Contents of Mission Guidelines for TCCs
Lesson 2 / Development of Peacekeeping Operations
18
LESSON OBJECTIVES
Appreciate the framework of UN missions in the field;
Understand the chapters of the UN Charter that pertain to the Security Council and
the maintenance of peace and security;
Understand how UN Peace Operations are authorised and coordinated;
Know the various UN terms associated with Peace Operations;
Understand the purpose of Status of Forces Agreements; and
Have an understanding of the general agreements and guidelines reached by the UN

with host nations and troop contributors.

2.1
19
At any given time, the United Nations and its agencies are conducting a wide range of
different activities around the world in response to international situations. They deploy into the
field various UN missions, offices, and country teams to monitor and respond to emergencies,
ongoing developmental needs, humanitarian concerns and conflicts. Within a particular region a
number of UN elements may be deployed and, in understanding the total environment, UN
officials need to be aware of the various issues and actions occurring in the region.
In general, country development issues are coordinated by the United Nations
Development Programme (UNDP). Where a UN country team is deployed a Regional
Coordinator, normally a UNDP official, is appointed to coordinate the day-to-day activities of
the various UN elements. Details are available on the internet at the UNDPs website,
http://www.undp.org.
Worldwide emergency response and humanitarian intervention operations and activities
are coordinated by the Office of Coordination for Humanitarian Affairs (OCHA). For a better
understanding of these activities you should visit the OCHA web site at
http://www.reliefweb.int, or study the OCHA Orientation Handbook on Complex
Emergencies, issued by the OCHA in August 1999.
International Peace and Security Activities
As we have seen, the global community created the United Nations in 1945 at the end of
World War II at a time when standing armies were envisaged as the main issue. Peacekeeping
was not foreseen as a major activity, and there is no specific language in the UN Charter on
peacekeeping. However, since 1948 the United Nations has conducted a large number of peace
operations under its Charter, including over fifty-six peacekeeping operations. Many other
similar operations have been undertaken by regional organisations and coalitions of the willing,
some under the authority of the United Nations and others without the consent of the UN. The
process of responding to threats to international order has, therefore, evolved in this period,
particularly after the end of the Cold War in 1988. In this course, we need to understand the
existing legal framework for peace operations under the command or authority of the United
Nations, as well as how this has developed over the years through recent experience with
international peace and security issues and their associated implications.
2.2
Chapters VI and VII of the United Nations Charter very clearly define the measures
that may be taken by the Security Council as it responds in its capacity to take action in regard
to threats to peace, to breaches of peace, or to acts of aggression in the international community.
Concerning the peaceful settlement of disputes, Chapter VI stresses that the parties of
any dispute, the continuance of which is . . . likely to endanger the maintenance of international
peace and security. . . shall, first of all, seek a solution by negotiation, enquiry, mediation,
conciliation, arbitration, direct settlement, resort to regional agencies or arrangements, or other
20
peaceful means of their own choice. Nations may bring disputes to the attention of the Security
Council or the General Assembly. The Security Council may call upon the parties to settle their
dispute by peaceful means, recommend appropriate procedures or methods of adjustment, or
assist in reaching the terms of a settlement. The action of the Security Council in this context is
restricted to recommendations. The peaceful settlement of conflicts must essentially be reached
by the parties themselves, on the basis of the will to implement the decisions of the Council, in
accordance with the United Nations Charter.
If a threat to the existence of peace, or any breach of the peace or act of aggression,
comes to the attention of the Security Council, it may use extensive powers and measures
towards the restoration or enforcement of peace, as allowed and specified in Chapter VII of the
Charter. In order to prevent aggravating the situation, the Security Council may call upon the
parties to comply with such provisional measures as it deems necessary or desirable.
In accordance with Article 41, it may decide which non-armed measures are to be
employed by the Members, including total or partial interruption of economic relations and
means of communication, and the severance of diplomatic relations. Should the Security
Council consider that such measures would be inadequate, it may, according to Article 42,
decide to take such action by air, sea, or land forces as may be necessary to maintain or to
restore international peace and security.
This authority needs to be balanced by consideration of Article 2(7), which preserves the
standard of non-intervention in international law and declares:
Nothing contained in the present Charter shall authorise the UN to intervene in matters
which are essentially within the domestic jurisdiction of any State or shall require the members
to submit such matters in settlement under the present Charter, but this principle shall not
prejudice the application of enforcement matters under Chapter VII.
When deciding whether to intervene or not, sovereign integrity remains an underlying
principle, which must be balanced against any decision to justify collective intervention,
including humanitarian grounds as defined by todays customary international law.
In order to contribute to the maintenance of international peace and security, all
Members, at the request of the UN General Assembly, and in accordance with a special
agreement or agreements, are encouraged to make the armed forces, the assistance, or the
facilities available to the Security Council in order to carry out such measures.
The measures mentioned in Articles 41 and 42 constitute the core of the collective
security system planned by the UN Charter. The main characteristic of this system is the
principal role assigned to the five permanent members of the Security Council, which may veto
any decision. Thus, decisions regarding the use of armed force require the full agreement and
the total cooperation between the permanent members. Additionally, we need to be aware that
under Article 51 of the Charter nothing shall impair the inherent right of individual or
collective self-defence if an armed attack occurs against a Member of the United Nations, until
the Security Council has taken measures necessary to maintain international peace and security.
Nevertheless, any measures taken by Members in the exercise of this right of self-defence should
be immediately reported to the Security Council and not in any way affect the authority and
21
responsibility of the Security Council under the Charter to take such action as it deems necessary
in order to maintain or restore international peace and security.
Furthermore, the UN Charter in Chapter VIII specifically provides for action by
regional organisations, as approved and monitored by the UN Security Council. In recent years,
we have seen a wide range of regional and sub-regional organisations developing their own
collective security platforms and procedures, including an improved capacity to respond
regionally and to conduct their own peace operations. In this respect, the United Nations is
actively engaged in strengthening its relationship with regional organisations, including regular
dialogue at the highest levels and a range of initiatives to develop regional capacity to conduct
peace operations.
2.3
The United Nations undertakes its responsibilities to international peace and security by
continual monitoring and review of the international situation, principally through the Security
Council as advised by the UN Secretariat and Member States. In particular, the SecretaryGeneral reports to the Council as requested, periodically on any international situations. UN
Special Representatives of the Secretary-General (SRSGs), envoys, agencies, missions and staff
deployed throughout the world monitor the international situation widely, conduct investigations
and reviews, and compile reports for the UN Secretariat that forms the basis of discussion in the
Security Council and other UN Organs. In particular, the Office of the Secretary-General
(OSG), the Department of Political Affairs (DPA) and the Department of Peacekeeping
Operations (DPKO), working through the Executive Committee on Peace and Security (ECPS),
assist in preparing these reports.
UN Security Council Resolution
In response to any particular international situation brought to its attention that may
threaten peace, and following informal and formal discussion, the UN Security Council may
initiate or approve action to be taken by the international community through a UN Security
Council Resolution (UNSCR), which could include a recommendation to deploy a UN Peace
Operation. In such a case, the Council will, after consideration and advice from the Secretariat,
also pass a UNSCR that outlines the mandate of the UN mission. The mandate should clearly
outline:
the mission and role of the peace operation;

the tasks and functions to be performed;
the size and organisation of the force or mission;
the lead agency responsible for the mission;
the general financial and logistic arrangements (budget and resources);
the time limit of the mandate; and
the division of responsibilities between the UN and regional and national entities.
Some recent UNSCRs and mandates are attached in Annex A at the end of this lesson.
2.4
22
The categorization and nature of Peace Operations has evolved over the life of the UN.
Some argue that all such operations should be called peacekeeping, a generic title well known
to the international community. Others prefer a clear definition of the different types of
missions. We need to be careful when encountering such terminology because many
international organisations and countries use different terms and definitions. Today the UN uses
the following terms in their literature:
UN Terms
Preventative Diplomacy Action to prevent disputes from developing between
parties, to prevent existing disputes from escalating into conflicts and to limit the
spread when they occur.
Peacemaking Diplomatic action to bring hostile parties to a negotiated agreement
through such peaceful means as those foreseen in Chapter VI of the UN Charter.
Peacekeeping The deployment of a UN presence in the field (normally involving
UN military and/or police and civilian personnel) with the consent of the conflicting
parties, to implement or monitor the implementation of arrangements relating to the
control of conflicts (cease-fires, separation of forces, etc) and their resolution (partial
and comprehensive settlements) or to ensure the safe delivery of humanitarian relief.
Peace-enforcement The use of armed force to maintain or restore international
peace and security in situations where the Security Council has determined the
existence of a threat to the peace, breach of the peace or act of aggression. The
authority for enforcement is provided for in Chapter VII of the UN Charter. Normally
only employed when all other efforts fail.
Peace-building Action to identify and rebuild support structures which will promote
and build trust and interaction among former enemies, in order to avoid relapse into
conflict. The notion of peace building can incorporate efforts in all stages of a possible
or present conflict to bring the parties to peace, and is critical in the aftermath of
conflict.
2.5
The primary responsibility within the UN Secretariat for conflict prevention, peacebuilding and peacemaking rests with the Department of Political Affairs (DPA). The DPA
provides advice and support on all political matters to the Secretary-General in the exercise of
his global responsibilities under the United Nations Charter relating to the maintenance of peace
and security. The DPA carries out activities related to the prevention, control and resolution of
conflicts, peace-building, electoral assistance, substantive support, and secretariat services to the
23
Security Council, the Committee on the Exercise of the Inalienable Rights of the Palestinian
People, and the Special Committee on the Situation with regard to the Implementation of the
Declaration on the Granting of Independence to Colonial Countries and Peoples. The SecretaryGeneral, through his special representatives and special envoys, is actively engaged in
implementing political mandates in a number of countries.
A map showing the range of UN political offices and peace-building missions as of June
2007 is shown below.
2.6
Peacekeeping Missions
Peacekeeping operations have traditionally involved the deployment of primarily military

personnel from a number of countries, under UN command, to help control and resolve armed
conflict between hostile parties.
Recent years have seen major changes in the number and nature of conflicts brought
before the UN. The post-Cold War period has been characterised by a proliferation of civil wars
and other armed conflicts within States threatening international peace and security and causing
massive human suffering. Peacekeeping, initially developed as a means of dealing with interState conflict, has been increasingly applied to intra-State conflicts and civil wars. Today's
conflicts frequently take place between multiple armed factions with different political objectives
and fractured lines of command.
24
The evolution of United Nations peacekeeping in response to these changing needs has
meant that a growing number of peacekeeping missions now fit into a new category
characterised by complex operations composed of military, civilian police, and other civilian
personnel. With a mandate to help create political institutions and broaden their base, the United
Nations works alongside governments, non-governmental organisations, and local citizens'
groups to provide emergency relief, demobilise former fighters and reintegrate them into society,
clear mines, organise and conduct elections, and promote sustainable development practices.
Once the Security Council mandates a peacekeeping operation, the Secretary-General
directs and manages UN peacekeeping missions and reports to the Council on a mission's
progress. Most large missions are headed by a Special Representative of the Secretary-General,
and supported by the Department of Peacekeeping Operations (DPKO). Through this
department, the Secretary-General also formulates policies and procedures for peacekeeping and
makes recommendations on the establishment of new missions and on the functioning of
ongoing operations. The DPKO also supports a number of political missions, such as the UN
missions in Afghanistan (UNAMA) and the initial mission in Cte dIvoire (MINUCI).
As of June 2007, UN peacekeepers were deployed on the 18 missions shown in the map
below.
Certain factors are critical for the success of a United Nations peacekeeping
operation. The international community must have correctly diagnosed the problem before
prescribing peacekeeping as the treatment. A majority of all parties involved with the conflict
have to be willing to stop fighting; in other words, there must be a peace to keep. All key
parties to the conflict must consent to the UNs role in helping them resolve their dispute.
25
Members of the Security Council must agree on the operations desired outcome and on a clear,
achievable mandate. The approval and deployment of resources to undertake the mandate must
occur in a timely fashion.
Peacekeeping must be part of an overall strategy to help resolve a conflict, which requires
a myriad of political, economic, development, human rights and humanitarian efforts to be
conducted in parallel. Political and economic attention must be given to the entire region in
concern so that progress in achieving peace in one country is not undermined by neighbours
problems.
The international community must be prepared to stay until the mandate has been
achieved. Real peace takes time; building national capacities takes time; and rebuilding trust
takes time. International peacekeepers, working with or for the UN, must be given the support
and the time to perform the tasks entrusted upon them by Member States with professionalism,
competence and integrity.
The particular plan for a peacekeeping mission is developed after one or several
reconnaissance trips in theatre, trips that enable officials to collect useful information regarding
terrain, infrastructure, transportation facilities, and prospects for accommodation.
Next, the Security Council must approve the Secretary-Generals report and establish the
operation. At this stage, the Secretary-General can officially contact countries to arrange their
contribution of forces and resources. However, despite these formalities and given the time
constraints that are often involved for an upcoming mission, informal contacts as preliminary
discussions of possibilities are normally made beforehand.
The Secretary-General then prepares the budget for the planned peacekeeping operation,
in cooperation with the Administration and Budget Council, which he submits to the General
Assembly committee. It is then voted upon by the General Assembly.
Finally, the host nation(s) is called upon to provide support for the mission and its various
facilities. This is accomplished through the Status of Forces Agreement, which is a signed
agreement between the United Nations and the host nations.
A peacekeeping operation is deployed with the consent of the host country, and it is
expected that the parties will make every effort to facilitate the deployment of the operation. The
operation enjoys the status, privileges and immunities of the United Nations provided in the
Charter (Article 105) and the Convention on Privileges and Immunities of the United Nations.
Peacekeeping personnel, in turn, must respect the laws and customs of the host country.
2.7
26
As soon as an operation is authorised by the Security Council, the Secretary-General will

seek to conclude a Status of Forces Agreement (SOFA) between the UN and the host nation
regulating the presence of the operation. The SOFA establishes legal rights and duties of the
Peace Operation forces and personnel in the host nation. This agreement is based on and
originates from Articles 104 and 105 of the UN Charter, the sections that deal with the legal
capabilities of the UN and with the privileges and immunities necessary for the achievement of
the UN mission.
SOFAs are established according to the provisions of the convention on privileges and
immunities of the United Nations, according to the principles and customary practices that may
be applied to UN peacekeeping operations. Implementation of the convention to the context of
peacekeeping operations is limited to the status of the organisation, representatives of Member
States, UN officials, and experts carrying out missions for the UN. It includes no provisions
concerning the status of members of national contingents.
Essentially, the principles and practices of a Status of Forces Agreement are based on the
first SOFA, which was concluded 8 February 1957 between the UN and Egypt for UNEF-I,
which began in November 1958. This first SOFA set a model that, with adjustments, has been
used as the template in subsequent agreements. A copy of the Standard SOFA can be found in
Annex B of this lesson.
The provisions of the agreement cover, among other things, include the following topics:
the status of the operation and its members;

responsibility for criminal and civil jurisdiction over the members of the operation;
taxation, customs and fiscal regulations pertaining to the members of the operation;
freedom of movement, including the use of roads, waterways, port facilities and airfields;
provision of water, electricity and other public utilities;
locally recruited personnel;
settlement of disputes or claims;
protection of United Nations personnel; and
and liaison.
Such agreements also require inter alia, that the parties provide certain facilities (e.g.,
suitable premises for the operation's headquarters) free of charge.
The SOFA grants the members of a peacekeeping operation the privileges and
immunities given to mission commanders and UN officials and experts. Military members of the
peacekeeping operation are subject to the exclusive jurisdiction of their contributing nation for
any criminal offence committed in the host nation or territory. They are granted immunity of
jurisdiction for any action committed while carrying out their official duties (including what they
say or write). This immunity continues to operate even when they are no longer members of the
operation.
27
A general formula is also added to the SOFA, concerning the Geneva Conventions and
additional protocols, which states that without prejudice to the mandate of the United Nations
peacekeeping operation or to its international status:
2.8
The United Nations assures the operation will be conducted on the involved territory
with full respect of the principles and spirit of the general conventions concerning
conduct of military personnel. These international conventions include the four
Geneva Conventions of 12 August 1949, as well as their additional protocols of 8
June 1977, and the UNESCO Convention of 14 May 1954, concerning the protection
of cultural heritage in case of an armed conflict.
The government has the responsibility of treating, at any time, the operations
military personnel with full respect of the principles and spirit of the general
international conventions concerning treatment of military personnel. These
international conventions include the four Geneva Conventions of 12 August 1949,
as well as their additional protocols of 8 June 1977.
The United Nations and the government will, therefore, make sure that the members
of their respective military contingents have full knowledge of the principles and
spirit of the above-mentioned international documents.
The most essential planning factor for United Nations peacekeeping operations is the
assurance of support from Member States in providing manpower and resources to support the
mission. Planning can be enhanced by mutually agreed upon understandings between the
Secretariat and troop contributors concerning stand-by arrangements.
Although these
agreements do not guarantee particular contributions from Member States for a specific
operation, they do reflect potential contributions on a case-by-case basis. Stand-by arrangements
are valuable to the planning process in that they provide a generalised database from which the
Secretariat can derive initial estimates of available resources. Each Member State is responsible
for the training and preparation of its personnel and units. They must be trained to maintain an
attitude of disciplined impartiality and professional performance in order to command the respect
of the conflicting parties.
Equipment needed for a peacekeeping operation will differ from one mission to another,
depending on operational conditions. All equipment should meet the operational and technical
requirements specified by the Secretariat, and each Member State is responsible for the adequate
training of all personnel contributed to the mission, inclusive of the necessary skills to operate
the equipment.
28
Memorandum of Agreement
Each force-contributing country negotiates a memorandum of Agreement (MOA) with
the UN that documents the specific basis for that countrys participation. The MOA is designed
to address and resolve all the nation-specific concerns, and lay out the conditions under which
that country is providing forces to participate in the peace operation. (Some countries have
stated it is their national policy to provide forces only to operations that are authorised under a
Chapter VI mandate.)
2.9
To ensure that the Governments of Member States that will contribute to a particular
mission are aware of the relevant information about a mission and the various responsibilities
and conditions governing their contributions, the Department of Peacekeeping Operations issues
comprehensive guidelines to the Troop-Contributing Countries (TCCs).
These guidelines refer to the relevant official UN documentation that has an impact on
the mission, such as the UN Security Council Resolutions, standard policies, and manuals. They
then describe:
General information on the background to the mission, the topography, the people, the
economy, communications facilities, and infrastructure;
The UN Mandate and Objectives;
The Concept of Operations and anticipated phases to the operation;
The Organisational Structure of the mission, its components, and the capabilities of the
military and police units;
Administrative and Logistic Guidelines, including concept, guidance on preparation of

equipment and troops, self-sustainment issues, medical and dental arrangements, and
general administrative and financial matters;
Personnel, general information on training, conduct and discipline;
Glossary; and
Annexes, outlining structures, boundaries, specific administrative and personnel

requirements.
The index of typical Mission Guidelines for Troop-Contributing Countries is attached in Annex C.
29
ANNEX A
RECENT SECURITY COUCIL RESOLUTIONS (UNMIL, UNMICI)
United Nations
Security Council
S/RES/1509 (2003)
Distr.: General
19 September 2003
Resolution 1509 (2003)

Adopted by the Security Council at its 4830th meeting, on
19 September 2003
The Security Council,
Recalling its previous resolutions and statements by its President on
Liberia, including its resolution 1497 (2003) of 1 August 2003, and the 27
August 2003 Statement by its President (S/PRST/2003/14), and other relevant
resolutions and statements,
Expressing its utmost concern at the dire consequences of the prolonged
conflict for the civilian population throughout Liberia, in particular the
increase in the number of refugees and internally displaced persons,
Stressing the urgent need for substantial humanitarian assistance to the
Liberian population,
Deploring all violations of human rights, particularly atrocities against
civilian populations, including widespread sexual violence against women and
children,
Expressing also its deep concern at the limited access of humanitarian
workers to populations in need, including refugees and internally displaced
persons, and stressing the need for the continued operation of United Nations
and other agencies relief operations, as well as promotion and monitoring of
human rights,
Emphasizing the need for all parties to safeguard the welfare and security
of humanitarian workers and United Nations personnel in accordance with
applicable rules and principles of international law, and recalling in this regard
its resolution 1502 (2003),
Mindful of the need for accountability for violations of international
humanitarian law and urging the transitional government once established to
ensure that the protection of human rights and the establishment of a state
based on the rule of law and of an independent judiciary are among its highest
priorities,
Reiterating its support for the efforts of the Economic Community of
West African States (ECOWAS), particularly organization Chairman and
President of Ghana John Kufuor, Executive Secretary Mohammed Ibn
Chambas, and mediator General Abdulsalami Abubakar, as well as those of
Nigerian President Olusegun Obasanjo, to bring peace to Liberia, and
recognizing the critically important role they continue to play in the Liberia
peace process,
Welcoming the continued support of the African Union (AU) for the
leadership role of ECOWAS in the peace process in Liberia, in particular the
appointment of an AU Special Envoy for Liberia, and further encouraging the
AU to continue to support the peace process through close collaboration and
coordination with ECOWAS and the United Nations,
Commending the rapid and professional deployment of the ECOWAS
Mission in Liberia (ECOMIL) forces to Liberia, pursuant to its resolution
1497 (2003), as well as Member States which have assisted ECOWAS in its
efforts, and stressing the responsibilities of all parties to cooperate with
ECOMIL forces in Liberia,
Noting that lasting stability in Liberia will depend on peace in the
subregion, and emphasizing the importance of cooperation among the
countries of the subregion to this end, as well as the need for coordination of
United Nations efforts to contribute to the consolidation of peace and security
in the subregion,
Gravely concerned by the use of child soldiers by armed rebel militias,
government forces, and other militias,
Reaffirming its support, as stated in its Statement by its President on 27
August 2003 (S/PRST/2003/14), for the Comprehensive Peace Agreement
reached by Liberias Government, rebel groups, political parties, and civil
society leaders in Accra, Ghana on 18 August 2003, and the Liberian ceasefire
agreement, signed in Accra, 17 June 2003,
Reaffirming that the primary responsibility for implementing the
Comprehensive Peace Agreement and the ceasefire agreement rests with the
parties, and urging the parties to move forward with implementation of these
agreements immediately in order to ensure the peaceful formation of a
transitional government by 14 October 2003,
Welcoming the 11 August 2003 resignation and departure of former
Liberian President Charles Taylor from Liberia, and the peaceful transfer of
power from Mr. Taylor,
Stressing the importance of the Joint Monitoring Committee (JMC), as
provided for by the 17 June ceasefire agreement, to ensuring peace in Liberia,
and urging all parties to establish this body as quickly as possible,
Recalling the framework for establishment of a longer-term United
Nations stabilization force to relieve the ECOMIL forces, as set out in resolution
1497 (2003),
Welcoming the Secretary-Generals report of 11 September 2003
(S/2003/875) and its recommendations,
30
Taking note also of the intention of the Secretary-General to terminate

the mandate of the United Nations Office in Liberia (UNOL), as indicated in
his letter dated 16 September 2003 addressed to the President of the Security
Council (S/2003/899),
Taking note also of the intention of the Secretary-General to transfer the
major functions performed by UNOL to the United Nations Mission in Liberia
(UNMIL), together with staff of UNOL, as appropriate,
Determining that the situation in Liberia continues to constitute a threat
to international peace and security in the region, to stability in the West Africa
subregion, and to the peace process for Liberia,
Acting under Chapter VII of the Charter of the United Nations,
1.
Decides to establish the United Nations Mission in Liberia
(UNMIL), the stabilization force called for in resolution 1497 (2003), for a
period of 12 months, and requests the Secretary-General to transfer authority
from the ECOWAS-led ECOMIL forces to UNMIL on 1 October 2003, and
further decides that UNMIL will consist of up to 15,000 United Nations
military personnel, including up to 250 military observers and 160 staff
officers, and up to 1,115 civilian police officers, including formed units to
assist in the maintenance of law and order throughout Liberia, and the
appropriate civilian component;
Welcomes the appointment by the Secretary-General of his Special
2.
Representative for Liberia to direct the operations of UNMIL and coordinate
all United Nations activities in Liberia;
3.
Decides that UNMIL shall have the following mandate:
Support for Implementation of the Ceasefire Agreement:

(a) to observe and monitor the implementation of the ceasefire
agreement and investigate violations of the ceasefire;
(b) to establish and maintain continuous liaison with the field
headquarters of all the parties military forces;
(c) to assist in the development of cantonment sites and to provide
security at these sites;
(d) to observe and monitor disengagement and cantonment of military
forces of all the parties;
(e)
to support the work of the JMC;
(f) to develop, as soon as possible, preferably within 30 days of the

adoption of this resolution, in cooperation with the JMC, relevant international
financial institutions, international development organizations, and donor
nations, an action plan for the overall implementation of a disarmament,
demobilization, reintegration, and repatriation (DDRR) programme for all
armed parties; with particular attention to the special needs of child
combatants and women; and addressing the inclusion of non-Liberian
combatants;
(g) to carry out voluntary disarmament and to collect and destroy
weapons and ammunition as part of an organized DDRR programme;
31
32
(h) to liase with the JMC and to advise on the implementation of its
functions under the Comprehensive Peace Agreement and the ceasefire
agreement;
(i) to provide security at key government installations, in particular
ports, airports, and other vital infrastructure;
Protection of United Nations Staff, Facilities and Civilians:
(j) to protect United Nations personnel, facilities, installations and
equipment, ensure the security and freedom of movement of its personnel and,
without prejudice to the efforts of the government, to protect civilians under
imminent threat of physical violence, within its capabilities;
Support for Humanitarian and Human Rights Assistance:
(k) to facilitate the provision of humanitarian assistance, including by
helping to establish the necessary security conditions;
(l) to contribute towards international efforts to protect and promote
human rights in Liberia, with particular attention to vulnerable groups
including refugees, returning refugees and internally displaced persons,
women, children, and demobilized child soldiers, within UNMILs capabilities
and under acceptable security conditions, in close cooperation with other
United Nations agencies, related organizations, governmental organizations,
and non-governmental organizations;
(m) to ensure an adequate human rights presence, capacity and
expertise within UNMIL to carry out human rights promotion, protection, and
monitoring activities;
Support for Security Reform:
(n) to assist the transitional government of Liberia in monitoring and
restructuring the police force of Liberia, consistent with democratic policing,
to develop a civilian police training programme, and to otherwise assist in the
training of civilian police, in cooperation with ECOWAS, international
organizations, and interested States;
(o) to assist the transitional government in the formation of a new and
restructured Liberian military in cooperation with ECOWAS, international
organizations and interested States;
Support for Implementation of the Peace Process:
(p) to assist the transitional Government, in conjunction with
ECOWAS and other international partners, in reestablishment of national
authority throughout the country, including the establishment of a functioning
administrative structure at both the national and local levels;
(q) to assist the transitional government in conjunction with ECOWAS
and other international partners in developing a strategy to consolidate
governmental institutions, including a national legal framework and judicial
and correctional institutions;
(r) to assist the transitional
administration of natural resources;
government
in
restoring
proper
(s) to assist the transitional government, in conjunction with ECOWAS

and other international partners, in preparing for national elections scheduled
for no later than the end of 2005;
4.
Demands that the Liberian parties cease hostilities throughout
Liberia and fulfil their obligations under the Comprehensive Peace Agreement
and the ceasefire agreement, including cooperation in the formation of the
JMC as established under the ceasefire agreement;
Calls upon all parties to cooperate fully in the deployment and
5.
operations of UNMIL, including through ensuring the safety, security and
freedom of movement of United Nations personnel, together with associated
personnel, throughout Liberia;
Encourages UNMIL, within its capabilities and areas of
6.
deployment, to support the voluntary return of refugees and internally
displaced persons;
Requests the Liberian Government to conclude a status-of-force
7.
agreement with the Secretary-General within 30 days of adoption of this
resolution, and notes that pending the conclusion of such an agreement the
model status-of-force agreement dated 9 October 1990 (A/45/594) shall apply
provisionally;
Calls upon all parties to ensure, in accordance with relevant
8.
provisions of international law, the full, safe and unhindered access of relief
personnel to all those in need and delivery of humanitarian assistance, in
particular to internally displaced persons and refugees;
Recognizes the importance of the protection of children in armed
9.
conflict, in accordance with its resolution 1379 (2001) and related resolutions;
10. Demands that all parties cease all use of child soldiers, that all
parties cease all human rights violations and atrocities against the Liberia
population, and stresses the need to bring to justice those responsible;
11. Reaffirms the importance of a gender perspective in peacekeeping
operations and post-conflict peace-building in accordance with resolution
1325 (2000), recalls the need to address violence against women and girls as a
tool of warfare, and encourages UNMIL as well as the Liberian parties to
actively address these issues;
12. Decides that the measures imposed by paragraphs 5 (a) and 5 (b) of
resolution 1343 (2001) shall not apply to supplies of arms and related materiel
and technical training and assistance intended solely for support of or use by
UNMIL;
13. Reiterates its demand that all States in the region cease military
support for armed groups in neighbouring countries, take action to prevent
armed individuals and groups from using their territory to prepare and commit
attacks on neighbouring countries and refrain from any actions that might
contribute to further destabilization of the situation in the region, and declares
its readiness to consider, if necessary, ways of promoting compliance with this
demand;
14. Calls upon the transitional government to restore fully Liberias
relations with its neighbours and to normalize Liberias relations with the
international community;
15. Calls on the international community to consider how it might help
future economic development in Liberia aimed at achieving long-term stability
in Liberia and improving the welfare of its people;
33
16. Stresses the need for an effective public information capacity,

including the establishment as necessary of United Nations radio stations to
promote understanding of the peace process and the role of UNMIL among
local communities and the parties;
17. Calls on the Liberian parties to engage for the purpose of
addressing the question of DDRR on an urgent basis and urges the parties, in
particular the transitional government of Liberia, and rebel groups Liberians
United for Reconciliation and Democracy (LURD) and the Movement for
Democracy in Liberia (MODEL), to work closely with UNMIL, the JMC,
relevant assistance organizations, and donor nations, in the implementation of
a DDRR programme;
18. Calls on the international donor community to provide assistance
for the implementation of a DDRR programme, and sustained international
assistance to the peace process, and to contribute to consolidated humanitarian
appeals;
19. Requests the Secretary-General to provide regular updates,
including a formal report every 90 days to the Council on the progress in the
implementation of the Comprehensive Peace Agreement and this resolution,
including the implementation of UNMILs mandate;
20.
Decides to remain actively seized of the matter.
34
35
United Nations
Security Council
S/RES/1479 (2003)
Distr.: General
13 May 2003
Resolution 1479 (2003)

Adopted by the Security Council at its 4754th meeting, on
13 May 2003
The Security Council,
Reaffirming its resolution 1464 (2003) of 4 February 2003, the statement
by its President of 20 December 2002 (S/PRST/2002/42), as well as its
resolutions 1460 (2003) of 30 January 2003 and 1467 (2003) of 18 March
2003,
Reaffirming also its strong commitment to the sovereignty,
independence, territorial integrity and unity of Cte dIvoire and reaffirming
also its opposition to any attempts to seize power by unconstitutional means,
Recalling the importance of the principles of good-neighbourliness, noninterference and regional cooperation,
Further recalling its full support for the efforts of the Economic
Community of West African States (ECOWAS) and France to promote a
peaceful settlement of the conflict, and reiterating its appreciation for the
efforts of the African Union to reach a settlement,
Reaffirming its endorsement of the agreement signed by the Ivorian
political forces at Linas-Marcoussis on 24 January 2003 (S/2003/99) (LinasMarcoussis Agreement), approved by the Conference of Heads of State on
Cte dIvoire held in Paris on 25 and 26 January,
Noting with satisfaction the conclusions reached at the meeting in Accra,
6-8 March 2003, under the chairmanship of the President of Ghana, the current
presidency of ECOWAS,
Noting with satisfaction the appointment of the Government of National
Reconciliation and the cabinet meeting on 3 April 2003, attended by all the
constituent political groups, in the presence of the Presidents of Ghana,
Nigeria and Togo,
Welcoming the report of the Secretary-General on 26 March 2003
(S/2003/374) and the recommendations therein,
Noting the existence of challenges to the stability of Cte dIvoire and
determining that the situation in Cte dIvoire constitutes a threat to
international peace and security in the region,
1.
Reaffirms its strong support for the Secretary-Generals Special
Representative and approves his full authority for the coordination and
conduct of all the activities of the United Nations system in Cte dIvoire;
Decides to establish, for an initial period of six months, a United
2.
Nations Mission in Cte dIvoire (MINUCI), with a mandate to facilitate the
implementation by the Ivorian parties of the Linas-Marcoussis Agreement, and
including a military component on the basis of option (b) identified in the
Secretary-Generals report, complementing the operations of the French and
ECOWAS forces;
Approves the establishment of a small staff to support the Special
3.
Representative of the Secretary-General on political, legal, civil affairs,
civilian police, elections, media and public relations, humanitarian and human
rights issues, and the establishment of a military liaison group whose tasks
shall include:
Providing advice to the Special Representative on military matters;
Monitoring the military situation, including the security of Liberian
refugees and reporting to the Special Representative thereon;
Establishing liaison with the French and ECOWAS forces for the purpose
of advising the Special Representative on military and related
developments;
Establishing also liaison with the Forces armes nationales de Cte
dIvoire (FANCI) and the forces nouvelles, in order to build confidence
and trust between the armed groups, in cooperation with the French and
ECOWAS forces, in particular concerning helicopters and combat
aircraft;
Providing input to forward planning on disengagement, disarmament and
demobilization and identifying future tasks, in order to advise the
Government of Cte dIvoire and support the French and ECOWAS
forces;
Reporting to the Special Representative of the Secretary-General on the
above issues;
Stresses that the military liaison group should be initially composed
4.
of 26 military officers and that up to 50 additional officers may be
progressively deployed when the Secretary-General determines that there is a
need and that security conditions permit;
Requests that in addition to the recommendations made in the
5.
Secretary-Generals report regarding the organization of MINUCI, in
particular its reference to the human rights components of the mission, special
attention be given to the gender component within the staff of MINUCI and to
the situation of women and girls, consistent with resolution 1325 (2000);
Renews its appeal to all Ivorian political forces to implement fully
6.
and without delay the Linas-Marcoussis Agreement and invites the government
of national reconciliation to this end to develop a timetable for implementing
the Linas-Marcoussis Agreement and to communicate this timetable to the
Monitoring Committee;
Recalls the importance of sparing no effort, in keeping with the
7.
spirit of the Linas-Marcoussis Agreement, to enable the Government of
36
National Reconciliation fully to exercise its mandate during this transitional

period;
8.
Emphasizes again the need to bring to justice those responsible for
the serious violations of human rights and international humanitarian law that
have taken place in Cte dIvoire since 19 September 2002, and reiterates its
demand that all Ivorian parties take all the necessary measures to prevent
further violations of human rights and international humanitarian law,
particularly against civilian populations whatever their origins;
Stresses the importance of an early start to the process of
9.
disarmament, demobilization and reintegration;
10. Requests all Ivorian parties to cooperate with MINUCI in the
execution of its mandate, to ensure the freedom of movement of its personnel
throughout the country and the unimpeded and safe movement of the
personnel of humanitarian agencies, and to support efforts to find safe and
durable solutions for refugees and displaced persons;
11. Requests the ECOWAS forces and the French forces, in the
execution of their mandate in accordance with resolution 1464 (2003), to
continue to work in close consultation with the Special Representative and the
Monitoring Committee, and to continue to report to the Council periodically
on all aspects of the implementation of their respective mandates;
12. Welcomes the complete ceasefire reached on 3 May between
FANCI and the forces nouvelles for the entire territory of Cte dIvoire, in
particular the West, and welcomes the intention of ECOWAS forces and the
French forces to lend their full support in the implementation of this ceasefire;
13. Renews its appeal to all the States in the region to support the peace
process by refraining from any action that might undermine the security and
territorial integrity of Cte dIvoire, particularly the movement of armed
groups and mercenaries across their borders and the illicit trafficking and
proliferation in the region of arms, especially small arms and light weapons;
14. Urges all Ivorian parties to refrain from any recruitment or use of
mercenaries or foreign military units and expresses its intention to consider
possible actions to address this issue;
15. Demands that, in accordance with its resolution 1460 (2003), all
parties to the conflict who are recruiting or using children in violation of the
international obligations applicable to them, immediately halt such recruitment
or use of children;
16. Emphasizes again the urgent need to provide logistic and financial
support to the ECOWAS force including through an appropriate trust fund
established by ECOWAS to this effect, and calls on the member States to
provide substantial international aid to meet the emergency humanitarian
needs and permit the reconstruction of the country, and in this context stresses
that the return of internally displaced persons, particularly to the north of the
country, would be important for the process of reconstruction;
17. Stresses the importance of the regional dimension of the conflict
and its consequences for neighbouring States and invites the donor community
to help the neighbouring States to face the humanitarian and economic
consequences of the crisis;
37
18. Requests the Secretary-General to report to the Council every three

months on the implementation of this resolution and to provide monthly
updates;
19.
Decides to remain actively seized of the matter.
38
39
ANNEX B
MODEL STATUS OF FORCES AGREEMENT
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
ANNEX C
TYPICAL CONTENTS OF MISSION GUIDELINES FOR TCCs
SUBJECT
PART
I. General Information
II. Mandate and Objectives

III. Concept of Operations
IV. Organisational Structure
V. Administrative and
Logistics Guidelines
Introduction
References
Analysis of Area of Operations
General
Topography
People and Economy
Communications and Infrastructure
Evolution of the Mission
Mandate
General
Military Component
Phases
Mission Structure
Military Component
Force Structure
Capabilities of Military Units and Staff Officers
Military Observer (MILOB) Group
Formed Military Units
Para
1 -4
5
6 - 31
6
7-9
10 - 16
17 - 31
32 - 34
35
36
37 - 43
44 - 55
56 - 61
62 - 64
65
66 - 68
69
70 - 87
Logistics Concept
88 - 91
Contingent Owned Equipment

Letters of Assist
Pre-deployment Preparation
Vehicles and Major Equipment
Clothing and Personal Equipment
Medical Preparation
Deployment
Other Information
Sustainment Contingent Logistics Responsibilities
UN Logistics Responsibilities
Accommodation
Other Categories of Self-Sustainment
Vehicle Operation
Medical and Dental Arrangements
Administrative Matters
Financial Arrangements
Repatriation of Individuals
Death and Disability Claims
Information Requirements
Points of Contact
92 - 94
95
96 98
99
100 104
105
106 - 110
111 - 116
117 - 122
123 - 134
135 - 137
138
139 - 141
142 - 144
145 - 153
154 156
157 - 160
161
162
163
General
Training Requirements
Conduct of Personnel
Abbreviations and Acronyms
VI. Personnel
Glossary
ANNEXES
A
B
C
D
E
F
G
H
J
Mission Structure
Military Structure
Force Headquarters
Sector Boundaries
Full Military Deployment
Soldiers Clothing and Equipment Guide
United Nations Medical Standards
Immunization Requirements
Soldiers Card
55
164 165
166 167
168 - 172
56
LESSON 2
END-OF-LESSON QUIZ
1.
The authority for regional organisations (or arrangements) to conduct peace operations:
A. Is authorised under Article 51 of the Charter;
B. Can be granted by a ruling of the International Court of Justice;
C. Is specifically covered by Chapter VIII of the UN Charter, as approved and
monitored by the UN Security Council;
D. Is established in the standard SOFA.
2.
The primary responsibility within the UN Secretariat for conflict prevention rests with:
A. The Office for Coordination of Humanitarian Affairs (OCHA);
B. The Department of Political Affairs (DPA);
C. The Department of Peacekeeping Operations (DPKO);
D. The Office of the Secretary-General (OSG).
3.
Peacekeeping is:
A. Defined in the UN Charter;
B. A term used to describe all operations carried out under UN authority;
C. A concept that has evolved in response to international situations;
4.
The mandate for each peacekeeping mission is:

A. Defined in a specific UN Security Council Resolution;
B. Defined in the standard SOFA;
C. Defined in the UN Charter Chapter VI;
D. Defined in a memo from the DPKO.
5.
The deployment of a UN presence in the field to implement or monitor the implementation

of arrangements relating to the control of conflicts is defined as:
A. Peacemaking;
B. Peacekeeping;
C. Peace-enforcement;
D. Peace-building.
57
6.
A Status of Forces Agreement (SOFA) is:

A. An agreement among UN Member States to create a UN Standing Army for peace
operations;
B. Based on and originates from Article 52 of the UN Charter;
C. An agreement between the UN and the host nation regulating the presence of a UN
operation;
D. A document signed between the UN and a troop-contributing country on the
command of forces in UN operations.
7.
The Concept of Operations for a peacekeeping mission is:

A. Detailed in the UNSCR authorising the mission;
B. Described in the Guidelines to TCCs;
C. Included in the SOFA between the UN and the host nation;
8.
The longest running UN peacekeeping mission is:

A. MINUGUA;
B. MONUC;
C. UNTSO;
D. UNFICYP.
9.
Factors that are critical to the success of UN peacekeeping operations are:

A. Consent of the parties to the conflict;
B. Continued support by the Member States to the mandate;
C. General Assembly approval of the UNSCR;
D. Both a. and b.
10. The training of all personnel contributed by a Member State to a mission is the
responsibility of:
A. The UN Secretariat;
B. Each Member State;
C. The DPKO;
ANSWER KEY:
1C, 2B, 3C, 4A, 5B, 6C, 7B, 8C, 9D, 10B
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58
LESSON 3
STRATEGIC PLANNING AND PREPARATION
3.1
Introduction
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
Annex A
The Secretary-Generals Bulletin: Functions and Organization

of the DPKO, May 2000
Lesson 3 / Strategic Planning and Preparation
60
LESSON OBJECTIVES
Describe how strategic planning is conducted by the Executive Committee on Peace

and Security;
Appreciate how UN Peacekeeping Doctrine and Policy is developed;
Describe the organisation of the UN DPKO;
Understand and describe the roles of civilian, UNMO, armed military units, and
CIVPOL units that may be employed in peacekeeping;
Describe the UN Standby Arrangements System (UNSAS);
Discuss the strategic aspects of preparation for UN peacekeeping operations;
Understand how UN mission Rules of Engagement are initiated; and
Describe how the UN provides training and training guidance on peacekeeping.

3.1
61
Introduction
For effective peace operations, proper planning, preparation, and execution must occur at
a number of levels. In the UN, the highest international level occurs within the organs of the UN
(in particular, the UN Security Council, the General Assembly, and the Secretariat) and their
relations and discussions with the Governments of Member States (principally through the
Permanent Missions in New York). This is known generically as the strategic level.
Within the UN Secretariat, this strategic level of planning is undertaken by the Executive
Committee on Peace and Security (ECPS), which is the highest policy development and
management instrument within the UN Secretariat on critical, cross-cutting issues of peace and
security.
The ECPS is convened by the Under-Secretary-General for Political Affairs. The UnderSecretary-General for Peacekeeping serves as an alternate convenor.
The committee
traditionally meets twice a month for a period of up to ninety minutes. When necessary, it meets
more often. For example, in 2002 the ECPS met nineteen times in total. This included two
meetings devoted entirely to the subject of Cte dIvoire and several each to the Middle East,
Iraq, and Afghanistan. For regular meetings, the agenda usually consists of three to four items,
mostly country situations. All members are free to table items for consideration.
The ECPS has evolved significantly since its establishment in 1997. Firstly, it has more
than doubled in size. Upon establishment it had an official membership drawn from seven UN
departments. By 2002 it had a membership of seventeen, with two regular observers and four
participants whose applications for membership are pending (see table below). This expansion
reflects the growing awareness of the linkages between peace and security and other sectoral
areas. Of course, it has also placed a greater administrative burden on the DPA as the convenor
of the ECPS.
62
ECPS Membership, December 2002

Full Members
Under-Secretary-General for Political Affairs (Convenor);
Assistant-Secretary-General for Political Affairs (Asia, Americas, Europe);
Assistant-Secretary-General for Political Affairs (Africa);
Special Advisor on Africa;
Under-Secretary-General for Peacekeeping Operations;
Assistant-Secretary-General for Peacekeeping Operations;
Under-Secretary-General for Disarmament Affairs;
Under-Secretary-General for Legal Affairs;
Under-Secretary-General for Humanitarian Affairs;
Special Representative of the Secretary-General for Children & Armed Conflict;
Administrator of United Nations Development Programme;
Assistant Administrator of United Nations Development Programme;
High Commissioner for Human Rights;
High Commissioner for Refugees;
Executive Director of United Nations Childrens Fund;
Vice-President for External Affairs of the World Bank;
United Nations Security Coordinator.
Observers
Executive Director of Office for Drug Control and Crime Prevention;
Executive Director of World Food Programme;
Assistant-Secretary-General for Economic and Social Affairs and Special Adviser
on Gender Issues and the Advancement of Women;
Interim Head of Department of Public Information;
Office of the Deputy-Secretary-General;
Office of the Spokesman of the Secretary-General.
3.2
The mission of the DPKO is to plan, prepare, manage, and direct UN peacekeeping
operations so that they can effectively fulfill their mandates under the overall authority of the
Security Council and General Assembly. Under the authority vested in the Secretary-General,
the DPKO provides political and executive direction to UN peacekeeping operations and
maintains contact with the Security Council, troop and financial contributors, and parties to the
conflict in the implementation of Security Council mandates.
The Department is headed by the Under-Secretary-General for Peacekeeping Operations.
With approximately 600 staffers at UN Headquarters, it consists of a number of key elements,
such as the Office of Operations, the Office of Mission Support, the Military Division, the
Civilian Police Division, the Situation Centre, the Peacekeeping Best Practices Unit, and the
Mine Action Service. Its outlined organisation is shown below:
63
The functions and organisation of the DPKO are outlined in the Secretary-Generals
Bulletin, which is located in Annex A at the end of this lesson. Note, however, that additional
changes have been made to the department that are not yet reflected in this document.
In consultation with Member States, both through the Committee System and through
discussion with Permanent Missions in New York, the DPKO continually develops and updates
UN peacekeeping policy and doctrine to reflect the best practices and lessons learnt from
previous experience and existing international circumstances. In particular, it has recently
incorporated most of the recommendations of the Report of the Panel of Experts (the Brahimi
Report), as endorsed by the General Assembly and the UN Special Committee on Peacekeeping.
For an authoritative source on UN Peacekeeping policy, readers should consult the Handbook
on UN Multidimensional Peacekeeping Operations, distributed in early 20041.
3.3
The DPKO develops, in consultation with Member States, an agreed UN Peacekeeping

doctrine and encouraging regional organisations and Member States that are likely to operate in
conjunction with the UN to adopt this doctrine as the basis of their own preparation for Peace
Operations.
1
Handbook on United Nations Multidimensional Peacekeeping Operations, Peacekeeping Best Practices Unit,
December 2003.
64
Peacekeeping doctrine is comprised of fundamental principles, practices and procedures

that guide the military, police and civilian components of UN Peacekeeping Missions in their
support of mandated UN objectives. This doctrine provides a body of thought that will guide a
common approach by the UN and Member States in their preparation for UN peacekeeping
activities. The desired result is a degree of consistency that enhances collective effectiveness
and develops confidence between contributors when operating together in the field.
This doctrine would include topics on:
3.4
Command and control procedures for individuals and national contingents;

Individual and unit preparation standards, including mission orientation;
Equipment standards, Memorandums of Understanding (MOU), and agreements on
Contingent-Owned Equipment (COE);
Standard Operating Procedures for Mission HQ, Force HQ, and Sector HQs;
Health and welfare standards;
Code of Conduct; and
Rules of Engagement (ROEs).
Since peacekeeping operations do not rely exclusively on military activity but rather on
diplomatic, economic and humanitarian endeavours in pursuit of political objectives planning
is a unified, multi-disciplinary effort. The focal point for the planning of peacekeeping
operations is the Office of Operations of the Department of Peacekeeping Operations, which
works closely with the Office of Mission Support and the Military and Civilian Police Divisions
in the DPKO, as well as with other Departments and organisations in the Secretariat. Planning at
the Secretariat level is normally arranged through an Integrated Mission Task Force (IMTF).
The DPKO follows a process called the Integrated Mission Planning Process (IMPP), which
provides a sequential, integrated planning framework for both new missions and new phases of
existing missions.
The IMPP clarifies the DPKOs role and its relationships with other departments and
stakeholders in the planning process. It also establishes the common framework for the DPKOs
functional elements to integrate and synchronise their activities. The IMPP is intended to
integrate with the planning, programming and budgeting processes used within the UN to
maintain operational readiness2 and allocate resources for peace operations. The two underlying
principles of the IMPP are that planning must take note of lessons learned from previous
operations at every level of the process and that responsibility for planning must rest with a
clearly designated entity (i.e., DPA, DPKO, and OSRSG) at different levels of planning.
The IMPP is a common, integrated, structured and systematic approach with a number of
successive levels that encompass a series of analytical steps. The IMPP is described in linear
2
Operational Readiness is the ability to mount and sustain field operations, and it consists of three general
elements -- the fact that information, capability, and intent are not constant. A detailed discussion of the concept is
outside the scope of this course.
65
form, although changing circumstances and new information oblige continuous reassessment,
adjustment, and updating of plans as necessary in an interactive, cyclical process. Each level
produces more detailed analysis and plans that follow from the preceding level. Each planning
step starts with an analytical process that should produce a recommended option and ends with a
product developed from the recommended option. An outline of the process is shown in the
following diagram.
Planning Process for Peace Operations
Conflict assessment
Pre-Planning
Decision to plan
Situation, Guidance
Strategic
Aim
Guidance Analysis
Factor Analysis
S1
UN Strategy
S2
S3
Strategic Approach
Recommended
Options
(DPA / DPKO)
Security
Political
Others
Mission
Support
Functional
Strategies
Regional
Approach
Recommended UN Strategy
Support
Military
Political
ConOps
Police
Integr Concept
Relief, Recovery, Reconstruction and Rights based Processes
Operational
Readiness
SG Rep
Mandate
Support
Military
Political
Implementation
Police
Mission Plan
Implemantation
Plan
Provided by the DPKO
The Integrated Mission Planning Process used in the DPKO involves planning through a
number of discrete phases.
Initial Development Phase
The effective execution of peacekeeping operations requires a detailed assessment of the
situation on the ground. This is achieved by the combined efforts of various departments of the
Secretariat, including the Department of Peacekeeping Operations; the Department of Political
Affairs; the Department of Humanitarian Affairs; the Department of Administration and
Management; the Department of Public Information; and the Office of Legal Affairs. Their
assessment embraces a wide range of factors that may affect the operation. The Secretariat will
usually dispatch a survey mission to observe field conditions and to facilitate the forthcoming
66
liaison, the results of which will determine the nature of the overall operational activities,
resulting in a planning concept for the operation.
Pre-Deployment Phase
Based on the planning concept, the Secretariat, with the involvement of key personnel
designated for the future operation, develops a comprehensive plan that takes into account the
allocation of personnel, equipment, and the level of sustainability and specifies all the functions
to be performed in the peacekeeping operation. Potential troop contributors are involved at the
earliest possible stage in this process so that they may prepare their personnel, assemble
necessary equipment, and ensure a proper level of sustainability for a specified period of time
(normally 60-90 days).
Deployment Phase
This is a critical phase during which the UN must establish the mission on the ground in
the Area of Operations, and commence its mandated activities as quickly as possible. Careful
coordination and planning is necessary to balance deployment requirements and timelines
against the availability of resources and the expectations of the UN Member States, the parties to
the dispute, and contributing countries. Coordination with any UN country team already
deployed in the region is critical at this stage, as is a sound and effective Public Information plan.
Much will depend on having a good leadership team deployed quickly, an approved budget and
finance means, adequate security, and the availability of critical enabling-capabilities, such as
point of entry facilities, movement means, and correct deployment order of march.
The DPKO Situation Centre
The Situation Centre, located at the DPKO
in New York, acts as a point of contact at UN
Headquarters for all DPKO field missions and
provides a 24-hour communication link between
senior staff members at UN Headquarters, field
missions, humanitarian organisations, and Member
States through their diplomatic missions in New
York. This is especially important during silent
hours. In particular, it monitors any situation that is
developing in such a way as to pose a potential
threat to the security of UN personnel in
peacekeeping operations. The Situation Centre DPKO staff in the Situation Centre conducting
gathers information both from the field and via a video conference with the Force Commander
other sources of information, such as news and field personnel at an ongoing peacekeeping
agencies, UN press releases, specialised periodicals, missions. (Provided by Benjamin Klappe)
the Internet, and others. It receives daily reports
from all the peacekeeping missions, and it solicits further information when necessary, through
which it provides daily situation reports to senior managers at UN Headquarters on all DPKO
and some political and humanitarian missions. The Situation Centre is responsible for notifying
67
Permanent Missions of any casualties or injuries to their nationals. When there is a crisis, the
Situation Centre is responsible for the initial crisis management handling at the initiative of the
DPKO Under-Secretary-General. It quickly contacts the people who need to be involved and
forms a Crisis Action Team. The conference room in the Situation Centre, where video
conferences with the field missions can be held, is designed to then become a Crisis Centre.
3.5
Civilian Component
The civilian component of each peacekeeping mission is designed to assist the Head of
Mission (HOM) to carry out the Mandate and to administer and support the UN deployment.
Depending on the size and complexity of the peacekeeping mission, a number of civilian
sections will exist, including a political affairs office, a public information capacity, a field
security section, an administrative office coordinating integrated service support, logistics,
finance and budgeting, medical, air and ground transport, accommodation, and general services.
In some cases, electoral elements and links to the UN Country team and humanitarian agencies
may also be established. In most integrated missions, the Head of Mission will be a Special
Representative of the Secretary-General (SRSG), usually of ambassadorial rank. The HOM may
be assisted by one or more deputies (DSRSG) and normally by a senior political officer (SPA), a
Chief Administrative Officer (CAO), a legal officer, and a spokesperson. Component
commanders of military and civilian police components report to the HOM.
Those civilian personnel working in a peacekeeping mission come from a variety of
sources. Many of the line managers and staff are UN professional or field staff on contract with
the UN. Some are desk officers from New York who are well aware of the background of the
mission, while many others are often transferred to the new mission at short notice from another
field mission. Some civilian experts, not normally on the UN payroll, such as customs officials,
may be recruited specifically for the task. In addition, the DPKO uses the UN Volunteer Scheme
to obtain specialists and assistants. Finally, the UN, in agreement with the Host Nation,
normally recruits a significant number of local personnel to assist the mission.
Military Component
The military component of a peace operation can be comprised of any combination of the
following:
United Nations Military Observers (UNMO). The primary task of these officers is to
observe and report on the situation in their area of responsibility. In some missions, particularly
where there is a ceasefire but no peace agreement, these officers can form the bulk of the military
component. They are normally deployed in small unarmed teams. In missions where they form
an element of a larger military component that is primarily made up of an armed military force,
they often are more broadly representative of UN membership than the military force itself. In
these situations, they can help enhance the wide international character required of peacekeeping
68
missions. These unarmed officers are normally provided by Member States for twelve-month
tours of duty.
Military Liaison Officers (MLO). In UN missions where a secure environment is being
maintained by a military force that is not under UN command, the United Nations will often
deploy UN MLOs to maintain a link between the civilian elements of the mission and any
military force deployed in the mission area. In addition to peacekeeping missions, these officers
can be deployed in post-conflict peace building missions where they can liaise between the UN
mission and national military authorities. These unarmed officers are normally provided by
Member States for twelve-month tours of duty. An example of use of military capability in this
manner is the small military component of the United Nations Mission in Kosovo (UNMIK).
Armed Military Units a Peacekeeping Force. The UN utilises armed military units
of varying strength in two broad scenarios in peacekeeping missions:
Military forces can provide a highly visible presence to build confidence, discourage
resumption of armed conflict, and/or maintain momentum in a peace process. Forces
deployed on this type of mission are normally only lightly armed. They rely totally on
consent of the parties to a conflict at all levels and are normally only considered as an
option where the parties are Member States with disciplined military forces. They are
normally only mandated to use force in extreme cases involving a need for self-defence.
Most importantly, they are not capable of using force to prevent a resumption of
hostilities or controlling movement of belligerents. Normally, armed units would only be
used in this manner in situations where the level of observation and patrolling required
was beyond that feasible by using UNMOs. Examples of this type of deployment have
been the United Nations Disengagement and Observer Force (UNDOF) on the Golan
Heights and the United Nations Mission in Ethiopia and Eritrea (UNMEE).
Military forces can be used to provide a secure environment to allow the UN mission to
complete its other mandated tasks. Forces deployed on this type of mission are normally
more heavily armed and structured for robust application of force. The nature of many of
the situations now facing the international community is such that belligerents are not
Member States but irregular elements under very loose control. Although UN peace
operations deployed in these scenarios rely on the consent of the parties to the conflict,
consent at the local level can be unpredictable. The development and understanding of
the perceptions of the local population, particularly women and children, regarding the
military and particularly with respect to previous experiences and resulting traumas and
fears is an important element. UN military forces can be mandated to use force in
situations other than self-defence. There is a limit to UN capability in use of force in this
manner. Political will aside, it is highly unlikely that the UN will possess the robust
intelligence, command and control, and deployable logistics capabilities needed to
compel compliance if a major party to the conflict withdraws consent.
69
Civilian Police Component

The mandate of United Nations Civilian Police (UN CIVPOL) is different in each
mission. In some missions, the mandate has been limited to monitoring the local police services.
In more complex missions, the mandate includes advising, training, helping establish local police
services and enhancing their work, and, in some cases, law enforcement. This complexity is
compounded by the need to integrate all components of the criminal justice system to ensure
comprehensive and sustainable rule.
United Nations Civilian Police currently participate in thirteen different missions around
the globe. Every day, more than 7,000 police officers from eighty countries go on patrol,
provide training, advise local police services, help ensure compliance with human rights
standards, and assist in a wide range of other fields.
UN Civilian Police help to create a safer environment where communities will be better
protected and criminal activities will be prevented, disrupted, and deterred. The diverse national
experiences of United Nations Civilian Police officers and their commitment to peace and
security are their best tools to promote the rule of law.
UN Mine Action
The United Nations Mine Action Service (UNMAS) in the DPKO is the focal point
within the UN system for all mine-related activities. It is responsible for ensuring an effective,
proactive and coordinated UN response to landmine contamination. UNMAS, in coordination
with other partners, will establish priorities for assessment missions, facilitate a constructive
dialogue with donors and international communities on the mine issue in a region, and
coordinate the mobilisation of resources. In regions where UN peacekeeping missions are
deployed, it will coordinate the operational mine-clearing tasks being undertaken by military
contingents with the humanitarian mine activities being undertaken by national and international
companies. Such coordination is normally achieved through a mine action coordination centre
(MACC), established within or adjacent to the peacekeeping mission.
3.6
The United Nations gains military and police capability to support UN peacekeeping
operations through the DPKO. In particular, the Force Generation Service is in constant contact
with Member State Permanent Missions in New York to obtain units and individuals to meet UN
operational requirements. For a new mission, much of this contact takes place on an informal
basis prior to a Security Council mandate. Apart from proposed contributors possessing the
required capability, a number of political issues are considered when selecting which Member
States will deploy to a mission. This can include approaches to the parties involved in the
conflict to seek their views. The UN strives to be able to deploy a broad mix of contributing
countries so as to gain wide geographic and international representation in each peacekeeping
operation, and to maintain the support and consent of the partners to the dispute.
70
To help speed up this process, the DPKO operates the UN Standby Arrangements
System (UNSAS)3, which involves conditional pledges of units and individuals by Member
States with specified capabilities that can deploy within the agreed response times for UN
peacekeeping operations. These resources can be military formations, specialised personnel
(civilian and military), and critical services, as well as material and equipment. The agreed-upon
resources remain on stand-by in their home country, where necessary preparation, including
training, is conducted to prepare them to fulfill specified tasks or functions in accordance with
United Nations guidelines. Stand-by resources are used exclusively for peacekeeping operations
mandated by the Security Council. When specific needs arise, stand-by resources are requested
by the Secretary-General and, if approved by participating Member States, are rapidly deployed
to set up new peacekeeping missions or to reinforce existing ones.
Part of the force generation process can involve DPKO teams visiting Member States to
provide advice on equipment and training and review resources pledged. Once deployed,
Member States are reimbursed at an agreed rate for staff officers and formed units. This process
involves significant negotiation in New York regarding Contingent-Owned Equipment (COE).
Military Observers are paid a daily Subsistence Allowance whilst in the mission area, and no
reimbursement is made to the relevant Member State.
A particularly sensitive issue is the selection of individual military and police officers to
fill the most senior posts in the missions. Understandably, this is the subject of careful
consideration, including the scale of contribution to the mission in question and to peacekeeping
on a worldwide basis. Persons considered for the most senior posts, such as potential Force
Commanders and Police Commissioners, are normally interviewed at UNHQ in New York.
In 2001, the DPKO created a new level to enhance the UNSAS with a rapid deployment
capability, as recommended in the Comprehensive Review Of The Whole Question Of
Peacekeeping Operations In All Their Aspects, Report Of The Special Committee On
Peacekeeping Operations (A/56/863) (C-34). In this level of commitment, Member States
pledge resources to the UNSAS that can be deployed to a UN mission within 30-90 days of a
Security Council Mandate, including the appropriate national government approval. This level
of commitment, called the Rapid Deployment Level (RDL), is conceptually different from other
UNSAS commitments in that:
It has been tailored to enable both the Secretariat and the Member States to save time
through detailed pre-deployment planning and preparation: first, by converting the agreed
equipment lists into load lists; and second, by determining the proposed contingents
sustainment capabilities and requirements;
Strategic Deployment Stocks (SDS) held by the UN at its Logistic Base in Brindisi will
play a crucial role in determining the overall capability of an RDL unit;
Ninety days will be the maximum deployment target time for inclusion in the RDL.
Priority will be given to those units, which can deploy within thirty days; and
Member States may enter directly into the RDL.
See the DPKO United Nations Stand-by Arrangements Military Handbook, which is distributed to all Permanent
Missions in New York.
71
The key to the success of this level will be a high degree of integrated planning between
the Member State and the DPKO, involving a series of required documents and the exchange of
Notes Verbales acknowledging the entry into the RDL. After the appropriate governmental
approval for deployment to a UN PKO, normal COE negotiations will take place, culminating in
a MOU based on the COE Manual. The DPKO will accept units into the RDL as organised for
the tasks for which they have been trained.
3.7
UN Peacekeeping Operations and the components deployed under UN authority must

operate under the rules of international law, including the applicable Laws of Armed Conflict
(LOAC), and any other specific political, operational, and diplomatic considerations appropriate
to the mandate of a particular UN mission. The specific mission Rules of Engagement (ROE)
issued by the DPKO for each peacekeeping mission are a critical element in the application of
armed force by military and police personnel assigned to the respective peacekeeping missions.
The implementation of the Rules of Engagement is a command responsibility. The ROE, which
are approved by USG DPKO on the advice of the Military Adviser DPKO, the Head of Mission
and the Office of Legal Affairs, will detail the circumstances under which varying degrees of
force, including deadly force, can be used. The Rules of Engagement are addressed to the Force
Commander, and, where appropriate, the Police Commissioner, who are then responsible for
issuing them to all subordinate commanders.
To assist Member States in preparing for UN missions, the DPKO has distributed
guidelines for the development of the Rules of Engagement in peacekeeping operations, as well
as a sample of the UN Rules of Engagement to all Member States. These Sample ROE detail
various levels of ROE that may be applicable in UN missions. They can be practised by Member
States and Regional organisations in the training and preparation for UN Peacekeeping
operations. It should be noted that, whereas Sample ROE may be used for generic training
purpose, they do not substitute for the mission-specific ROE. Whenever a country decides to
contribute armed troops to a UNPKO, these troops must receive adequate information and
training concerning the approved ROE for that particular mission.
3.8
The Training and Evaluation Service (TES) in the DPKO provides practical and
conceptual support to training in order to enhance the readiness of Member States to undertake
peacekeeping operations. It acts as the focal point for military and civilian police peacekeeping
training by maintaining contact and liaison with the Permanent Missions to the United Nations
and regional, as well as national, peacekeeping training centres regarding current training
practices, standards, training policy, and material. In particular, the TES develops and
promulgates UN peacekeeping operations training manuals and standards for Member States for
participation in UN peacekeeping operations. In addition, TES conducts training courses,
monitors and assists in-mission training, and provides pre-mission training guidance and support
to Member States and assists Member States in developing national and regional peacekeeping
training institutions.
72
In the last two years, the TES has developed and distributed to Member States and Field
Missions more than twenty manuals and guidelines in all six official UN languages.
In January 2002, the Standardised Generic Training Module (SGTM) project was
initiated with the support of a large number of troop-contributing countries to develop training
modules for the United Nations issues generic to all peacekeepers. The final version of the
Sixteen Modules was distributed to Member States, Field Missions, and Regional Entities in CDROM format as self-contained packages during 2003. The SGTMs are also posted on the web at
http://www.un.org/Depts/dpko/training/sgtm/sgtm.htm in order to be accessible to all
peacekeeping trainers.
Phase 1 of the SGTM covers the following topics:
The United Nations
SGTM 01
A
B
SGTM 02
SGTM 03
The UN Peacekeeper
SGTM 04
SGTM 05
A
B
C
D
SGTM 06
SGTM 07
UN Issues
SGTM 08
SGTM 09
SGTM 10
SGTM 11
SGTM 12
SGTM 13
UN Support
SGTM 14
SGTM 15
SGTM 16
A
B
C
D
The UN System
UN Peace operations
Structure of UN peacekeeping operations
Legal framework for UN peacekeeping operations
Stress Management
Attitudes and Behaviours
Code of Conduct
Cultural Awareness
Gender and Peacekeeping
Child Protection
Personal Security Awareness
Landmines and UXOs
Human Rights for Peacekeepers
Humanitarian Assistance
UN Civil-Military Coordination
Communication and Negotiation
Disarmament, Demobilisation and Reintegration
Media Relations
Personnel
Logistics
Medical
HIV/AIDS
Malaria
Basic Life Support
Hygiene
73
The next phase of development of SGTMs (2003-04) will address the training needs of
the next higher level of Military Officers, accompanied by Position Specific Training Modules
for UN Military Observers (UNMO), Staff Officers and Units key leaders. Modules for Senior
Leaders will be developed in 2004-05.
3.9
The need to develop a training programme to address the needs for the effective
integrated management of UN peacekeeping field missions has been expressed on several
occasions. The Training and Evaluation Service (TES), Military Division, and DPKO initiated a
draft proposal to develop a three-phase training package, the Mission Headquarters Orientation
Programme, to address this requirement. It was comprised of the following parts:
Part 1: Generic Module. The objective of this Module is to develop a pool of middle and
senior leaders/managers who may participate in future UN peacekeeping field missions.
The module will provide information about the UN system, its policy, its doctrine and
strategy, the structure, command control and information systems, communications,
personnel, and logistics and administration at the strategic (HQ UNNY) and operational
(UN peacekeeping field mission) levels over a two-week course culminating in a
command post exercise.
Part 2: Pre-Mission Module. The objective of this Module is to prepare alreadyidentified staff members to start up and develop effective integrated management teams
for new UN PK Field Missions.
Part 3: Sustainment Module. The objective of this Module is to ensure the sustainment
of the effective integrated management of the mission throughout its existence.
Mission-Specific Training
The DPKO encourages additional specific training for each particular mission to be
undertaken by all individuals and contingents before they deploy into the mission area. This
training may then be supplemented by induction training on arrival. This training should cover
the background and conditions relating to the UN authorising the Peacekeeping mission, history
and characteristics of the region and the parties to the conflict, the concept of operations and
phases, mission structure, and the various administrative, logistic, and personnel guidelines
The DPKO is able to advise troop-contributing countries on mission-specific training and
has in the past assisted some TCCs to undertake this training.
74
ANNEX A
ST/SGB/2000/9
United Nations
Secretariat
15 May 2000
Secretary-Generals bulletin
Functions and organization of the Department of
Peacekeeping Operations
The
Secretary-General,
pursuant
to
Secretary-Generals bulletin ST/SGB/1997/5,
entitled Organization of the Secretariat of the
United Nations, and for the purpose of
establishing the functions and organizational
structure of the Department of Peacekeeping
Operations, promulgates the following:
Section 1
General provision
The present bulletin shall apply in
conjunction with Secretary-Generals bulletin
ST/SGB/1997/5, entitled Organization of the
Secretariat of the United Nations.
Section 2
Functions and organization
2.1 The
Operations:
Department
of
Peacekeeping
(a) Serves as the operational arm of the

Secretary-General for all United Nations
peacekeeping operations and is responsible for the
conduct, management, direction, planning and
preparation of those operations;
(b) Provides substantive services to the
Security Council and the General Assembly on all
peacekeeping operations;
(c) Prepares
the
Secretary-Generals
reports to the Security Council and the General
Assembly, as required, on individual peacekeeping
operations, on peacekeeping issues in general and
on mine action;
(d) Serves as United Nations system focal
point for mine action, coordinates all United
Nations mine action activities, develops and
supports, as appropriate, mine action programmes
in peacekeeping and emergency situations and
manages the Voluntary Trust Fund for Assistance
in Mine Action;
(e) Provides substantive and secretariat
services to the Special Committee on
Peacekeeping Operations;
(f) Formulates policies and procedures,
based on Security Council decisions, for the
establishment of new peacekeeping operations and
the effective functioning of ongoing operations;
(g) Secures, through negotiations with
Governments, military units and equipment, as
well as other military, civilian police officers and
civilian personnel required for peacekeeping
operations;
(h) Develops operational
plans and
methodologies for multidimensional operations;
undertakes contingency planning for possible new
peacekeeping operations and related activities;
75
(i) Proposes resource requirements for

those operations to the Controller for preparation
and submission of budgets to the legislative
bodies for approval; monitors and controls regular
budget and extrabudgetary funds related to
peacekeeping activities;
Reform and the Executive Committees on Peace

and Security and Humanitarian Affairs; acts as
focal point between the Secretariat and Member
States seeking information on all matters related
to peacekeeping operations and United Nations
mine action activities.
(j) Provides logistic and administrative

support for peacekeeping operations, as well as
other field offices and missions, as required;
Section 4
Office of the Under-Secretary-General
(k) Maintains contacts with the parties to

the conflicts and the members of the Security
Council concerning the effective implementation
of the Security Councils decisions; liases with
Member States, United Nations agencies and nongovernmental organizations and coordinates, with
other entities, their participation in peacekeeping
operations;
(l) Prepares training guidelines and
principles for the use of Member States making
contributions to peacekeeping operations.
2.2 The
Department
is
divided
into
organizational units, as described in the present
bulletin.
2.3 The Department is headed by the UnderSecretary-General for Peacekeeping Operations.
Section 3
Under-Secretary-General for Peacekeeping
Operations
3.1 The
Under-Secretary-General
for
Peacekeeping Operations is accountable to the
Secretary-General.
3.2 The Under-Secretary-General is responsible
for the activities of the Office of Operations, the
Office of Logistics, Management and Mine Action
and the Military and Civilian Police Division. On
behalf of the Secretary-General, the UnderSecretary-General directs and controls United
Nations peacekeeping operations; formulates
policies for peacekeeping operations and
operational guidelines based on Security Council
mandates; prepares reports of the SecretaryGeneral to the Security Council on each
peacekeeping
operation,
with
appropriate
observations and recommendations; advises the
Secretary-General on all matters related to the
planning, establishment and conduct of United
Nations peacekeeping missions; represents the
Department in the meetings of the Senior
Management Group, the Steering Committee on
4.1 The Office of the Under-Secretary-General

for Peacekeeping Operations comprises the
immediate office of the Under-Secretary-General,
the Policy Analysis and Lessons Learned Unit and
the Executive Office.
4.2 The core functions of the immediate Office
of the Under-Secretary-General are as follows:
(a) Assisting and advising the UnderSecretary-General in carrying out his duties;
(b) Providing advice on issues requiring
policy decisions;
(c) Coordinating the work of the
Department which requires clearance by the Head
of the Office.
4.3 The Policy, Analysis and Lessons Learned
Unit is headed by a Chief who is accountable to
the Under-Secretary-General.
4.4 The core functions of the Policy Analysis
and Lessons Learned Unit are as follows:
(a) Analysing and assessing United
Nations peacekeeping experience and evaluating
the results achieved and lessons learned in order
to develop guidelines and recommendations for
the better planning, conduct, management and
support of peacekeeping operations;
(b) Servicing the Special Committee on
Peacekeeping Operations by preparing pre-session
documentation and providing technical and
substantive services when the Committee is in
session;
(c) Providing related services during the
consideration of peacekeeping in the Fourth
Committee of the General Assembly as well as
various ad hoc intergovernmental committees on
issues relating to peacekeeping.
4.5 The Executive Office is headed by an
Executive Officer who is accountable to the
Under-Secretary-General.
76
4.6 The core functions of the Office are set out

in section 7 of the Secretary-Generals bulletin
ST/SGB/1997/5.
5.4 The Situation Centre is headed by a Chief

who is accountable to the Assistant SecretaryGeneral, Office of Operations.
Section 5
Office of Operations
5.1 The Office of Operations is headed by an
Assistant Secretary-General who is accountable to
the Under-Secretary-General. The Office is
comprised of three regional divisions and the
Situation Centre.
5.2 The specific peacekeeping operations fall
within the responsibility of one of the
corresponding regional divisions, namely, the
Africa Division, the Asia and Middle East
Division and the Europe and Latin America
Division. The divisions are each headed by a
Director who is accountable to the Assistant
Secretary-General, Office of Operations.
5.3 The core functions
Operations are as follows:
(d) Fulfilling
the
Secretary-Generals
reporting obligations on peacekeeping operations
to the Security Council.
of
the
Office
of
(a) Providing
day-to-day
executive
direction of peacekeeping operations, including
substantive guidance to the field, coordinating and
integrating inputs from other offices within the
Department of Peacekeeping Operations, as well
as from other departments, agencies and
programmes,
in
order
to
promote
the
implementation of the mandates and political
objectives set by the Security Council for the
operations;
(b) Devising, promoting agreement on and
implementing solutions to the problems facing the
peacekeeping operations, and supporting them
politically and substantively vis--vis the parties
to the conflict and other interested parties and
representing their concerns to members of the
Security Council and the contributors, and vice
versa;
(c) Overseeing the planning process for
new missions by providing the overall framework,
developing options for courses of action, leading
reconnaissance missions to the field, and
coordinating and integrating inputs from within
the department and from other entities, including
military, police, humanitarian, electoral, human
rights and other aspects, into a comprehensive
plan for approval by the Security Council;
5.5 The core functions of the Situation Centre

are as follows:
(a) Maintaining
communications with the field;
round-the-clock
(b) Collating
and
disseminating
relevant information to those concerned;
all
(c) Acting as a point of contact during

silent hours and taking urgent action that may be
required, with due regard to established
procedures;
(d) Providing
crisis
management
capabilities, as well as databases, area maps and
other reference material.
Section 6
Office of Logistics, Management and Mine
Action
6.1 The Office of Logistics, Management and
Mine Action is headed by an Assistant SecretaryGeneral who is accountable to the UnderSecretary-General. The Office comprises the Field
Administration and Logistics Division and the
United Nations Mine Action Service.
6.2 The core functions of the Office are as
follows:
(a) Providing executive direction and
overall coordination of all management,
administrative and logistics support activities for
field missions, including staffing, administration,
finance and procurement;
(b) Liaising
with
and
conducting
negotiations with Member States and other
organizations
regarding
the
administrative
modalities of their contributions to peacekeeping
operations;
(c) Coordinating the activities of the
United Nations agencies and departments in mine
action; developing and implementing a policy and
strategy for mine action.
Section 7
Field Administration and Logistics Division
7.1 The Field Administration and Logistics
Division is headed by a Director who is
accountable to the Assistant Secretary-General for
Logistics, Management and Mine Action. The
Division is comprised of three sections, the
Finance Management and Support Service, the
Logistics and Communications Service and the
Personnel Management and Support Service. Each
section is headed by a principal officer who is
accountable to the Director of the Division.
7.2 The core functions of the Finance
Management Support Service are as follows:
(a) Coordinating, preparing and submitting
to the Controller proposals for resource
requirements for new, expanding or on-going field
missions, for review, finalization and submission
to legislative organs; participating in the
deliberations of the Advisory Committee on
Administrative and Budgetary Questions and the
Fifth Committee on matters relating to
peacekeeping budgets and finance;
(b) Monitoring
monthly
field
and
headquarters accounts in order to ensure
compliance
with
budgetary/allotment
authorizations
and
providing
support
to
substantive departments and field missions to
ensure effective resource management, control and
adherence to United Nations financial regulations
and rules; providing reports on financial
performance, including on disposal of assets;
certifying and processing claims submitted to the
Organization from troop contributors and
commercial service contractors;
(c) Serving as focal point in the
Department for compliance with internal and
external audit matters relating to field missions
and the Field Administration and Logistics
Division.
7.3 The core functions of the Logistics and
Communications Service are as follows:
(a) Developing
and
implementing
peacekeeping logistics policy and procedures;
preparing resource projections and coordinating
the provision of logistics, communications and
medical support; elaborating contingency logistic
plans for field missions; overseeing and directing
the operation of the United Nations Logistics Base
in Brindisi, Italy;
77
(b) Coordinating logistics operations in
support
of
field
missions;
developing,
implementing and maintaining automated logistics
systems, including global assets management;
providing specialist logistics advice for the
development of memoranda of understanding on
contingent-owned
equipment
with
troopcontributing countries and managing their
implementation;
(c) Determining requirements for and
managing of the global peacekeeping vehicle
fleet; planning, coordinating and monitoring
peacekeeping air operations to ensure their
compliance with the United Nations regulations,
safety and efficiency; monitoring the services
provided by air charter operators; deploying,
rotating and repatriating military contingents and
groups of civilian police officers and military
observers; and managing all air and sea contracts
in support of field missions;
(d) Controlling and coordinating supply
requirements for life-support commodities and
other maintenance supplies and service support or
logistical capability contracts; defining generic
specifications, identifying optimum methods of
supply and preparing and reviewing technical and
contractual specifications; raising requisitions for
procurement from commercial and governmental
sources; managing and controlling engineering
programmes, United Nations-owned peacekeeping
facilities, engineering services contracts and
engineering equipment in field missions;
(e) Assessing and planning peacekeeping
information technology requirements; managing
and
monitoring
electronic
data-processing
facilities and applications of field missions;
developing, deploying, managing and configuring
major communications networks, including the
global and mission-operated satellite systems.
7.4 The core functions of the Personnel
Management and Support Service are as follows:
(a) Anticipating,
determining
and
modifying civilian personnel requirements of field
missions; screening applications, identifying,
interviewing and evaluating candidates and
maintaining an up-to-date roster of applicants for
key occupational groups; under delegated
authority,
selecting
and
appointing
all
international
civilian
staff
and
making
arrangements for their briefing, medical clearance
and travel to the field missions; arranging travel
for military observers and civilian police officers

and processing government claims related to the
travel of military/police observers;
(b) Under
delegated
authority,
administering initial appointments, assignments,
extensions, separations, benefits and entitlements
of field staff, including filing of compensation
claims in respect of all injuries or casualties of
field personnel, and management of rotation,
promotion and career development of Field
Service staff; participating in staff-management
consultations;
(c) Contributing to the development of
organizational personnel policies, procedures,
rules and regulations as well as proposing
revisions as necessary to adjust them to field
personnel requirements; ensuring consistency in
the application of personnel policies and practices
in the field; monitoring the authorities delegated
to the missions.
Section 8
Mine Action Service
8.1 The Mine Action Service is headed by a
Chief who is accountable to the Assistant
Secretary-General for Logistics, Management and
Mine Action.
8.2 The core functions of the Mine Action
Service are as follows:
(a) Serving as focal point within the
United Nations system for all mine-related
activities;
(b) Coordinating the mobilization of
resources and managing the Voluntary Trust Fund
for Assistance in Mine Action;
(c) Assessing and monitoring the global
landmine threat; developing appropriate mine
action plans in humanitarian emergencies and
providing mine action support to peacekeeping
operations;
(d) Overseeing
the
development,
maintenance and promotion of technical and
safety standards;
(e) Serving as central repository of
information on landmines and mine action,
including information on technology, and
developing appropriate mine action information
systems to this effect;
78
(f) Advocating in support of a global ban
on antipersonnel landmines and supporting the
Secretary-General in carrying out the tasks
entrusted to him by the Convention on the
Prohibition of the Use, Stockpiling, Production
and Transfer of Anti-personnel Mines and on
Their Destruction.
Section 9
Military and Civilian Police Division
9.1 The Military and Civilian Police Division is
headed by a Military Adviser who is accountable
to the Under-Secretary-General and advises him
on military matters, reporting through the
Assistant Secretaries-General for Office of
Operations and the Office of Logistics,
Management and Mine Action.
9.2 The Division comprises four organizational
units, namely, the Office of the Military Adviser,
the Military Planning Service, the Training Unit
and the Civilian Police Unit.
9.3 The core functions of the Office of the
Military Adviser are as follows:
(a) Providing advice on all military and
civilian police matters as and when required, and
as requested directly by the Secretary-General;
(b) Preparing operational plans for military
and/or civilian police components of field
missions, including contingency plans for
potential, ongoing or closing peacekeeping
missions;
(c) Tracking the daily operations of the
military and civilian police components of
ongoing
field
missions,
monitoring
implementation of plans and providing advice to
the force headquarters;
(d) Liaising with Member States as regards
rotations, replacements and repatriations of
military and civilian police personnel deployed in
mission areas;
(e) Providing practical and conceptual
support to training in order to enhance the
readiness of Member States to undertake
peacekeeping operations;
(f) Providing an immediate establishment
capacity to newly authorized missions with which
to begin military components of the mandates
implementation; and promoting and assisting in
the coordination of such activities.
79
9.4 The Military Planning Service comprises

three Units: the Mission Development Unit, the
Generic Planning Unit and the Standby
Arrangements Unit.
9.5 The core functions of the Service are as
follows:
(a) Preparing
comprehensive
military
operational
plans
for
new
peacekeeping
operations, participating in fact finding missions
to current and potential mission areas and, as
required, revising and modifying plans for current
operations;
(b)
Preparation of contingency plans;
(c) Monitoring current missions in order to

reduce the time required to plan for major
changes, including mission termination;
(d) Developing and revising of generic and
mission-specific guidelines and procedures
relating to military participation in peacekeeping
operations;
(e) Maintaining the Standby Arrangements
system with Member States for the supply of
troops, personnel, equipment and required
services;
(f) Defining the operational requirement
for military personnel and contingent-owned
equipment required by missions; providing
technical advice on contingent-owned equipment
claims submitted by Member States as required.
9.6 The core functions of the Training Unit are
as follows:
(a) Acting as the focal point for military
and civilian police peacekeeping training by
maintaining contact and liaison with the
Permanent Missions to the United Nations and the
major regional and national peacekeeping training
centres as regards current training practices,
standards, training policy and material;
(b) Assisting Member States in developing
national and regional training institutions,
including through the conduct of train the trainer
workshops to develop a pool of expert civilian

police and military trainers;
(c) Conducting staff training courses,
monitoring and assisting in-mission training and
providing pre-mission training guidance and
support to Member States;
(d) Preparing and distributing training
publications and materials in support of the
peacekeeping training efforts of Member States.
9.7 The core functions of the Civilian Police
Unit are as follows:
(a) Preparing plans for the civilian police
components of field missions, monitoring their
implementation and revising them as necessary;
(b) Developing civilian police guidelines
and standing operating procedures for field
missions;
(c) Liaising with Member States as regards
the identification and deployment of civilian
police officers to field missions, the operational
requirements thereto and related personnel and
administrative issues;
(d) Organizing selection assistance teams
to assist Member States in identifying qualified
civilian police officers and in the development of
their selection procedures.
Section 10
Final provisions
10.1 The present bulletin shall enter into force on
1 June 2000.
10.2 The Secretary-Generals bulletin of 22
March 1995, entitled Functions and organization
of the Department of Peacekeeping Operations
(ST/SGB/Organization, Section: DPKO), is
hereby abolished.
(Signed) Kofi A. Annan
Secretary-General
80
LESSON 3
END-OF-LESSON QUIZ
1.
UN peacekeeping doctrine should include:

A. Agreements on contingent-owned equipment;
B. Rules of engagement;
C. Mission orientation standards;
2.
The maximum deployment target time for inclusion in a Rapid Deployment Level (RDL) is:
A. Thirty days;
B. Sixty days;
C. Ninety days;
D. One hundred twenty days.
3.
The DPKO Situation Centre is responsible for:

A. Alerting the missions of any injuries or casualties to their nationals;
B. Managing any crises in their initial onset;
C. Forming a Crisis Action Team;
4.
The strategic level of mission planning is undertaken by:

A. The Executive Committee on Peace and Security (ECPS);
B. The Department of Peacekeeping Operations (DPKO);
C. The Department of Political Affairs (DPA);
D. The Office of Mission Support (OMS).
5.
Under the terms of UNSAS, military personnel and other resources remain on stand-by:
A. At pre-designated formation areas;
B. At the nearest established peacekeeping mission;
C. At UNHQ;
D. In their home country.
6.
Within the UN Secretariat, strategic level planning is undertaken by:

A. The Permanent Missions in New York;
B. The UNDP;
C. The Special Committee for Peacekeeping Operations;
D. The ECPS.
81
7.
The Integrated Mission Planning Process (IMPP) involves all of the following EXCEPT:
A. The creation of the mission mandate;
B. The establishment of a common framework for the DPKO's functional elements to
integrate and synchronise their activities;
C. The allocation of resources for peace operations;
D. The clarification of the DPKO's role and its relationships with other departments
and stakeholders in the planning process.
8.
What document will detail the circumstances under which varying degrees of force,
including deadly force, can be used on a peacekeeping mission?
A. The applicable Security Council Resolution;
B. The applicable General Assembly Resolution;
C. The applicable doctrine of the troop-contributing nation;
D. The ROE which are approved by the USG DPKO, the HOM, and the OLA.
9.
Phase 1 of the Standardised Generic Training Module covers the following EXCEPT:
A. Stress management;
B. Local customs;
C. Humanitarian assistance;
D. Medical support.
10. What is the purpose of DPKO TES?

A. To train all personnel before deployment on peacekeeping missions;
B. To provide practical and conceptual support to peacekeeping training;
C. To inspect and accredit national peacekeeping training centres;
D. To review and certify syllabi to be used in peacekeeping training.
ANSWER KEY:
1D, 2C, 3D, 4A, 5D, 6D, 7A, 8D, 9B, 10B
82
LESSON 4
SELECTION AND PREPARATION OF LEADERS
4.1
The Need to Change
4.2
4.3
UN Command Chain
4.4
4.5
4.6
Annex A
Standard Directives for Special Representatives of the

Secretary-General
Annex B
Command Directive for the Force Commander of UNFICYP
Annex C
Directive for the Police Commissioner of UNMIL
Lesson 4 / Selection and Preparation of Leaders
84
LESSON OBJECTIVES
Understand how personnel are selected and prepared for assignment to positions of
Mission Leadership;
Understand the UN chain of command from the Security Council to the troops,
UNMOs and CIVPOLs in the field;
Understand the training requirements for key personnel, such as SRSGs, FCs, CMOs
and PCs; and
Be aware of the nature and content of directives issued to mission leaders.

4.1
85
The Need to Change
In submitting its Report to the Secretary-General of the UN, the Panel on United
Nations Peace Operations recommended in August 2000 that:
(a)
The Secretary-General should systematise the method of selecting mission
leaders, beginning with the compilation of a comprehensive list of potential
representatives or special representatives of the Secretary-General, force
commanders, civilian police commissioners and their deputies and other heads of
substantive and administrative components, within a fair geographic and gender
distribution and with input from Member States;
(b)
The entire leadership of a mission should be selected and assembled at
Headquarters as early as possible in order to enable their participation in key
aspects of the mission planning process, for briefings on the situation in the mission
area and to meet and work with their colleagues in mission leadership; and
(c)
The Secretariat should routinely provide the mission leadership with
strategic guidance and plans for anticipating and overcoming challenges to
mandate implementation and, whenever possible, should formulate such guidance
and plans together with the mission leadership.
In essence, it recommended a fair and balanced selection system of capable leaders,
assembled as a team early in the mission development who should receive effective briefings and
guidance from the UN Secretariat throughout their tenure as leaders.
4.2
For each UN peace operation, a Head of Mission (HOM) is appointed by the SecretaryGeneral to command the mission and to implement the mission mandate. For most new missions
initiated today, this person is a high-ranking civilian who is experienced in international affairs
and who has some knowledge of the circumstances surrounding the initiation of the Peace
Operation. The individual may be seconded from the Foreign Ministry of a Member State or
already be a senior UN appointee or staff member or a previous diplomat. Before appointment,
proposed HOMs are advised to the President of the UN Security Council and may be discussed
by the Secretary-General with the Member States or actors involved in the environment of the
mission. On appointment, the HOM will be contracted to the United Nations, normally at a UN
rank of Under-Secretary-General or Assistant-Secretary-General.
UN Appointments
All key appointments and staff positions in UN missions are employed on contract with
the United Nations. This includes not only the HOM and the permanent general, professional,
and field service staff assigned to the mission, but also key component commanders seconded
from Member States, such as the military commander, police commander, and public affairs
officer.
86
Initial and Periodic Briefings

The HOM and key leadership personnel are, whenever practical, assembled in New York
for consolidated briefings prior to deployment. Ideally, this should occur well before the
mandate is approved by the UN Security Council, allowing these key individuals to participate in
the operational planning for the mission and to develop trust and teamwork. The HOM and other
key component commanders in a mission are also periodically brought to UNHQ in New York
for update briefings and discussions. This normally includes a briefing by the HOM to the UN
Security Council on mission progress.
4.3
United Nations Chain of Command
An unambiguous chain of command, from the highest political level the Security
Council to the troops, police and military observers in field, is essential for coherence in the
direction of the mission and the successful conduct of military activities in support of United
Nations Peacekeeping Operations. In light of the Secretary-Generals Report on United Nations
Command and Control and General Guidelines on Peacekeeping Operations the chain of
command in United Nations peacekeeping operations can be explained as follows:
(a)
Security Council. The Security Council is responsible for the overall political
direction of the peacekeeping operations. It authorises the mandate of the mission.
(b)
Secretary-General. The Secretary-General is responsible for the executive

direction and control of the missions. Member States transfer the Operational
Authority over their military forces and personnel to the United Nations. This
authority is vested in the Secretary-General, who exercises it on behalf of the
Security Council.
(c)
Under-Secretary-General for Peacekeeping

Operations.
The Under-Secretary-General for
Peacekeeping Operations (USG DPKO) is
accountable to the Secretary-General. On behalf of
the Secretary-General, the Under-Secretary-General
directs and controls United Nations peacekeeping
operations; formulates policies for peacekeeping
operations and operational guidelines based on
Security Council mandates; prepares reports of the
Secretary-General to the Security Council on each
peacekeeping
operation,
with
appropriate
observations and recommendations; and advises the
Secretary-General on all matters related to the
planning, establishment and conduct of United
Nations peacekeeping missions.
Under-Secretary-General for
Peacekeeping Operations, Mr.
Jean-Marie Guhenno, 2004.
4.4
87
(d)
Head of Mission. The Head of Mission is responsible, through the UnderSecretary-General for Peacekeeping Operations, for the implementation of the
mission mandate. The HOM exercises Operational Authority1 in the field on
behalf of the Secretary-General.
(e)
Force Commander. The Force Commander, when not serving as the Head of
Mission, reports to the Head of the Mission. The Force Commander exercises
Operational Control over all military personnel, including military observers, in
the mission. The Force Commander may delegate Operational Control of
military observers to the Chief Military Observer.
The Head of Mission (HOM) is appointed by the

Secretary-General to command the peacekeeping mission,
reporting through the USG DPKO. The HOM is responsible
for all activities being undertaken under the mission mandate,
and the various heads of components report to the HOM. In
most multidimensional peacekeeping missions that are
initiated today, the HOM is a civilian UN appointment,
normally titled the Special Representative of the SecretaryGeneral (SRSG). However, in a few existing traditional
UN peacekeeping missions, such as UNTSO, UNDOF and
UNIFIL in the Middle East, the military commander is also
the HOM.
The HOM appointment is normally accorded
ambassadorial status in the mission area. Many SRSGs are Mr. Oluyemi Adeniji, the Special
of the Secretaryseconded from high diplomatic positions in national Representative
General for Sierra Leone in 2003.
governments and have often been ambassadors previously. (DPKO OMS document)
In larger missions, the SRSG may be supported by one or
more deputies (DSRSGs) who are allocated responsibility for significant portions of the mission
activity. The HOM is always assisted by a number of key staff and component commanders who
make up the leadership team of the mission.
The selection of the HOM is critical to the success of the mission. They need to be good
leaders and managers who possess the necessary diplomatic skills to progress the mandate in the
local and international arena.
Military Commander
Force Commanders of the military component for UN peacekeeping missions and the
Chief Military Observer of UN observer missions are selected by the Secretary-General from a
panel of nominated senior military commanders serving in their national defence forces. A
1
The UN Command and Control terms Operational Authority and Operational Control will be defined and
discussed in a later lesson.
88
number of Member States will normally be asked to nominate suitably qualified senior officers
as candidates for consideration for these appointments. The choice of Member States that are
approached for nominations is based on political considerations associated with the particular
mission, the troop-contributing nations to the mission and their level of commitment, other UN
appointments at the time, and an appropriate balance between all UN troop contributors to
current UN missions. The final selection normally occurs after a series of interviews in New
York, as well as a detailed review.
Selections are based on professional competence and command experience and, where
considered necessary, previous experience in UN or other peace operations. Applicants must
display good competence in the mission language and the necessary qualities to operate as part
of the mission leadership team in an often sensitive multicultural and multinational environment.
The military commander is then appointed as a UN staff member, normally initially for a twelvemonth period subject to extension. Tours of UN duty for FCs normally do not exceed
continuous periods of twenty-four months.
Ranks and Appointment Levels for Military Commanders
Mission Size
Small integrated UN mission
where Military Commander is
also the Head of Mission
(HOM) (e.g., UNTSO,
UNDOF, UNIFIL)
Large multidisciplinary UN
mission under command of a
SRSG. Normally with several
military sectors and over
about 9,000 troops plus some
observers. (e.g., UNTAET,
UNAMSIL)
Medium size multidisciplinary
UN mission under command
of a SRSG or other civilian
HOM, normally less than
5,000 troops. (e.g., UNFCYP,
UNMEE)
Small size observer missions
under a civilian HOM
UN Level
Assistant Secretary-General
Military Rank
Major General
Lieutenant General
Director Level 2 (D2)
Major General
Director Level (1 D1) or

Professional Level 5 (P5)
Brigadier General or Colonel
Deputy Force Commanders and Senior Military Observers

In some larger missions, a Deputy Force Commander (DFC) is also appointed as a UN
staff position. In such cases, the DFC is normally one staff level below the FC. For example, in
UNAMSIL where the FC was a Lieutenant General (appointed as an ASG), the DFC was a
89
Major General (appointed as a D2). In missions that have both a Force and an Observer
component, the DFC is normally also appointed as the Chief Military Observer (DFC/CMO).
An example of this relationship was in UNMEE where the FC was a Major General (appointed
as a D2) and the DFC/CMO was a Brigadier (appointed as a D1).
Police Commander
Similar to the selection of
military commanders, police component
commanders are also selected from a list
of qualified nominees from appropriate
Member States and after an interview at
UN Headquarters.
Chief Administrative Officers
A critical position in any UN
peacekeeping mission is the senior
administrative officer, normally called
Mark Kroeker, Police Commissioner of UNMIL, hands out a
the Chief Administrative Officer (CAO). message on crime prevention. (UN Photo #UNE6401)
The CAO is normally a long-term UN
civilian staff member of Director Level 1 rank who is widely experienced in UN peacekeeping
and who has been trained to administer UN missions according to UN regulations and policy.
The inclusion of the CAO in the leadership team is critical to effective planning and budgeting.
In larger missions, where the UN appointment is at Director Level 2, the senior administrative
officer is normally titled a Director of Administration.
Other Key Appointees
In multidimensional peacekeeping missions, there are other heads of disciplines that are
critical to the success of the mission. Without increasing the size of the key leadership team to
an unwieldy number, consideration should also be given to including the following appointments
where appropriate in key leadership discussions:
Deputy SRSGs;
Chief Military Observer;
Senior Political Adviser;
Senior Legal Adviser;
Election Controller;
Human Rights Administrator;
Spokesperson; and
Disarmament, Demobilisation, Reintegration Commissioner.
4.5
90
While it is expected that the Head of Mission and other key leadership appointments
chosen for a UN peacekeeping mission will be most professionally competent and experienced in
their own duties, it is important to develop all these players into an effective leadership team.
This can only occur if a positive team spirit is developed and built on understanding and trust
between members. Ideally, for this to be achieved, the team should assemble early in the
development of a mission and prepare together for the tasks ahead, building trust and confidence
in each other and establishing appropriate sound command relationships.
UNITAR SRSG Project
In response to the Brahimi recommendations, a project was initiated through UNITAR in
2001 to consider how to better prepare those individuals likely to be appointed as SRSGs or
special envoys in UN peacekeeping, peace-building, and peacemaking missions. This project
had five components:
the debriefing of current and past representatives though in-depth interviews;

the preparation of a book for new SRSGs based on a distillation of the major issues raised
in those interviews;
the production of a set of videos/DVDs of the interviews;
an annual seminar for SRSGs and senior UN staff to provide a forum to share experience
and lessons and to promote dialogue; and
input into the current briefing programmes for SRSGs based on the recommendations of
SRSGs.
This project has conducted annual SRSG seminars since 2001, completed a detailed
series of interviews of Representatives and Advisers of the Secretary-General and other senior
UN personnel, and has produced a very comprehensive internal UN document entitled, On
being a Special Representative of the Secretary-General, as well as accompanying DVDs.
Standardised Training for Leaders
Commencing in 2004, the DPKO (through the Training and Evaluation Service) began
developing a standardised management training programme for middle and senior military,
civilian and police leaders and managers for UN peacekeeping operations. This programme
which covers topics similar to this course was designed to prepare a pool of leaders in Member
States and in the UN professional staff who have undergone some standardised study and
preparation regarding UN missions before they are nominated or selected for UN appointments.
4.6
91
There are a number of standing policy directives and specific command directives
concerning the senior leadership positions in any UN peacekeeping mission that need to be
understood and correctly implemented for effective mission command. These include
appointment directives for the HOM and key component commanders that detail their
responsibilities and principal considerations for the specific mission. A typical appointment
directive for a HOM/SRSG, a Military Commander, and a Civilian Police Commissioner are
attached at the end of this lesson in Annexes A, B and C. Studying these directives will give you
a good understanding of the relationships and responsibilities of the key leadership in UN
peacekeeping missions.
Another important document on the leadership function is the note from the SecretaryGeneral that gives clear guidance on the cooperative relationship that needs to exist in the field
between the Secretary-Generals representatives and other key UN appointments in a conflict
area, such as the UN Resident Coordinator and Humanitarian Coordinator. This relationship is
discussed further under integration in Lesson 6.
Additionally, new operational directives may be initiated periodically by UNHQ to the
HOM and through the HOM to other key appointments to clarify the responsibilities and
objectives to be undertaken during specific phases of the mission, particularly if the UN Security
Council has passed a revised resolution affecting the mandate of the mission. Such directives
assist the leadership to adjust relationships, structure, goals, and objectives in the various phases
of a mission.
92
ANNEX A
93
94
95
96
97
98
99
100
101
ANNEX B
COMMAND DIRECTIVE
FOR
THE FORCE COMMANDER

OF
THE UNITED NATIONS PEACEKEEPING FORCE IN
CYPRUS
(UNFICYP)
DEPARTMENT OF PEACEKEEPING OPERATIONS
February 2002
102
I. Introduction
1.
This document constitutes the Command Directive to the Force Commander (FC) of the
United Nations Peacekeeping Force in Cyprus (UNFICYP). It reflects the arrangements
established for peacekeeping operations directed by a civilian Chief of Mission (CM). This
directive does not cover all aspects of the FCs responsibilities, and you should feel free to seek
further guidance and clarification whenever necessary.
2.
The Directive should be applied in conjunction with United Nations Headquarters
policy and procedural documents for the conduct of peacekeeping operations and other
supplementary directions issued by United Nations Headquarters or the CM.
II. Authority
3.
UNFICYP is a subsidiary organ of the United Nations under the authority of the Security
Council. Command and control of UNFICYP is vested exclusively in the Secretary-General,
who has delegated the daily direction of UNFICYP to the Under-Secretary-General for
Peacekeeping Operations (Annex A). This is exercised in close coordination with the UnderSecretary-General for Political Affairs, who has responsibility for the Secretary-Generals
mission of good offices in Cyprus.
4.
The Secretary-General has appointed you with the concurrence of the Security Council.
As a staff member of the United Nations, you are subject to the Staff Rules and Regulations, a
copy of which you will have received on appointment.
5.
UNFICYP operates under conditions that are marked by the inevitable intertwining of the
political and military aspects of the situation. Therefore, the FC must act on the assumption that
all military matters have political implications. Consequently, he must carry out his functions in
constant and close consultation with the CM and seek his concurrence before taking any action
that might have direct or indirect political implications. The FC must keep the CM fully
informed of all significant events or operational developments. For his part, the CM will keep
the FC informed of political developments and consult him on the operational implications of
action being prepared at the political level.
6.
The FC and his staff should maintain close working relations with the Chief
Administrative Officer (CAO) and his staff, cooperate with and keep him fully informed about
the organisation, deployment and operations of the Force. The CAO has special responsibility
for ensuring adherence to the United Nations administrative, financial and personnel regulations.
7.
In the field, the Deputy Special Representative of the Secretary-General and CM has
overall responsibility for the United Nations operation in Cyprus. The Deputy Special
Representative of the Secretary-General and CM is the immediate superior of the FC. You will,
therefore, report through him on all major matters concerning the functioning of the military
personnel of UNFICYP. In the absence of the CM, the FC takes temporary charge of the
mission.
103
8.
The FC designates a chain of command in accordance with normal military practice. He
may delegate his authority through the chain of command.
III. Mandate
9.
UNFICYP was established in 1964 by Security Council resolution 186 in response to
inter-communal violence between the Greek Cypriot and Turkish Cypriot communities in
Cyprus. Its mandate is:
to use its best efforts to prevent a recurrence of fighting and, as necessary, to contribute
to the maintenance and restoration of law and order and a return to normal conditions.
That mandate has been repeatedly reaffirmed by the Council. Since the hostilities of
1974, several resolutions were adopted by the Security Council requiring UNFICYP to perform
certain additional functions, including maintenance of the cease-fire, maintaining the military
status quo in the buffer zone, restoring law and order and a return to normal conditions, and
certain humanitarian functions made necessary by the separation of the two communities on
either side of the buffer zone.
10.
The mandate of UNFICYP is reviewed for extension by the Security Council every six
months, with the concurrence of all the parties concerned. As you are aware, freedom of
movement is an operational necessity in all peacekeeping operations. In July 2000, the Turkish
Cypriot authorities imposed restrictions on UNFICYP operations in the north, including the
closing of all crossing points in and out of the buffer zone with the exception of the north Ledra
crossing point and entry into and exit from Kokkina, Roca and Berger camps. These restrictions
notwithstanding, UNFICYP has had the continued cooperation of the parties, both at the civilian
and military levels.
IV. Delegated Authorities and Responsibilities
General
11.
The FC has the primary responsibility for the operational organisation, efficient
functioning and conduct of the military component of UNFICYP. The Force Commander is
required to consult the CM, in advance, about any decisions regarding the military personnel that
may have political or policy implications.
Responsibilities for Force Commander UNFICYP
12.
The FCs responsibilities include the following:

a.
The efficient functioning of the military component of UNFICYP.
b.
Exercising operational control over the military component of UNFICYP, i.e., the
responsibility for planning and execution of the operational activities.
104
c.
Reporting to UNHQ, through the CM, on events and developments involving the
military component.
d.
Full authority with respect to the assignment of all military personnel under his
command. The only exception is the Chief of Staff, who is designated by the
Under-Secretary-General for Peacekeeping Operations in consultation with the CM
and the FC. In assigning headquarters posts, the FC will ensure a judicious balance
of the nationalities represented in the Force.
e.
Ensuring that during the term of appointment all personnel carry out their duties and
regulate their conduct solely with the interests of the United Nations in view and do
not seek or accept instructions in respect of the performance of their duties from
any other authority or Government. They shall exercise the utmost discretion in
respect of all matters of official business. They shall not communicate to any
person any information known to them by reason of their official position that has
not been made public, except as required in the course of their duties or by
authorisation of the FC. Nor shall they at any time use such information to private
advantage. The FC is asked to inform the CM immediately if any of the
participating Governments attempt to issue orders to its personnel on matters related
to their UNFICYP duties or communicates with them on questions of UNFICYP
policy.
f.
Good order and discipline within UNFICYP. The FC may undertake investigations,
conduct inquiries, and require information, reports and consultations for the purpose
of discharging this responsibility. Responsibility for disciplinary action in national
contingents of UNFICYP rests with the commanders of the national contingents. If
the FC considers it necessary, in the interest of UNFICYP, to repatriate a member
of the Force, he should so recommend, through the CM, to the Under-SecretaryGeneral for Peacekeeping Operations, who will take the matter up with the
Government concerned.
g.
Ensuring that members of UNFICYP respect the laws and regulations of the host
country and refrain from any activity of a political character in the mission area or
other action incompatible with the international nature of their duties. They shall
conduct themselves at all times in a manner befitting their status as members of
UNFICYP and be guided by the Status of the Force Agreement (SOFA).
h.
Submission of performance evaluation reports on the officers under his command.

Such reports will be forwarded to UNHQ for transmission to the national authorities
concerned.
i.
That UNFICYPs Standard Operating Procedures (SOPs) are maintained up-to-date,

based on the UN guideline SOPs.
105
Safety and Security of Military Personnel and Equipment

13.
The FC is responsible for the personal security and safety of all military personnel in the
Mission in close coordination with UNFICYP Chief of Security. He is also responsible for
ensuring the security and safety of the military equipment in UNFICYP. The Force Commander
must issue necessary instructions, in consultation with the Chief Administrative Officer, for the
proper maintenance and protection of the equipment placed at the disposal of the military
component of UNFICYP. The Force Commander should also ensure that all military personnel
comply with the safety instructions issued by him and also those by the Mission's Chief of
Security and Chief of Aviation through the Office of the CAO.
Working Relations with the Chief of Mission and Other Members of the Mission Headquarters
14.
The FC is required to maintain the closest possible working relationship with the CM,
CAO and other members of the Mission Headquarters. The senior members of the Mission and
concerned staff should be kept fully informed about the deployment and operations of the
military component. All policy and operational matters having political implications must be
referred to the CM. All policy or guidance with financial or support implications must be
coordinated with the CAO.
Observance of International Law
15.
The FC must ensure that all military personnel are familiar with and adhere to the
principles and rules of international humanitarian law, applicable to military forces conducting
operations under the United Nations command and control. These principles, as set out in the
Secretary-General Bulletin - Observance by United Nations Forces of International
Humanitarian Law dated 6 August 1999 [ST/SGB/1999/13].
Leave/Absence from Mission Area
16.
Before leaving the Mission area on official business or leave, the FC must obtain the
CMs approval and inform the United Nations Headquarters. The COS will act as FC in his
absence. Under normal circumstances, one of them must be present in the Mission area, at all
times.
Reporting
17.
The Secretary-General reports to the Security Council about UNFICYP when
appropriate. Any matters that may affect the nature or effectiveness of UNFICYP should be
referred to the Under-Secretary-General for Peacekeeping Operations for decision through the
CM, as should all matters likely to affect the United Nations, relations with the Parties or troopcontributing Governments. The FC should feel free to communicate by telephone, letter or
memorandum with the members of DPKO who are assigned responsibility for UNFICYP. All
matters pertaining to the good offices mission of the Secretary-General are the responsibility of
the CM and should be reported to the Under-Secretary-General for Political Affairs and copied to
the Under-Secretary-General for Peacekeeping Operations. In consultation with the CM, you
106
should also report to the Under-Secretary-General for Humanitarian Affairs regarding matters
under his responsibilities, with copy to the Under-Secretary-General for Peacekeeping
Operations.
End of Assignment Report
18.
The FC, upon completion of his field appointment, is requested to submit an End of
Assignment Report, through the CM, to the Under-Secretary-General for Peacekeeping
Operations, with a copy to the Military Adviser. The report should provide a review of the
overall military situation, an assessment of the implementation of the mandated tasks by military
component and internal matters including personnel, administration and logistics. The report
should be candid, highlighting what worked well and why, as well as the problems encountered.
The FC is encouraged to make suggestions, which could improve the effectiveness of the
Mission. This report should reach United Nations Headquarters three weeks prior to the last day
of the assignment of the FC. The United Nations Headquarters will treat the End of Assignment
Report as strictly confidential. The FC will normally report to United Nations Headquarters for
debriefing after he has been relieved at the end of his tour of duty.
Performance Evaluation Reports
19.
The FC is responsible for ensuring that performance evaluation reports are prepared on
the following:
a.
All officers in Force Headquarters.
b.
Sector Commanders, national contingent and unit commanders.
20.
All performance evaluation reports should be prepared in accordance with the UNFICYP
Standard Operating Procedures. The respective senior military officers in the Mission or national
contingent commanders should send these reports for the officers up to and including Majors to
their national authorities. Performance evaluation reports for officers in the rank of Lieutenant
Colonel and above shall be forwarded to United Nations Headquarters in sealed envelopes,
marked for the attention of the Military Adviser 's Office. United Nations Headquarters will
arrange for their further transmission to the national authorities concerned, through their
Permanent Missions to the United Nations. Each officer shall sign his/her performance
evaluation report. Two superiors in the chain of command should endorse all reports, Any
officer's performance assessed as unsatisfactory must be substantiated by facts and the officer
should have received prior performance counseling. A copy of all unsatisfactory reports should
be sent to the Military Adviser's Office for transmission to the appropriate national authorities.
UNFICYP Headquarters should inform the Military Adviser's Office, United Nations
Headquarters, that performance evaluation reports in respect of officers mentioned above have
been initiated/completed. Performance evaluation reports for the officers serving in military
units/contingents shall be completed in accordance with their national procedures.
107
V. Relations with the Troop-Contributing Countries

21.
All official business between the United Nations and the Governments contributing
military or police personnel to UNFICYP, including the extension and replacement of such
personnel, is transacted between the Department of Peacekeeping Operations in New York and
those Governments Permanent Missions to the United Nations. If a Government should
approach the CM or the FC in such matters, it should be referred to UNHQ and the UnderSecretary-General for Peacekeeping Operations should be informed.
Visits
22.
Visits to UNFICYP by officials of the contributing Governments are arranged by the
Department of Peacekeeping Operations in New York in consultation with the FC and the CM.
It is not necessary to refer to United Nations Headquarters (UNHQ) in the case of visits by
diplomats who represent a contributing country in the area of operation. However, the FC
through the CM should inform the Under-Secretary-General for Peacekeeping Operations of
such visits; normally it will be sufficient to do so in the weekly report.
23.
Visits to the military units of the Mission by officials of governments contributing
military personnel, as well as other interested States and organisations, shall be arranged through
the United Nations Headquarters in consultation with the CM.
VI. Relations with United Nations Headquarters

24.
UNHQ should be kept informed in a timely manner of all significant events and
developments. Important matters should be referred to UNHQ for decision as should all matters
likely to affect the Organisations relations with one of the parties or a contributing Government.
25.
As a rule, communications from UNFICYP to HQ should be sent in the name of the CM
and addressed to the Under-Secretary-General for Peacekeeping Operations. This ensures that
those directly concerned will see them without delay. If the communication is to be brought to
the attention of a particular member of staff, it may be so indicated. Similarly, communications
from UNHQ to UNFICYP will be sent in the name of the Under-Secretary-General for
Peacekeeping Operations and addressed to the CM. Communications exchanged between
UNFICYP and UNHQ, unless marked for the CM or Under-Secretary-General for Peacekeeping
Operations only, should be distributed in the mission to those concerned, and in any case to the
FC, the Senior Advisor and the Spokesman.
26.
The FC and his staff are encouraged to communicate informally with the staff at UNHQ.
In the interest of good order, action agreed on in the course of informal contacts should be
confirmed through a formal communication.
27.
It is important that the FC ensures good coordination among the various components,
civilian and military, of UNFICYP in order to enhance its effective functioning.
108
VII. Relations with the Media

28.
UNFICYP should be accessible to the media and the FC is authorised to brief them on
UNFICYPs activities. In doing so, however, the FC will bear in mind the sensibilities of the
host countries and their concern about military security.
29.
Only the CM, FC or the authorised spokesperson of the FC may make statements to the
media on or off the record. The FC may authorise others to make such statements as necessary,
for example when reporters come from their countries to visit, looking for human interest stories.
The aim is to build support for the mission, both in the contributing countries and among a wider
audience. In such encounters with the media the officers under the command of the FC should
adhere to the guidelines laid down in UNFICYPs Standard Operating Procedures.
VIII. Conduct of Personnel

Legal Protection
30.
All members of the UNFICYP are entitled to the legal protection of the United Nations,
in accordance with the relevant provisions of the Convention on Privileges and Immunities of the
United Nations.
Conduct of Military Personnel2
31.
All military personnel assigned to UNFICYP are under the authority and direction of the
Force Commander and are answerable to the FC for their conduct and performance of their
duties. In particular, the FC must ensure that all military personnel:
a.
Conduct themselves at all times (both on and off duty) in a manner befitting their
status as member of the Mission and that they carry out their duties and regulate
their conduct solely with the interest of United Nations in view.
b.
Refrain from any action incompatible with the aim and objectives of the United
Nations as well as with the international nature of their duties.
c.
Comply with all United Nations rules and regulations as well as policies,
procedures and directives issued by the United Nations Headquarters, or by the
Head of Mission, FC and CAO.
d.
Respect the laws, and customs of the host country as well as international human
rights standards and international humanitarian law and receive adequate training in
Further guidance in regard to the conduct of United Nations civilian and military personnel serving in the field is
contained in the Field Administration Handbook. The Code of Conduct in respect of United Nations staff members
was approved by the General Assembly by its Resolution 52/252 of 8 September 1998.
109
this area. In this connection, it is imperative that they demonstrate respect for the
local population, in particular for vulnerable groups.
e.
Respect the impartiality and independence of the United Nations and exercise the
utmost discretion in respect of all matters of official business. Do not communicate
to any person any information known to them by reason of their official position
and do not at anytime use such information to their private advantage.
f.
Do not seek or accept instructions in regard to the performance of their duties from
their respective governments or from any other authority external to the United
Nations.
g.
Do not receive any form of gift, award or remuneration from any government or
organisation other than his or her own, unless authorisation is granted by United
Nations Headquarters.
h.
Do not participate in exercises/military activities of the armed elements of the host

country or exercises conducted by regional organisations on the territory of the host
country.
32.
The FC should maintain strict control over the personal conduct and military discipline of
all military personnel. To assist in this requirement, Guidance to Commanders of United
Nations Military Operations, Standards of Conduct and Performance Criteria is attached as
Annex B.
33.
For the purpose of discharging this responsibility, the FC is authorised to make
investigations, conduct inquiries and request information, reports and consultations, according to
standard United Nations procedures. Responsibility for disciplinary action rests with the
national authorities. If the FC considers it necessary to repatriate military personnel, in the
interest of the Mission and the United Nations, he is to recommend this to UNHQ through the
CM.
34.
The FC must ensure that the Aide Memoire cards entitled Ten Rules - Code of personal
conduct for Blue Helmets and We are United Nations Peacekeepers are distributed among all
military personnel.
Conclusion
35.
It is not the purpose of this directive to cover all aspects of the responsibilities of the FC,
who should take advice from the CM and make full use of his staff on the matters not covered in
this document. The Department of Peacekeeping Operations will do their best to provide the FC
with all the support that is needed for his important assignment.
Jean-Marie Guhenno
for Peacekeeping Operations
February 2002
110
ANNEX C
DIRECTIVE
FOR THE POLICE COMMISSIONER
OF THE
UNITED NATIONS MISSION IN LIBERIA
(UNMIL)
REFERENCES
a) Security Council Resolution 1509 (2003) adopted on 19 September 2003.
b) Report of the Secretary-General S/2003/875 dated 11 September 2003.
Introduction
1.
The following directive applies to the Police Commissioner (PC) of the police component
of the United Nations Mission in Liberia (UNMIL). The directives herein are to be used as a
general framework for UNMIL police operations.
2.
The present directive shall be applied in conjunction with the United Nations
Headquarters (UNHQ) policies and procedural documents for the conduct of field missions, and
other supplementary directions issued by UNHQ.
Authorization
3.
Security Council Resolution 1509 (2003) of 19 September 2003 authorises the
establishment of the United Nations Mission in Liberia (UNMIL). The authority and functions of
the civilian police component are derived from the aforementioned SC Resolution.
4.
The United Nations Civilian Police is authorised to continue its tasks until the Security
Council terminates its mandate. The mandate is subject to further extension, based on Security
Council decision following a report to be submitted by the Secretary-General.
5.
The command of Civilian Police operations is vested in the UN Secretary-General. The
Secretary-General delegates to the Undersecretary Secretary-General (USG) for Peacekeeping
Operations, overall responsibility for the conduct of those operations.
6.
The Secretary-General appoints the Police Commissioner (PC) of Civilian Police. The PC
will be the head of Civilian Police and as such, is responsible for the implementation of its
mandate. The PC has the authority over all United Nations police activities in the mission area in
support of UNMILs mandate.
111
UNMIL Mandate
7.
The Security Council, through its resolution 1509 (2003) of 19 September 2003, decided
to establish the United Nations Mission in Liberia (UNMIL) for an initial period of 12 months
until 30 September 2004. UNMIL`s mandate consists of the following:
a. Support for Implementation of the Ceasefire Agreement;
i.
to observe and monitor the implementation of the ceasefire agreement and

investigate violations of the ceasefire;
ii.
to establish and maintain continuous liaison with the field headquarters of

all the parties military forces;
iii.
to assist in the development of cantonment sites and to provide security at

these sites;
iv.
to observe and monitor disengagement and cantonment of military forces of

these parties;
v.
to support the work of Joint Monitoring Committee;
vi.
to develop, as soon as possible, preferably within 30 days of the adoption of

the resolution, in cooperation with the JMC, relevant international financial
institutions, international development organisations and donor nations, an
action plan for the overall implementation of a disarmament, demobilisation,
reintegration and repatriation (DDRR) programme for all armed parties;
with particular attention to the special needs of child combatants and
women; and addressing the inclusion of non-Liberian combatants;
vii.
to carry out voluntary disarmament and to collect and destroy weapons and
ammunitions as part of an organised DDRR programme;
viii.
to liase with the JMC and to advise on the implementation of its functions
under the Comprehensive Peace Agreement and the Ceasefire agreement;
ix.
to provide security at key government installations in particular ports,

airports, and other vital infrastructure;
x.
to protect United Nations personnel, facilities, installations, and equipment,

ensure the security and freedom of movement of its personnel and, without
prejudice to the efforts of the government, and to protect civilian under
imminent threat of physical violence, within its capabilities;
b. Support for Humanitarian and Human Rights Assistance:

i.
to facilitate the provision of humanitarian assistance, including by helping

to establish the necessary security conditions;
ii.
to contribute towards international efforts to protect and promote human

rights in Liberia, with particular attention to vulnerable groups including
refugees, returning refugees and internally displaced persons, women,
children and demobilised child soldiers, within UNMILs capabilities and
112
under acceptable security conditions, in close cooperation with other United

Nations agencies, related organisations, governmental organisation, and
non-governmental organisations;
iii.
to ensure adequate human rights presence, capacity and expertise within

UNMIL to carry out human rights promotion, protection, and monitoring
activities;
c. Support for Security Reform;

i.
to assist the transitional government of Liberia in monitoring and

restructuring the police force of Liberia, consistent of democratic policing,
to develop a civilian police training programme, and to otherwise assist in
the training of civilian police, in cooperation with ECOWAS, international
organisations and interested States;
ii.
to assist the transitional government in the formation of a new and

restructured Liberian military in cooperation with ECOWAS, international
organisations and interested States;
d. Support for Implementation of the Peace Process:

i.
to assist the transition government, in conjunction with ECOWAS and other

international partners, in reestablishment of national authority throughout
the country, including the establishment of a functioning administrative
structure at both the national and local levels;
ii.
to assist the transitional government in conjunction with ECOWAS and

other international partners in developing a strategy to consolidate
governmental institutions, including a national legal framework and judicial
and correctional institutions;
iii.
to assist the transitional government in restoring proper administration of

natural resources;
iv.
to assist the transitional government, in conjunction with ECOWAS and

other international partners, in preparing for national election scheduled for
no later than the end of 2005.
Organisational Matters
8.
The Security Council decided that UNMIL will consist of up to 1,115 Civilian Police
Officers including Formed Police Units (FPUs) to assist in the maintenance of public law and
order throughout Liberia.
113
The Special Representative of the Secretary-General

9.
The Secretary-General appoints a Special Representative (SRSG) who will be the head of
UNMIL. The SRSG enjoys the maximum civilian executive powers, which are envisaged and
vested in him by the Security Council Resolution 1509 (2003). The SRSG has the final authority
on its interpretation.
10.
The PC who reports to the SRSG.
11.
The PC is required to maintain the closest possible working relationship with the SRSG,
the two DSRSGs and the other members of UNMIL Staff, including the Director of
Administration (DOA). These officials and others that may from time to time report to the SRSG
should be kept fully informed about the organisation, deployment and operations of the police
component.
The Director of Administration

12.
The Director of Administration (DOA) is responsible for the facilitation of support to the
mission. He/she will assist the PC in the exercise of his/her administrative responsibilities. Under
the overall authority of the SRSG, the DOA is responsible for:
a. All administrative functions and all general, logistical and technical services relating
to UNMILs activities, and for providing the requisite administrative support to
carrying out the substantive work of the mission effectively, efficiently and
economically;
b. All administrative and financial certification;
c. The proper implementation of the rules, regulations and instructions issued by the
United Nations, with respect to the administration and finance of the mission.
13.
The DOA will be assisted by a number of administrative/finance officers, field service
officers and other international and local staff as required.
14.
The DOA is authorised to communicate directly with the Office of Mission Support
(OMS) at UNHQ on administrative and financial matters. Administrative matters that have
important policy and operational implications for the police should be brought to the attention of
the Police Adviser/UNHQ, while keeping the SRSG fully informed.
15.
The PC should keep the DOA informed of all operational aspects of UNMIL Police that
may have administrative or logistic implications.
114
The Relation Between Police Commissioner and the Force Commander

16.
Although the Military Force Commander and the Civilian Police Commissioner
command separate components within UNMIL, they work towards the same goals in order to
meet the overall mandate objectives. Hence, they should closely coordinate their work and
cooperate with one another, particularly in the sharing of information through the JMC, as well
as contingency planning. In this regard they should work through committees and all sources of
relevant working groups. A back-up support arrangement to facilitate the work of Civilian Police
including its Formed Units would be formalised as directed by the SRSG.
Police Commissioner Delegated Authority and Responsibility:

17.
The Civilian Police component of UNMIL is headed by the Police Commissioner (PC)
who is vested with its command and overall direction. He/she will be assisted by the Deputy
Police Commissioner (DPC) in discharging his/her functions. The DPC coordinates, supervises
and directs the Civilian Police HQ staff in the performance of their respective duties and
functions.
18.
According to UNMIL`s mandate, the Police Component will be comprised of two
distinct but closely coordinating sub-components of international police officers:
(a) Civilian Police (755), and, (b) Formed Police Units (3 units of 120 police officers each).
Only the police officers detailed with the FPUs will carry arms while performing their mandated
duties and/or when required by the PC.
19.
The PC shall establish a consolidated and unified Civilian Police Headquarters in
Monrovia, Liberia. The Civilian Police Headquarters contain the offices of the PC, DPC, and
Civilian Police Headquarters Staff, and provides overall management for Civilian Police and
coordination among the UNMIL components.
20.
The PC enjoys the right to assign Civilian Police personnel, considering the backgroundarea of expertise-experience, to appropriate duties, responsibilities and/or positions within the
police component structure as he/she deems right. The assignment of the contracted posts
(D2/D1/P5/P4/P3) will be processed by HQ in consultation with the field mission. National and
gender balance will be taken into account during the assignments of Civilian Police officers.
21.
The PC is to hold regular interactive meetings with National Contingent Commanders
(duly minuted) in order to discuss professional and welfare matters. All contingent commanders
would be expected to provide the PC with an end of mission report.
22.
Authority and responsibility delegated to the UNMIL Police Commissioner are as
follows:
115
a. The PC is responsible, under the authority and supervision of the DSRSG for
Operation and Rule of Law, for the overall administration, operations, organisation
and smooth functioning of the police component of UNMIL.
b. PC should develop the mission statement in consonance with the over all objectives
of the UN mission and provide/reiterate this to all UN Civilian Police personnel.
c. The PC exercises operational authority over all components of Civilian Police
including its Formed Units assigned to UNMIL. The PC may deploy the police
resources of UNMIL within the approved Area of Responsibility (AOR), as he/she
deems necessary. The Commanding Officers of the Civpol Regions-Counties-Depots
and FPUs are directly answerable and accountable to him/her for the conduct and the
performance of their respective duties.
d. The PC, in consultation with CPD-UNHQ, establishes a chain of command for the
UN police component, making use of all officers of his/her headquarters staff and
other officers of the national contingents made available by the police contributing
countries (PCCs). The PC may delegate to any staff officer the authority to act on
his/her behalf.
e. The PC is responsible for the maintenance of good order and discipline of the police
component of UNMIL including its Formed Police Units. The PC is to ensure strict
adherence to the Code of Conduct by the personnel assigned to the police component
of UNMIL. He/she is authorised to undertake investigations, make inquiries and
request information, reports and consultations, for the purpose of discharging this
responsibility. If the PC considers it necessary to repatriate police personnel, in the
interest of UNMIL and the United Nations, he/she is to recommend this to the SRSG
for approval of USG/DPKO. The Police Adviser, NY/HQ, should be duly informed
for him/her to take-up the matter with the concerned government;
f. In accordance with the procedures concerning reimbursement and control of
contingent owned equipment (COE), the PC shall:
i.
Inspect the equipment of national FPUs to ensure that they are in

compliance with the relevant Memorandum of Understanding (MOU) to
be concluded between DPKO and the government concerned. Such
inspections are to take place upon the FPU`s arrival, periodically during its
tour-of-duty and immediately before its departure;
ii.
Review and sign as concurring with the content of the monthly Equipment
Verification Report for each Formed Police Unit, in order to enable the
DOA to certify the report as basis for reimbursement to the relevant police
contributing nation;
iii.
Advise the DOA when contingent manpower or equipment fails to meet

required standards;
iv.
116
Assist the DOA in resolving disputes with contingent representatives on

the interpretation of the respective memorandum of understanding.
g. PC shall assist, as needed, CPD/UNHQ in identifying and recruiting qualified Police

Officers offered by Police Contributing Countries that are suitable for deployment to
UNMIL.
h. PC shall assign Lessons Learned and Gender focal points and provide information to
UNHQ on regular basis.
i. PC shall make himself/herself accessible to rank and file. His/her office must make
special provision for all incoming Civilian Police Officers to call on him/her at
earliest opportunity.
j. PC shall regularly plan field visits to apprise himself/herself of field realities and the
needs of personnel.
k. PC shall encourage organizing of regular interactive and mutually learning workshops
in the areas of Mentoring, Training, Monitoring, Advising, Planning, Crime
prevention, Community Policing, Staff welfare, Personnel Policies, Lessons Learnt,
Good Practices and other issues which have a bearing on police performance.
End of Assignment Report
23.
The PC shall submit to the USG for peacekeeping through the SRSG, with a copy to the
Police Adviser HQ, an end-of-mission report upon completion of his/her field appointment. The
report should provide as follows;
a. Review of overall situation,
b. An assessment of the progress of implementation of the mandated tasks and other
internal matters, namely: personnel, discipline, administration, logistics, strategies,
initiatives, good practices, lessons learned, partnerships with community, limitations,
constraints etc.
c. The report should be candid, highlighting accomplishments and the critical success
factors that contribute to their achievement, as well as problems encountered and
other delimiting factors.
d. The PC is to objectively appraise the Civilian Police personnel in the mission. He/she
must develop a strong database of the expertise of the individual Civilian Police
officer for future UN deployment if need be. The end of mission report should
enclose the CD of the database with names of individuals and the special aptitudes
identified.
117
e. The PC is encouraged to make recommendations for the improvement of the

effectiveness and efficiency of the police component of UNMIL. This report should
be submitted to the UNHQ two (2) weeks prior to the last day of assignment of the
PC. This is not detrimental of the PC submitting bi-annual or quarterly reports.
Tasks of the Civilian Police Components

24.
The Civilian Police will be comprised of two complementary components of
international police officers: the Civilian Police Advisors and the Formed Police Units. The
responsibilities and functions of Civilian Police in UNMIL as stated in the Security Council
Resolution 1509 (2003) of 19 September 2003 is:
a. To assist the transitional government of Liberia in monitoring and restructuring the
police force of Liberia, consistent with democratic policing, to develop a civilian
police training programme, and to otherwise assist in the training of civilian police, in
cooperation with ECOWAS, international organisations and interested states.
b. To assist in the maintenance of law and order throughout Liberia.
Reporting
25.
The Secretary-General reports to the Security Council on UNMIL at regular intervals or
as directed by the Security Council. Any matters, which might affect the nature, or the continued
effective functioning of the Mission, will be referred to the Security Council for its decision.
26.
The SRSG is responsible for reporting regularly to UNHQ on developments concerning
the activities of UNMIL and the implementation of its mandate. The SRSG reports to the UnderSecretary-General for Peacekeeping Operations (USG-DPKO) on all of these aspects.
27.
The PC through the SRSG, is required to keep UNHQ fully informed of developments
relating to the functioning of the police component of UNMIL. The PC is required to report to
the SRSG on all matters concerning the mandated activities of the police component within
UNMIL. On technical police matters, the PC is authorised to report directly to the Police
Adviser/UNHQ, while keeping the SRSG fully informed.
28.
All matters that may affect the nature or the continued effectiveness of the Police
Component of UNMIL, as well as matters likely to affect the United Nations relations with the
governments of police contributing countries, must be referred to UNHQ for decision. In this
connection, the PC is requested to prepare and submit to the Police Adviser in New York, a
quarterly report reviewing the overall police situation as it affects the work of the Mission and on
internal matters including personnel, discipline, administration and logistics. The PC should also
submit ad hoc- spot reports on any significant developments of special importance, should
these occur between regular interval.
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29.
In addition to the reports mentioned in paragraph 26 above, routine reports on a daily,
weekly and monthly basis are to be submitted to the USG-DPKO by the SRSG. The UNMIL
Police Headquarters, under the authority of the PC, should provide inputs for the police part of
these reports.
30.
The PC is requested to submit daily strength reports and rotation plans of incoming and
outgoing police personnel to the Police Adviser/UNHQ.
31.
The PC is requested to immediately inform the SRSG, if it comes to his knowledge that
participating Member States are issuing directions to national personnel, outside their national
prerogatives and competencies that contradict mission policy or operational direction.
32.
The PC, as well as other Civilian Police personnel of UNMIL HQ designated by the PC,
are encouraged and should feel free to communicate informally with colleagues at UNHQ. Any
actions decided in the course of informal contacts should be confirmed in formal
communications with UNHQ. The PC should be kept fully informed of any informal
communications with UNHQ, which could have an impact on the mission.
Minimum Use of Force

33.
The Use of Force and Firearms for the Formed Police Unit within police component will
be regulated in accordance with International Human Rights Standards, as will be elaborated in
UNMIL instructions on use of force and firearms. These internationally recognised standards
provide the sole authority for the use of force and firearms. It also explains the policy, principles,
responsibilities, definitions for the minimum use of force and firearms. The PC must ensure strict
adherence to these standards.
Standard Operating Procedures

34.
The PC is required to draw-up mission-specific Standard Operating Procedures (SOPs)
based on the Civilian Police Generic SOPs as soon as possible, and submit a copy to UNHQ for
review and approval. In addition the PC is expected to submit his/her inputs for a Mandate
Implementation Plan at the earliest convenience.
Communications with Police Contributing Countries

35.
The channel for communication between the United Nations and the contributing
governments concerning their contingents, or mission itself, shall be between UNHQ and the
Member States Permanent Missions to the United Nations. Matters of policy or administration
must not be taken up directly between the UNMIL PC and the contributing governments.
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Respect for Local Laws

36.
The United Nations peacekeepers shall respect the laws of the host country in so far as
they are not in conflict with internationally recognised human rights standards or with
regulations issued by the SRSG in the fulfillment of the mandate given to the United Nations by
the Security Council.
37.
In exercising their functions, the UN Civilian Police shall observe internationally
recognised human rights standards, and shall not discriminate against any person on any
grounds, such as sex, race, colour, language, religion, political or other opinion, national, ethnic
or social origin, association with a national community, property, birth or other status. The PC
shall ensure that all personnel under his/her command observe this directive.
Privileges and Immunities

38.
Members of UNMIL Civilian Police are entitled to privileges and immunities in the
performance of their UN duties, pursuant to the applicable provisions of the Convention on
Privileges and Immunities of the United Nations agreements, as well as other arrangements to be
concluded between UNHQ and the relevant governments.
Visits to Field Mission

39.
Visits to UNMIL by officials of governments contributing police personnel to the field
mission shall be arranged through UNHQ in consultation and concurrence of the SRSG and PC.
Media Coverage of Field Mission

40.
UNMIL will be the object of media attention. It is desirable that its work and activities be
known and well understood by the public, subject to the information policy laid-down by the
SRSG. The PC shall therefore facilitate the work of journalists wishing to report about UNMIL
activities and, subject to the guidance of UNMILs Public Information Staff, be accessible to
them to the extent possible, without interfering with the discharge of his primary responsibilities
and the mission mandate.
United Nations Core Values and Competencies

41.
It shall be the responsibility of the PC to ensure that all Civilian Police are inducted and
informed of UN competencies. Competencies refer to a combination of skills, attributes and
behaviors that are directly related to successful performance of the job in UNMIL. Competencies
are important both for the mission and the officers and supervisors, in order to build and develop
the police component of the mission and to meet challenges. They help clarify expectations,
define future developments needed in order to have a more focused recruitment of Civilian
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Police by the UNHQ. UN core values are Integrity, Professionalism and Respect for Diversity.
The PC shall also emphasise the importance of the essential core values of communications,
teamwork, planning and organisation and ability to work effectively in a multi-cultural
environment in the administration of the Police Component.
Code of Conduct
42.
All Civilian Police assigned to UNMIL are under the PCs authority and direction and are
accountable/answerable to the PC for their conduct and performance. They are required to obey
mission standard operating procedures (SOPs), directives or any other applicable rules,
regulations or administrative issuances. The mission is made up of police professionals from
many countries, most of whom come from varying cultures and legal systems and represent all
levels of training and experience. All members of UNMIL Civilian Police serve as members of
professional police organisations in their home countries and must maintain high level of
discipline and professionalism. In order to meet UNMIL requirements and carry-out tasks
satisfactorily, Civilian Police shall at all times exercise patience, tolerance, tact, diplomacy, good
judgement and common sense. However, in some instances, members of UNMIL Civilian Police
must act with certain assertiveness necessary to carryout UNMIL mandates. Such actions must
always be undertaken with complete impartiality towards all entities within the mission area.
43.
The following is based on internationally accepted standards of conduct for police
professionals and reflects the attitudes and behaviors expected of UN Civilian Police officers
within UNMIL. The standards of the conduct are to be considered as a written order applicable
to all Civilian Police personnel. Failure to adhere to any section of this code will be enough
ground for administrative removal from UNMIL.
a. Conduct Unbecoming of Civilian Police Officer.
It is incumbent upon all police officers to display a public image that is without
tarnish and reflects favourably on the image of the United Nations. Therefore,
Civilian Police are expected to refrain from behavior that could adversely affect their
credibility, professional image or impartiality, which is critical to the mission.
Civilian Police shall conduct themselves in a professional manner both on and offduty. Civilian Police shall neither engage in political activity within the mission area,
nor shall they publicly express any preference for any political, religious or ethnic
entity within the mission area. Civilian Police shall respond to all requests for
assistance in a fair and impartial manner.
b. Intoxication in Public.
UNMIL Civilian Police personnel should not drink alcoholic beverages while on
duty. They shall not also appear in uniform in public in a state of intoxication. In
addition, members of Civilian Police shall exercise restraint in their consumption of
alcohol while off-duty, remembering that Civilian Police at all times represent both
the UN and their home countries. Any member of UNMIL Civilian Police who
consumes alcohol to such a level that he/she may behave in an unseemly or
inappropriate manner will be deemed to be in violation of this directive.
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c. Illegal Use of Narcotics or Drugs

No member of Civilian Police shall at any time deal, consume or possess any illegal
drug, narcotics, marijuana, any regulated substances or their derivatives. Violation of
this directive is ground for immediate removal from the mission area.
d. Acceptance of Gratuities
Civilian Police shall not use or attempt to use their position for private advantage and
shall not accept any gratuity or gift in kind or in cash which go beyond courtesy.
Therefore, it is unacceptable for Civilian Police to accept items of value, honor,
decoration, favour or gift from any government or local personnel without prior
approval from the SRSG.
e. Attending or Soliciting Sexual Services from places of Prostitution or Trafficked
Persons
No Civilian Police member shall in any place within the mission area and procure the
services of a trafficked person or visit any properties or establishments known for or
suspected of promoting prostitution or the trafficking of persons unless their presence
is in conjunction with the conduct of official operations which have prior approval of
the responsible commander. Any violation of this directive will result in a
disciplinary action amounting to repatriation.
f. Relationships with national citizens
It is imperative that Civilian Police personnel remain objective in the performance of
their duties. The development of personal relationships with members of the local
community that may come into contact with Civilian Police on a professional basis
can damage that objectivity and must be handled with extreme caution and discretion.
The norms and behavior appropriate in the home country of each Civilian Police
member may not be accepted or tolerated in host country. No relationship with any
local personnel shall cause a Civilian Police to compromise the objectivity,
impartiality and integrity of Civilian Police in the proper performance of his/her
duties. No relationship with local personnel shall lead to any substantiated complaint
pertaining to sexual advances. UN does not encourage and tolerate any such
relationships with the locals in the host country.
g. Professional Behavior Requirements
All members of Civilian Police shall conduct themselves professionally within the
organisation and will adhere to established rules and regulations set forth by the
Police Commissioner. They shall observe the following regulations:
i.
Failure to Obey Lawful Order

In order to ensure that the tasks of Civilian Police are carried-out as
required, it is necessary for each police officer to be responsive to the
orders issued by superiors. Failure to obey lawful order/s without
justifiable cause or reason will be considered a major breach of the code of
conduct.
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ii.
Discriminatory Conduct
All members of Civilian Police shall show respect for each and every
member of the UN organisation including the local staff. No behavior that
is construed to be offensive, oppressive, abusive, discriminatory or likely
to cause offence or humiliation will be tolerated. Discrimination against
any member of Civilian Police on the basis of sex, race, ethnic background
or religion will not be tolerated. Any person who is deemed to have
discriminated against any individual Civilian Police will be in violation of
the code of conduct.
iii.
Use of Foul or Obscene Language or Gestures

At no time shall any Civilian Police utilise foul, obscene, vulgar or
otherwise offensive speech or gestures that could be considered to be
verbally abusive to any other member of the mission or with any member
of the public. Civilian Police members shall at all times conduct
themselves in a manner consistent with the high level of professionalism
expected of Civilian Police personnel.
iv.
Assault or Physical Abuse and Violence

Except in justifiable cases of self-defence or in cases of the defence of the
weak and helpless, no Civilian Police shall be a participant in any
physically combative situations whether it is with Civilian Police
personnel or members of the local population. Any substantiated
complaint of physical violence against anyone wherein Civilian Police
member was a prime actor will result in his/her immediate repatriation.
v.
Sexual Harassment
It is incumbent upon all members of Civilian Police to conduct themselves
properly at all times and for their conduct to be above reproach. It is
imperative that any relationships that may develop among members of the
International Community are with mutual consent. No Civilian Police
interactions with International Community or local personnel should ever
be construed by either party to be in the nature of sexual harassment.
h. General Conduct Requirements

All members of Civilian Police are required to adhere to the highest professional
standard while in the performance of their duties. The following rules include general
rules for the conduct of Civilian Police:
i.
Job Requirements
Members of Civilian Police shall ensure that all lawful orders and required
duties are carried out promptly and completely and shall not knowingly
neglect any duty assigned to them. Civilian Police members will
appropriately account for any moneys or property assigned to them in their
official capacity and will maintain all such allocations in good order.
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ii.
Truth and Accuracy in Reporting

Members of Civilian Police shall ensure that any report or statement made
by them is accurate and complete. No member shall knowingly make any
false, misleading or inaccurate oral or written statement or entry in any
official record or document.
iii.
Alteration and destruction of Official Reports

No members of Civilian Police shall at anytime without proper
authorization, destroy, mutilate or alter any official document.
iv.
Improper Disclosure of Information

No member of Civilian Police shall make any unauthorised statement in
relation to any information which comes to the members knowledge in
the course of his/her duty and which is not available to the public.
Statements to the press or tri-media are not allowed unless proper
authorization from the Civilian Police public information office is
obtained through the chain-of-command.
v.
Improper use of Authority

No member of Civilian Police shall use or attempt to use his or her
authority in such a manner as to gain special favours or benefits. Neither
shall any Civilian Police member respond to any member of the public in
a manner that maybe construed as abusive or oppressive. Civilian Police
members shall treat their subordinates fairly and impartially without the
practice of favouritism or preferential treatment. Civilian Police shall
ensure that all lawful debts incurred by them are satisfied and they shall
never attempt to utilise their office and the privileges accorded to that
office to default on or reduce such debts.
vi.
Personal Appearance
All members of Civilian Police shall ensure that their personal appearance
displays the highest professional image. Uniforms shall be neat and
pressed and shoes will be kept clean and polished. All Civilian Police
members shall wear UN blue beret with prescribed insignia, while in
uniform during the course of official duties and appearance in public. All
personnel shall maintain grooming standards consistent with their own
departmental regulations.
vii. Maintenance of UN Properties

Members of Civilian Police shall maintain all UN properties within their
control in good order and will immediately report any damage or loss of
such property through appropriate channels. Civilian Police shall not
utilise UN property for personal use unless authorised in writing through
the proper chain of command. Any reported damaged, destroyed or
lost/missing property must be investigated by UN Security immediately to
determine the severity of the incident/accident. If the Civilian Police
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member is found to be negligent, the member maybe held responsible for

the replacement or pay for the replacement cost of the item/property.
viii. Absence from Duty
Any Civilian Police shall not, without proper authorization, be absent from
duty or leave any assigned duty. Illness, medical emergency or any other
unusual circumstance preventing a member from reporting for duty must
be conveyed to the members superiors prior to the start of scheduled duty
or as soon as possible. In addition, Civilian Police shall ensure that any
scheduled leave or absence is documented in accordance with UN
regulations concerning leave, CTO or illness, as applicable. Failure to
truthfully report the anticipated location while on leave or CTO will be
considered to be a disciplinary offence under this code of conduct.
ix.
False Claims or Benefits

Members of Civilian Police shall not knowingly misrepresent or make
false certification in connection with any United Nations claims, benefit or
investigation. This includes the failure to disclose a fact to that claim or
investigation.
x.
Acting as an Accessory to a Disciplinary Offence

Any Civilian Police member found to be an accessory to any violation will
be considered as a principal and will be subjected to disciplinary action.
xi.
Involvement in Criminal Activity

Any member of Civilian Police found to be involved in any crime
recognised as criminal activity under international law may, at the
discretion of the Secretary-General, have his/her immunity from personal
arrest or detention waived and may be prosecuted under local law. If a
Civilian Police officer is found to be involved in criminal activity, it will
be grounds for immediate repatriation.
Jean-Marie Guhenno
For Peacekeeping Operations
January 2004
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LESSON 4
END-OF-LESSON QUIZ
1.
For each UN peace operation, who is appointed by the Secretary-General to command the
mission and to implement the mission mandate?
A. The Under-Secretary-General;
B. The Head of Mission;
C. The Force Commander;
D. The Police Commissioner.
2.
Who is responsible for the overall political direction of the peacekeeping operations and
authorises the mandate of the mission?
A. The Security Council;
B. The Secretary-General;
C. The Head of Mission;
D. The Force Commander.
3.
Tours of UN duty for FCs normally do not exceed continuous periods of:
A. 6 months;
B. 24 months;
C. 36 months;
D. 48 months.
4.
For a medium-size multidisciplinary UN mission under command of a SRSG or other

civilian HOM (normally less than 5,000 troops), what is the typical military rank for
military commanders?
A. Major General;
B. Lieutenant General;
C. Brigadier General;
D. Colonel.
5.
To whom does the SRSG report?

A. The SRSG reports directly to the Secretary-General;
B. The SRSG reports to the Security Council through the Under-Secretary-General for
Peacekeeping;
C. The SRSG reports to the Secretary-General through the Under-Secretary-General
for Peacekeeping;
D. The SRSG reports to the General Assembly through the Under-Secretary-General
for Peacekeeping.
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6.
In multidimensional peacekeeping missions, there are other heads of disciplines that are
critical to the success of the mission, including:
A. Deputy SRSGs;
B. Human Rights Administrator;
C. Election Controller;
7.
Who is responsible for the security of UN military and civilian personnel serving in
peacekeeping operations?
A. The SRSG;
B. The Force Commander;
C. The host nation;
D. The senior person from each TCC.
8.
Who is responsible for reporting regularly to UNHQ on developments concerning the

activities of the mission and the implementation of its mandate?
A. The Force Commander;
B. The Mission Public Information Officer;
C. The Director of Administration;
D. The SRSG.
9.
How does the UN develop a pool of middle and senior military, civilian and police leaders
and mangers who are prepared to serve on UN missions?
A. Through training delivered by national training centres;
B. Through a standardised management training programme developed by DPKO
TES, which covers topics similar to this course;
C. By screening curriculum vitae of applicants;
D. Through training provided by commercial contractors.
10. If the Security Council passes a revised resolution affecting the mandate of the mission, how
are the new responsibilities and objectives clarified for the mission?
A. New responsibilities and objectives will be listed directly in the revised resolution;
B. It is left to the SRSG to revise the mission objectives;
C. Through new operational directives initiated by UNHQ to the HOM;
D. The Force Commander will revise the mission objectives.
ANSWER KEY:
1B, 2A, 3B, 4A, 5C, 6D, 7A, 8D, 9B, 10C
LESSON 5
REGIONAL ORGANISATION, MEMBER STATE
AND NATIONAL ISSUES
5.1
Introduction
5.2
5.3
Doctrine
5.4
5.5
5.6
5.7
Deployment Periods, Rotation, and Standardisation
5.8
Command and Control
Annex A
Model Memorandum of Understanding
Annex B
UN Financial and Logistics Guidelines
Annex C
2003 Standard Costs Manual Extract
Annex D
2003 Standard Ratios Manual Extract
Annex E
2002 COE Manual Extract
Annex F
Strategic Deployment Stock (SDS) Overview
Annex G
Definitions of UN Command and Control Terminologies
Lesson 5 / Regional Organisation, Member State and National Issues
128
LESSON OBJECTIVES
Understand why it is important for the UN to work in conjunction with regional

organisations;
Appreciate the need for consistent doctrine between the UN, Regional Organisations,
and Member States and also the need for detailed doctrine to remain a national
responsibility;
Understand the requirements for the training and preparation of peacekeepers;
Become familiar with some of the primary logistical and financial documents that
govern how personnel and equipment are provided by a nation to the UN for the
deployment on a peacekeeping mission;
State the guidelines for deployment periods and rotations of personnel;
Understand the definition and purpose of Memorandums of Understanding; and
Be familiar with the command and control issues in missions.

5.1
129
Introduction
In a growing number of peacekeeping situations, the UN has worked closely with

regional and sub-regional organisations. Member States of the UN that provide civilian,
military, or police contingents for UN peacekeeping missions may also be members of regional,
sub-regional, or other collective security arrangements. In preparing to respond to their multiple
commitments and responsibilities, Member States attempt to standardise their requirements in
areas such as doctrine, training, standby arrangements, and logistic capability.
5.2
In the past the UN has needed to cooperate with wider international and regional
organisations to address the concerns in a localised area, such as in the Balkans, in the Great
Lakes region of central Africa, and in Central America. UN SRSGs have found it necessary to
establish a relationship not only with immediate actors in the conflict area, but also neighbouring
countries and regional organisations. In some cases, military forces from regional organisations
have worked alongside of UN contingents. Recent examples include the Commonwealth of
Independent States (CIS) peacekeepers cooperating with the UNOMIG observers in Georgia, the
deployment of UNAMSIL into Sierra Leone while a force from the Economic Community of
West African States Monitoring Group (ECOMOG) was still present, and the phased handover
from the International Force for East Timor (INTERFET) to UNTAET in East Timor. In these
cases, the UN Head of Mission has needed to establish a good relationship with the key actors
from the relevant regional organisations.
To ensure an optimum solution exists to address conflict situations, common agreements,
memorandums of understanding, the exchange of information, and liaison arrangements, as well
as periodic high level management meetings, need to be developed between the UN and such
organisations.
There are clearly significant advantages that can occur if the actions of regional
organisations and the UN are able to be coordinated and dovetailed together in a constructive
manner. The regional organisations bring the advantage of familiarity with local languages, an
understanding of the strengths and capacities of regional contributors, and often a capacity to
rapidly deploy coherent regional forces at an early stage, which can then be incorporated into any
larger international effort that may be subsequently authorised.
5.3
Doctrine
To be effective, a multinational peace operations capability requires a standardised

doctrine. Peacekeeping doctrine used by Regional Organisations and Member States preparing
for peace operations should be consistent wherever practical with the doctrine produced and used
by UN peacekeeping missions, noting that production of detailed doctrine for how units will
complete normal military tasks (e.g., conduct of a reconnaissance patrol) is a national
responsibility. The UN has produced policy for subjects that are common in a multinational
130
peacekeeping environment, such as civil-military coordination. These should be adopted by

Regional Organisations and Member States.
5.4
Training for peacekeeping operations requires competency in a wide range of military

and civilian skills. For the military and police contingents provided by Member States, the initial
platform for these skills is a sound capability in the full range of the normal national military and
police tasks. Training in these tasks is a national responsibility. Even in large regional alliances,
there is limited standardisation of this type of training, as a result of differing national doctrines,
tactics, techniques, and procedures.
On the other hand, there can be some degree of standardisation on issues specific to peace
operations. It is, therefore, recommended that Regional Organisations and Member States
should use common training standards and material, and that, wherever possible, this should be
based on agreed UN standards, modified as necessary. The UN has made significant efforts in
recent years to clarify the training elements and standards required for UN peacekeeping,
particularly as part of its Standardised Generic Training Modules Project, described in Lesson 3.
Because a wide range of Member States have been, and will continue to be, involved in this
Project, it will be useful to inform the peace operations training of all Member States.
The relevant regional training framework should provide for some amount of
coordination of regional and national training, as well as for the establishment and designation of
regional centres of excellence for peacekeeping training at the tactical, operational, and strategic
levels.
National military training frameworks provide for training cycles that normally
incorporate progressive training activities. Any centralised and regional UN training should,
therefore, be designed on the basis of a cycle that dovetails into these national arrangements. In
this respect, there will be the need for some degree of harmonisation among Member States
signing up to the standby arrangements. Such harmonised training cycles, if synchronised with
the UN and other external agencies, will help to harness support for training by channelling
external assistance towards quality support at the centres of excellence. This will enhance
peacekeeping capacities, as well as provide a framework for joint tactical and operational field
training exercises, command post exercises, and telephone battles in order to practise common
doctrine and techniques and test readiness. It will be particularly useful if training is focused
towards indicative structures established as part of the UNSAS.
A diagrammatic explanation of this division of training responsibilities is shown below:
131
Developed under guidance of course author
UN PEACEKEEPING TRAINING
Continuation Training
Mission
Training Cell
In Mission/Induction Training
Pre-Deployment Training for Specific Mission
UN Generic Training
National Training for Defence Tasks
Nations to meet
UN guidelines;
UN support
available
National or
Regional in
accordance to
UN guidelines
National System
Troop-Contributing Guidelines
As outlined in Lesson 2, the DPKO issues mission guidelines for TCCs to assist Member
States to prepare their contingents for deployment to each UN peacekeeping mission. These
should be read carefully and any concerns be fully discussed by Permanent Missions with the
DPKO. Countries and regional organisations preparing for deployment on UN peacekeeping
missions should be thoroughly familiar with the guidelines and other references relating to the
mission. These should be disseminated to all elements that may be deployed. They clarify the
background and conditions relating to the UN authorising the peacekeeping mission, the concept
of operations and phases, mission structure, and the various administrative, logistic, and
personnel guidelines to be applied.
5.5
132
The identification of broad sustainability, logistical support, and funding requirements are
key components for the deployment on any peace operations. The UN has developed a number
of detailed documents that are used to establish these requirements. Various examples are
provided in the annexes at the end of this lesson. Annex A is a model Memorandum of
Understanding which outlines the administrative, logistical and financial terms and conditions
that govern the contribution of personnel, equipment, and services provided by a troop
contributing nation to a peacekeeping mission. Annex B contains UN Financial and Logistics
Guidelines, including standard costs and Annexes C, D, and E are extracts from the 2003
Standard Costs Manual, providing examples of standard costs for specified items. Annex F
discusses the strategic deployment of stock. Finally, Annex G provides definitions of UN
command and control terminologies. It is suggested that the student reads these documents
either now or at the conclusion of this lesson.
It is recommended that regional organisations and Member States use the information in
these documents as a guide and build on this information, making changes as appropriate in the
scales of reimbursement, the consumption rates, etc., to fit their environment. The resulting
documents will provide valuable planning tools to determine the sustainability, logistical
support, and funding requirements needed for peace operations. This will also assist a smooth
transition to UN peacekeeping operations, when appropriate.
5.6
The Memorandum of Understanding (MOU) is a contractual document between the UN

and the troop-contributing countries to a particular mission. It establishes the responsibilities of
the UNHQ, the peacekeeping mission itself, and the country that is contributing troops (or
resources) to the mission. It covers major equipment provisions, levels of self-sustainment, and
the relevant Mission Factors that will be applied in the mission area based upon an assessment of
the local, environmental, operational, and hostile factors. A sample MOU is available in Annex
A at the end of this lesson.
Major equipment can be provided under either a wet or dry lease arrangement. In a
dry lease the basic equipment is provided by the TCC but maintained by the UN; in a wet
lease (which is the preferred arrangement as recommended by the General Assembly
committees), the TCC is fully responsible for the maintenance of their major equipment. Some
TCCs also arrange bilateral assistance from a third party or country to provide or maintain their
equipment.
133
Extract from Partners in Peacekeeping: Logistic Support Issues of United Nations

and Troop Contributing Countries. Conference Report. Freetown, Sierra Leone 3-5
March 2003. DPKO Office of Mission Support Publication, 12 June 2003.
Self-sustainment requires a series of services to be provided either by the UN or the

contingent to agreed UN standards, as detailed in the UN COE Manual (see Annex E for an
extract). The contract includes consumable supplies and minor equipments necessary to support
the basic services, which include:
Catering;
Internal operational communications;
Office equipment and supplies (including computers);
Minor engineering and electrical (including backup generators);
Laundry and cleaning;
Tentage and accommodation;
Basic field defences;
Specified operational equipment (such as flak jackets, night observation equipment); and
Medical.
134
The MOU also covers the leasing of the trained soldier, policeman, or specialist at an
agreed monthly rate. This is intended to cover national mission expenses for the individual. IT
IS NOT INTENTED TO BE THE SALARY OF THE INDIVIDUAL. THIS REMAINS A
NATIONAL RESPONSIBILITY.
Prior to deployment, the UN will undertake a pre-deployment inspection, and it will
conduct periodic verification inspections in the mission area to confirm the readiness,
serviceability, and usage of agreed equipment. Reports from these inspections will determine the
actual level of reimbursement paid to a TCC under the MOU.
Extract from Partners in Peacekeeping: Logistic Support Issues of United Nations and Troop
Contributing Countries. Conference Report. Freetown, Sierra Leone 3-5 March 2003. DPKO
Office of Mission Support Publication, 12 June 2003.
5.7
Deployment Periods, Rotations, and Standardisation
Once formed contingents are deployed to the mission area, the UN will finance two
rotations of unit personnel (less major equipment) per year. This period has been determined
based on experience in peacekeeping missions, balancing the need for some continuity against
morale of the troops. TCCs can extend this period, and many countries plan on 12-month tours
in a mission area. Tours of contingents for less than six months are discouraged and will incur
additional national expenses.
135
In this respect it should be noted that the tour of duty of individual staff officers in
mission headquarters, UN military observers, and UN civilian police officers is normally for a
minimum period of twelve months.
While the standardisation of doctrine and procedures is both desirable and possible, it
should be clear that due to different development processes in national defence forces, equipment
standardisation will not be possible across the whole spectrum of Member State military
equipment. However, the clear identification of key areas where interoperability is essential,
such as inter-unit communications, is important. The issue of standardisation policy and the
development of suitable technical solutions to assist interoperability, where appropriate, should
be centrally managed by regional arrangements.
5.8
Command and Control
Multinational contingents deployed on UN peacekeeping missions raise legal as well as

technical command and control issues that need to be resolved prior to deployment. These are
achieved through appropriate command and control policies, Letters of Exchange (LOEs),
Letters of Intent (LIs), or MOUs. In general, the command of the UN forces will need to reflect
the multinational nature of the formation and be combined with a system of rotation of staff
appointments, having regard to the capacities, contributions, and professional competence levels
in the respective defence forces of Member States. UN Command and Control of Military
terminology has been discussed with Member States and issued in October 2001. This is
attached in Annex G.
Transfer of Authority
When national contingents and military observers come under the control of a United
Nations designated commander, the transfer of operational authority must be completed
immediately. Generally, this process takes place when national military personnel and units
arrive in the mission area. If required, the transfer of authority may be completed at a units
home station (before deployment in the area of operations), or at an intermediate staging base, as
dictated by operational necessities. However, the exact timing of the transfer of authority will be
decided at the time of negotiation between the United Nations and the national authorities.
Communications
UN missions and operational activities require effective communications. This is one
area requiring close examination to achieve a required level of standardisation. While the use of
satellite communications may be convenient in limited observer missions and between missions
and the Member States, they are expensive and not ideal for communications internal to
peacekeeping force operations. Careful consideration, therefore, needs to be given to the types
and mix of communications proposed for the respective mission.
136
ANNEX A
COE Manual 2002 Edition
MEMORANDUM OF UNDERSTANDING
Between
THE UNITED NATIONS AND [PARTICIPATING STATE]
Contributing
RESOURCES TO [THE UN PEACEKEEPING OPERATION]
Whereas, [the UN peacekeeping operation] was established pursuant to the United

Nations Security Council resolution _______.
Whereas, at the request of the United Nations, the Government of _____________
(hereinafter referred to as the Government) has agreed to contribute personnel, equipment and
services for a [type of contingent/unit] to assist [UN peacekeeping mission] to carry out its
mandate,
Whereas, the United Nations and the Government wish to establish the terms and
conditions of the contribution.
Now therefore, the United Nations and the Government (hereinafter collectively referred
to as the Parties) agree as follows:
Article 1
Definitions
1.
For the purpose of this Memorandum of Understanding, the definitions listed in Annex F
shall apply.
Article 2
Documents constituting the Memorandum of Understanding
2.1
This document, including all of its Annexes, constitutes the entire Memorandum of
Understanding (hereinafter referred to as the MOU) between the Parties for the provision of
personnel, equipment and services in support of [UN peacekeeping mission].
2.2
137
Annexes:
Annex A:
Personnel
1 - Requirements
2 - Reimbursement
3 - General conditions for personnel
Appendix 1 to Annex A: Soldiers Kit Mission Specific
Recommended Requirement
Annex B:
Major Equipment provided by the Government.

1 - Requirements and reimbursement rates
2 - General conditions for major equipment
3 - Verification and control procedures
4 - Transportation
5 - Mission usage factors
6 - Loss and damage
7 - Special case equipment
Annex C:
Self-sustainment provided by the Government

1 - Requirements and reimbursement rates
2 - General conditions for self-sustainment
3 - Verification and control procedures
4 - Transportation
5 - Mission factors
6 - Loss and damage
Annex D:
Performance Standards for Major Equipment
Annex E:
Performance Standards for Self-Sustainment
Annex F:
Definitions
Annex G:
Guidelines (Aide-Mmoire) for Troop-Contributors
Article 3
Purpose
3.
The purpose of this MOU is to establish the administrative, logistics and financial terms
and conditions to govern the contribution of personnel, equipment and services provided by the
Government in support of [UN peacekeeping mission].
138
Article 4
Application
4.
The present MOU shall be applied in conjunction with the Guidelines (Aide-Mmoire)
for troop-contributors.
Article 5
Contribution of the Government
5.1
The Government shall contribute to [UN peacekeeping mission] the personnel listed at
Annex A. Any personnel above the level indicated in this MOU shall be a national responsibility
and thus not subject to reimbursement or other kind of support by the United Nations.
5.2
The Government shall contribute to [UN peacekeeping mission] the major equipment
listed in Annex B. The Government shall ensure that the major equipment and related minor
equipment meet the performance standards set out in Annex D for the duration of the
deployment of such equipment to [UN peacekeeping mission]. Any equipment above the level
indicated in this MOU shall be a national responsibility and thus not subject to reimbursement or
other kind of support by the United Nations.
5.3
The Government shall contribute to [UN peacekeeping mission] the minor equipment and
consumables related to self-sustainment as listed in Annex C. The Government shall ensure that
the minor equipment and consumables meet the performance standards set out in Annex E for
the duration of the deployment of such equipment to [UN peacekeeping mission]. Any
equipment above the level indicated in this MOU shall be a national responsibility and thus not
subject to reimbursement or other kind of support by the United Nations.
Article 6
Reimbursement and support from the United Nations
6.1
The United Nations shall reimburse the Government in respect of the personnel provided
under this MOU at the rates stated in Article 2 of Annex A.
6.2
The United Nations shall reimburse the Government for the major equipment provided as
listed in Annex B. The reimbursement for the major equipment shall be reduced in the event that
such equipment does not meet the required performance standards set out in Annex D or in the
event that the equipment listing is reduced.
6.3
The United Nations shall reimburse the Government for the provision of self-sustainment
goods and services at the rates and levels stated at Annex C. The reimbursement for selfsustainment shall be reduced in the event that the contingent does not meet the required
performance standards set out in Annex E, or in the event that the level of self-sustainment is
reduced.
6.4
139
Reimbursement for troop costs will continue at full rates until departure of the personnel.
6.5
Reimbursement for major equipment will be in effect at full rates until the date of
cessation of operations by a troop-contributor or termination of the mission and thereafter be
calculated at 50 per cent of the rates agreed in this MOU until the equipment departure date.
6.6
Reimbursement for self-sustainment will be in effect at full rates until the date of
cessation of operations by a troop-contributor or termination of the mission and thereafter be
reduced to 50 per cent of the rates agreed in this MOU calculated upon the remaining actual
deployed troop strengths until all contingent personnel have departed the mission area.
6.7
When the United Nations negotiates a contract for the repatriation of equipment and the
carrier exceeds a 14-day grace period after the expected arrival date, the troop-contributor will be
reimbursed by the United Nations at the dry-lease rate from the expected arrival date until the
actual arrival date.
Article 7
General conditions
7.
The parties agree that the contribution of the Government as well as the support from the
United Nations shall be governed by the General Conditions set out in the relevant Annexes.
Article 8
Specific conditions
8.1
Environmental Condition Factor: _______
8.2
Intensity of Operations Factor: _______
8.3
Hostile Action/Forced Abandonment Factor: ______
8.4
Incremental Transportation Factor: The distance between the port of embarkation in the
home country and the port of entry in the mission area is estimated at ______ miles (kms). The
factor is set at ......% of the reimbursement rates.
8.5
The following locations are the agreed originating locations and ports of entry and exit
for the purpose of transportation arrangements for the movement of troops and equipment:
Troops:
Airport/Port of Entry/Exit: _______________________________
(in the troop-contributing country)
Airport/Port of Entry/Exit ________________________________
(in the area of operations)
140
Note: The troops may be returned to another location nominated by the troop-contributor,
however, the maximum cost to the United Nations will be the cost to the agreed originating
location. Where a rotation uplifts troops from a different port of exit this port shall become the
agreed port of entry for these troops.
Equipment:
Originating Location: ________________________________
Port of Embarkation/Disembarkation: __________________________
(in the contributing country)
or
Border Crossing at Embarkation/Disembarkation: ______________________
(in the contributing country when landlocked or moving by road/rail)
Port of Embarkation/Disembarkation: __________________________
(in the mission area)
Article 9
Claims by third parties
9.
The United Nations will be responsible for dealing with any claims by third parties where
the loss of or damage to their property, or death or personal injury, was caused by the personnel
or equipment provided by the Government in the performance of services or any other activity or
operation under this MOU. However, if the loss, damage, death or injury arose from gross
negligence or wilful misconduct of the personnel provided by the Government, the Government
will be liable for such claims.
Article 10
Recovery
10.
The Government will reimburse the United Nations for loss of or damage to United
Nations-owned equipment and property caused by the personnel or equipment provided by the
Government if such loss or damage (a) occurred outside the performance of services or any other
activity or operation under this MOU, or (b) arose or resulted from gross negligence or wilful
misconduct of the personnel provided by the Government.
Article 11
Supplementary arrangements
11.
The parties may conclude written supplementary arrangements to the present MOU.
141
Article 12
Amendments
12.
Either of the Parties may initiate a review of the level of contribution subject to
reimbursement by the United Nations or to the level of national support to ensure compatibility
with the operational requirements of the mission and of the Government. The present MOU may
only be amended by written agreement of the Government and the United Nations.
Article 13
Settlement of disputes
13.1 The [UN peacekeeping operation] shall establish a mechanism within the mission to
discuss and resolve, amicably by negotiation in a spirit of cooperation, differences arising from
the application of this MOU. This mechanism shall be comprised of two levels of dispute
resolution:
(a)
First level: The Chief Administrative Officer (CAO) and the contingent
Commander will attempt to reach a negotiated settlement of the dispute; and
(b)
Second level: Should negotiations at the first level not resolve the dispute, a
representative of the Permanent Mission of the Member State and the UnderSecretary-General, Department of Peacekeeping Operations, or his representative
shall, at the request of either Party, attempt to reach a negotiated settlement of the
dispute.
13.2 Disputes that have not been resolved as provided in paragraph 13.1 above may be
submitted to a mutually-agreed conciliator or mediator appointed by the President of the
International Court of Justice, failing which the dispute may be submitted to arbitration at the
request of either party. Each party shall appoint one arbitrator, and the two arbitrators so
appointed shall appoint a third, who shall be the Chairman. If within thirty days of the request for
arbitration either Party has not appointed an arbitrator or if within thirty days of the appointment
of two arbitrators the third arbitrator has not been appointed, either Party may request the
President of the International Court of Justice to appoint an arbitrator. The procedures for the
arbitration shall be fixed by the arbitrators, and each Party shall bear its own expenses. The
arbitral award shall contain a statement of reasons on which it is based and shall be accepted by
the Parties as the final adjudication of the dispute. The arbitrators shall have no authority to
award interest or punitive damages.
142
Article 14
Entry into force
14.
The present MOU shall become effective on (date). The financial obligations of the
United Nations with respect to reimbursement of personnel, major equipment and selfsustainment rates start from the date of arrival of personnel or equipment in the mission area, and
will remain in effect until the date personnel, and serviceable equipment depart the mission area
as per the agreed withdrawal plan or the date of effective departure where the delay is
attributable to the United Nations.
Article 15
Termination
15.
The modalities for termination shall be as agreed to by the Parties following consultations
between the Parties.
IN WITNESS WHEREOF, the United Nations and the Government of ______________
have signed this Memorandum of Understanding.
Signed in New York, on ________ in two originals in the English language.
For the United Nations
For the Government of [troop-contributor]
_______________________
for Mission Support
Department of Peacekeeping Operations
_______________________
Permanent Representative
Permanent Mission of the [troopcontributor]
143
ANNEX B
UN FINANCIAL AND LOGISTICS GUIDELINES
GENERAL
a.
There is a direct link between logistics factors and the budgetary/financial requirements
to support peace operations. The linkage between these aspects is such that this process must
result in a consultative process as both areas impact on the other. To reach the final level of
acceptable logistics support available within realistic financial support arrangements requires a
series of exchanges of information between the staff within these respective parts of the
organisation. Only once these respective levels have been firmly identified can the actual
decision be made on whether the proposed peace operation is realistic because it is supportable.
If the proposed mission cannot be supported logistically and financially then the deployment
should not go forward.
b.
The logistics requirements to support a peace operation will vary as each Member State
may have its own standards for what is considered acceptable as a consumption rate or a stock
level of supplies that will be maintained or the requirements for acceptable living conditions for
the participants in the area of operations (whether military or civilian).
c.
The financial processes used to support peace operations will ultimately be based on the
specific financial rules and related standards of the UN and the Member States. A key role in this
process will be the determination of standard costs, rates of reimbursement and the ratios being
used in the computation of the acceptable rates to be used in this process. This allows both
planners and operators to work from a standard baseline. The UN has developed a number of
reference documents, which may be of great value for any organisation setting up similar
operations as those that have been previously conducted by the UN. These documents are the
result of extensive research and analysis of the data created over the years of UN peacekeeping
operations. While any organisation may determine the rates or percentages used by the UN are
not in line with what the specific organisation may wish to use, they provide a very thorough
base line with the key areas already identified for which a determination of applicability can be
made. Three of the key documents are discussed below and samples of the information contained
in some of them are attached at the separate appendices to this Annex. These documents have
been especially useful in the UN budgeting process as they are based on data accepted by the
Member States for use by the Organisation.
d.
In order to standardise the process it is recommended that the Regional Organisations
adopt these documents in principle as a baseline and change the specific rates to better fit the
needs of the region and its members. These should then accepted by its Member States as the
baseline for logistics planning, budgetary purposes, and computation for reimbursement.
144
UN STANDARD COSTS MANUAL

a.
The complexity of demands placed upon the United Nations, in a rapidly evolving global
context, has resulted in the need for a more cohesive and integrated approach to the planning and
implementation of UN peace operations. With the objective of re-engineering the United Nations
approach to budget preparation; there exists a need for a strategic data model which will serve as
a planning document for start-up operations and existing missions. The data model will
concentrate on the analysis of substantive needs in order to be able to budget estimated financial
requirements. It will seek to justify, rather than explain, the translation of data into operational
requirements and will therefore form the basis of the resource requirement submission used by
technical survey teams and Chief Administrative Officers for justification of needs.
b.
The Standard Cost Manual has been in use since January 1994 and is being made
available to Member States in accordance with General Assembly Resolution 49/233 dated 23
December 1994. This manual represents one of the primary tools in the budget process through
the application of standard cost rates. The Standard Cost Manual identifies a uniform basis for
budgeting and financial management that will promote the consistency, credibility, and
transparency of the budgeting process. Items are divided into functional categories, and
identified by both their technical specifications and unit price. A detailed description of major
items of equipment, including specification of size, capacity, range and utility, is provided in the
Annexes. Revisions to the rates are planned every twelve months, the period corresponding to
that of the mid-year budget cycle. A sample of the data in the Standard Cost Manual is found
attached at Appendix 1.
c.
Standard costs have been derived from the following sources:

(1)
Reimbursement of pay and allowances to troop-contributing countries is based

on the following: General Assembly document: A/C.5/55/47 dated 26 July
2001, GA resolution 55/274 of 14 June 2001, GA resolution 45/258 dated 3
May 1991, Secretary-Generals Report A/45/582 (para. 3 & 6), dated 10
October 1990, GA resolutions 42/224 dated 21 December 1987, 35/44 dated 1
December 1980, 32/416 dated 2 December 1977 and the Report of the Fifth
Committee A/9825/Add.1 dated 29 November 1974.
(2)
Reimbursement for the use of contingent-owned equipment is based on the

following General Assembly documents: GA resolution 55/274 dated 14 June
2001, GA resolution 50/222 dated 10 May 1996, A/50/887 dated 6 March 1996,
A/50/807 dated 8 December 1995, A/C.5/49/70 dated 20 July 1995, and
A/C.5/49/66 dated 2 May 1995. The new rates came into effect on 1 July 2001
and apply to all new missions starting on or after that date. For missions that
were activated prior to 1 July 1996, troop-contributing-countries have the option
to adopt these new rates or to be reimbursed under the previous scheme.
(3)
Reimbursement for death and disability in respect of contingent personnel is

made in accordance with GA resolution 52/177 of 18 December 1997.
145
(4)
Costs in respect of international civilian personnel (salaries, common staff costs

and staff assessment) are based on the Standard Salary Costs prepared by the
Office of Programme Planning, Budget and Accounts (OPPBA) and updated on
a yearly basis. Local salary and related costs are based on local surveys carried
out by local UNDP offices.
(5)
Travel Costs are based on figures supplied by the United Nations Travel Unit.
(6)
Vehicles - the rates for vehicles are based on purchase orders obtained from the
Procurement Division (PD).
(7)
Air Operations - the figures are based on the last twelve months record of
contracts entered into by PD.
(8)
Naval Operations - rates are based on purchase orders from PD.
(9)
Communications - The figures are based on an average of the last 12 months

purchase orders. Satellite communication costs per minute usage vary
depending on the location of the mission and availability of satellite coverage
and are based on scale rates invoiced by satellite companies.
(10) Accommodation Equipment - rates are based on contracts awarded during the
last 12 to 24 months.
(11) Other Equipment - rates are based on catalogue prices and latest purchase
orders.
(12) Data Processing Equipment - Prices are based on the previous 12 months
purchase orders. It should be noted that in this area variations from the standard
can occur since the technology and prices change rapidly, additionally costs also
depend on where the procurement takes place.
UN 2003 STANDARD RATIOS MANUAL
This document should be used in conjugation with the other manuals listed in the Annex. The
value of this document is to help establish the resource requirements once the basic composition
of the mission is identified.
UN 2002 CONTINGENT OWNED EQUIPMENT (COE) MANUAL
The COE manual is discussed else where in the document and is now readily available to
Member States. The basic principles of this system are simplicity, accountability, financial and
management control. This manual and the system it is based on provide a guide for organisation
and determining the responsibilities of the central organisation and those of the TCC as well as
providing a mechanism for determining rates of reimbursement. A key aspect of this system is a
clear MOU between the organisation and the TCC, including a process to verify the agreements
146
contained in the MOU, have in fact been met by all parties. While the rates of reimbursement,
consumption or overall requirements reflected in the UN COE manual may not be within the
thresholds considered acceptable for regional peacekeeping operations, the COE manual
certainly provides another example of a base document which contains valuable information,
based on many peacekeeping missions conducted by the UN and built on those lessons learned,
which can be used by another organisation to assist in the establishment of acceptable standards.
UN CLAIMS AND DISABILITY
a.
The General Assembly, in its resolution 51/218E of 17 June 1997, established uniform
and standardised rates of payment as well as a maximum reimbursable amount of US$50,000 for
death and disability sustained by troops in the service of the United Nations peacekeeping
operations. The Report of the Secretary-General (A/52/369 of 17 September 1997) outlined the
implementation arrangements and procedures including the documents required for submission
of death and disability claims for military contingents in a United Nations peacekeeping
operation in respect of death or disability incidents occurring on or after 1 July 1997. The
General Assembly, in its resolution 52/177 of 18 December 1997, authorised the SecretaryGeneral to implement the administrative and payment arrangements and procedures contained in
that Report. The guidelines published by the UN offer more detailed submission requirements for
these claims.
b.
The issue of claims and disability requires careful consideration, as this can be an issue in
areas other then that of personal injury and death of individuals. In those instances where
equipment is supplied by one country and used by a different contingent, in the event of an
accident which would result in possible claims for injury or death it should be reviewed in light
of the trend to have this type of situation (equipment of one country used by another) existing in
the field in more frequency than in the past.
UN STRATEGIC DEPLOYMENT STOCKS (SDS)
The lack of a rapid deployment capability has been repeatedly identified as a major
weakness in United Nations peacekeeping operations. As a result, the Organisation has
often missed opportunities to provide effective support in the critical initial phase of such
operations. In its report (see A/55/305-S/2000/809), the Panel on United Nations Peace
Operations addressed this weakness and recommended the development of a capability for
the rapid deployment of peacekeeping missions within 30 or 90 days (30 days for a
traditional mission and 90 days for a complex mission). The concept was further expanded
into a practical framework as presented in the Report of the Secretary-General: The
Concept of Strategic Deployment Stocks and Its Implementation. (A/56/870 dated 14
March 2002). A brief description of the Strategic Deployment Stock Concept, which is
now a cornerstone for the UNs Rapid Deployment Strategy, is contained at Appendix 4.
147
ANNEX C
2003 STANDARD COSTS MANUAL EXTRACT
Objective of Expenditure
Effective Date
Usage
Standard Cost
Remarks
Premises/Accommodation 4.00 Prefabricated Hard-Wall Accommodation Ablution Unit, Container, 20 ft

4208 Premises/Accommodation
01/07/2000
Item
10,000.00
Up to 30 persons
08/08/2002
Item
1,200.00
01/07/2000
Item
150,000.00
Without power supply, with 6 month

supply of chemicals and detergents
08/08/2002
Item
195,000.00
With 6 month supply of chemicals and

detergents
01/07/2001
Item
65,000.00

detergents
01/07/2001
Item
285,000.00

detergents
Item
25,000.00
Optional safe $4,600
Item
20,000.00
Optional safe $4,600
Item
4,600.00
With one A/C and sea container for

packing
3,700.00
With one A/C (not split A/C) and

Container for packing
Attached Ablutions (knocked down) for 26 sq.m. prefab buildings
Containerized Kitchen/Dining Unit for 100 man
High Security Cashiers Container 20 ft container size (size A)

08/08/2002
High Security Cashiers Container half 20 ft container size (size B)

08/08/2002
Office/Living 21 sq.m. Knocked down configuration Prefab

08/08/2002
Office/Living 26 sq.m. Knocked down with double glazed windows based on houses of 3 modules
08/08/2002
Item
Office/Living 26 sq.m. Knocked down with double glazed windows based on houses of 6 modules
08/08/2002
Item
3,650.00
With one A/C (not split A/C) and

container for packing
08/08/2002
Item
3,820.00
With one furniture package and one A/C

unit
Office/Living flat-packed containers, 20ft

148
ANNEX D
2003 STANDARD RATIOS MANUAL EXTRACT
Object of Expenditure
Other EDP requirements
- File server
LAN networking components
UPS, 600 VA
UPS, 2000 VA
ID card system
Administrative systems
Computer software license
Lotus Notes
PC Workshop
Generators
Generators spare parts
Generators spare parts
Observation equipment
Petrol tanks plus metering equipment
Water and septic tanks
Medical and dental equipment
Accommodation equipment
Air-conditioning
Miscellaneous equipment
Field defence equipment
Security equipment
Water purification equipment
Refrigeration equipment
Spare parts repairs and maintenance
Freight
Mission
Specific
Standard
4:100
1:1
1:1
1:250
1:1
1:1
1:1
x
x
x
x
x
x
x
x
x
x
x
Technical specifications & comments
Ratio or %Dollar Rate
1:1.5
1:1
350
- servers/persons
- per workstation
- per workstation
- per server
- unit/persons
- per mission
- 100% of computers
- 100% of desktop computers
- KVA per person
- 12.5 % of acquisition cost, for new generators
- 20% of acquisition cost, for used generators
- to be determined by outpost
- to be determined by outpost
1:1
1:1
- $1,000 per person in Un provided accommodation

- $500 per person in Un provided accommodation
- incl. Cameras, scales, fans, lamps, etc.
- to be determined (type, quantity required for outposts
- incl. X-ray machines (walk-in, luggage, surveillance equipment, metal detectors
1:1
- $500 per person for staff in offices and UN provided accommodation

- 10% annum of acquisition cost of all equipment, old equipment/s of other missions 15-18%
- 15 of total cost of purchased other equipment
149
Object of Expenditure
Mission
Specific
Standard
10. Supplies and Services

a) Miscellaneous services
External audit
17
Contractual services
Data processing services
x
x
190
80
x
x
1
14-50
1
Security services
Medical treatment and services
Claims and adjustments
Technical specifications & comments
Ratio or %Dollar Rate
- cost for biennium provided by Secretary of Board of Auditors

- haircut, laundry for contingents at $12 +$5 postage per person/month; logistics support
contract is mission-specific
- PC annual maintenance
- network annual maintenance
- person/month ration, treatment in civilian hospital
- person/month ration, treatment in military/civilian hospital
- person/month
150
ANNEX E
2002 COE MANUAL EXTRACT
Estimated
Useful life
(years)
TELEPHONE EQUIPMENT
Telephone exchange large, 1-1100 lines
Telephone exchange PABX 1-100 lines
Cryptofax
Cyphering equipment
$408,680
$66,411
$3,269
SPECIAL CASE
15
15
7
$100
$49
$4
$2,339
$472
$39
$2,439
$521
$43
0.2%
0.2%
0.2%
AIRFIELD SUPPORT EQUIPMENT

All radars
Approach systems/slighting
Control tower
Navigation systems
SPECIAL CASE
SPECIAL CASE
$4,353,300
$1,937,219
20
10
$12,574
$5,712
$18,864
$16,466
$31,438
$22,178
0.2%
0.2%
MISCELLANEOUS - COMMUNICATIONS
Underwater communication systems
Antenna towers
UPS 10KVA and up
SPECIAL CASE
$5,180
$8,288
20
10
$11
$85
$22
$70
$33
$155
0.2%
0.2%
ELECTRICAL
GENERATORS - STATIONARY AND MOBILE
20KVA to 30KVA
31KVA to 40KVA
41KVA to 50KVA
51KVA to 75KVA
76KVA to 100KVA
101KVA to 150KVA
151KVA to 200KVA
201KVA to 500KVA
Greater than 500KVA
$38,020
$41,780
$56,403
$66,848
$75,204
$83,560
$104,450
$158,764
SPECIAL CASE
8
12
12
12
12
15
15
15
$133
$135
$173
$187
$209
$282
$395
$527
$412
$308
$415
$492
$554
$478
$598
$908
$545
$443
$588
$679
$763
$760
$993
$1,435
0.5%
0.5%
0.5%
0.5%
0.5%
0.2%
0.2%
0.2%
Category of Equipment
Maint.
Rate
($US)
Monthly
Dry lease
($US)
Monthly
Wet lease
($US)
No-fault Monthly
incident Non-UN
factor
POL
%
($US)
Generic Fair
Market Value
($US)
309
432
555
771
1080
1543
2160
3086
151
ANNEX F
STRATEGIC DEPLOYMENT STOCK (SDS) OVERVIEW
1.
The lack of a rapid deployment capability has been repeatedly identified as a major
weakness in United Nations peacekeeping operations. As a result, the Organisation has
often missed opportunities to provide effective support in the critical initial phase of such
operations. In its report (see A/55/305-S/2000/809), the Panel on United Nations Peace
Operations addressed this weakness and recommended the development of a capability for
the rapid deployment of peacekeeping missions within 30 or 90 days (30 days for a
traditional mission and 90 days for a complex mission). The concept was further expanded
into a practical framework as presented in the Report of the Secretary-General: The
Concept of Strategic Deployment Stocks and Its Implementation. (A/56/870 dated 14
March 2002).
2.
In response, the Secretary-General proposed the concept of a strategic reserve in his
report on the implementation of the recommendations of the Special Committee on
Peacekeeping Operations and the Panel on United Nations Peace Operations (A/55/977).
Subsequently, the Special Committee urged the Secretariat to work towards the goal of
rapid deployment within a 30/90-day time frame and endorsed the concept of a strategic
reserve, including a material reserve; the medium-sized reserve was considered the most
appropriate and practical (see A/55/1024, para. 66).
3.
The result of this work has been the procurement of equipment and its stockage at
the UN Logistics Base (UNLB) at Brindisi, Italy as the strategic reserve. The concept is
that this equipment will be used primarily for the start up of new missions, where the
normal procurement lead-time is such that in order to meet the 30/90 deployment time
lines, the normal system is too slow. Having the equipment readily available greatly
enhances the speed with which the UN can react to a decision to deploy a peacekeeping
mission. The replacement of those items removed from the UNLB stock, which are
deployed to support a mission, are then purchased from the new missions budget allowing
the stocks at UNLB to be maintained at operational levels.
4.
The management of this stock includes a process of rotating the stock by using it as
a key source for the purchase of new or the replacement of equipment in current
peacekeeping missions. Where applicable (and cost effective), these items are purchased
from the existing stock at UNLB to meet existing missions needs and then the
replacements go into the stock at UNLB. This maintains the stock at acceptable,
operational levels and insures the equipment is both up-to-date and that shelf-life
limitations are not exceeded.
5.
These equipment levels were based on supporting what is considered a complex
mission start-up with approximately: 10,000 Troops; 375 International Staff; 500 Military
Observers; 500 UN Civilian Police (CIVPOL); and 575 Local Staff. The equipment includes the
152
following types of equipment: light vehicles and some specialised vehicles; communications and
information technology (to include rapidly deployable satellite communications; phone
switching capability; and computer systems); office equipment (including furniture);
accommodation, kitchen and ablution units; generators; and various spare parts and
consumables.
153
ANNEX G
Definitions of United Nations Command and Control Terminologies
18.
The terms United Nations Operational Authority, United Nations Operational Control,
United Nations Tactical Control, United Nations Logistics Control and Administrative
Control are defined as follows:
(a)
United Nations Operational Authority. The authority transferred by the Member

States to the United Nations to use the operational capabilities of their national
military contingents, units and/or military personnel to undertake mandated
missions and tasks. Operational Authority over such forces and personnel is vested
in the Secretary-General, under the authority of the Security Council. United
Nations Operational Authority involves the full authority to issue operational
directives within the limits of (1) a specific mandate of the Security Council; (2) an
agreed period of time, with the stipulation that an earlier withdrawal of a contingent
would require the contributing country to provide adequate prior notification; and
(3) a specific geographic area (the mission area as a whole). The United Nations
Operational Authority does not include any responsibility for certain personnel
matters of individual members of military contingents, such as pay, allowances, and
promotions etc. These functions remain a national responsibility. In regard to
disciplinary matters, while the discipline of military personnel remains the
responsibility of the troop-contributing countries, the United Nations is responsible
for the good conduct of all military personnel.1
(b)
United Nations Operational Control (UN OPCON). The authority granted to a

military commander, in United Nations Peacekeeping Operations, to direct forces
assigned so that the commander may accomplish specific missions or tasks which
are usually limited by function, time, or location (or a combination), to deploy units
concerned and/or military personnel, and to retain or assign tactical control of those
units/personnel. United Nations Operational Control includes the authority to assign
separate tasks to sub units of a contingent, as required by the operational
necessities, within the mission area of responsibility, in consultation with the
Contingent Commander and as approved by the United Nations Headquarters. It
does not include the responsibility for personnel administration.
(c)
United Nations Tactical Control (UN TACCON).

The detailed and local
direction and control of movement or manoeuvres necessary to accomplish mission
or tasks assigned. As required by operational necessities, the Force Commander
may delegate the tactical control of the forces assigned to United Nations
Peacekeeping Operations to his subordinate Sector and/or Unit Commanders.
Accordingly, the United Nations may request the troop-contributing countries to repatriate personnel and take the
necessary disciplinary measures, as outlined in the relevant documents. United Nations will provide necessary
information to the Member States in order to process such disciplinary action.
154
(d)
United Nations Logistics Support (UN LOGSUPT). The logistics support of the
units and personnel placed under the Operational Authority of the United Nations
and the operational control of the Chief of the Military Component of the Mission
is a joint responsibility of the troop-contributing government and the United
Nations. Logistics support includes supply, maintenance, transportation and medical
support. These functions are mutually coordinated and performed by the United
Nations and the troop-contributing government(s), which may vary from one
mission to the other, and are included in the mission-specific Memorandum of
Understanding (MOU) signed by the United Nations and the Member States.
(e)
Administrative Control (ADMCON). The authority over subordinate or other

organisations, within national contingents, in respect to administrative matters such
as personnel management, supply, services, and other matters not included in the
operational missions of the subordinate or other organisations. Administrative
Control is a national responsibility given to the national contingent commander
(NCC) in peacekeeping operations
155
LESSON 5
END-OF-LESSON QUIZ
1.
In the past the UN has needed to cooperate with wider international and regional
organisations to address the concerns in localised areas, such as:
A. The Balkans;
B. The Great Lakes region of central Africa;
C. Central America;
2.
What is required for a multinational peace operations capability to be effective?

A. A standardised doctrine;
B. A superior manager;
C. Impartiality;
D. Courtesy.
3.
All of the following are key components for the deployment of any peace operation EXCEPT:
A. Logistical support;
B. Regional development;
C. Broad sustainability;
D. Funding requirements.
4.
If equipment is provided by a TCC but maintained by the UN, this is a:

A. Wet lease;
B. Dry lease;
C. Lease-back;
5.
What document establishes the administrative, logistics, and financial terms and conditions
that govern the contribution of personnel, equipment, and services provided by a TCC in
support of a UN peacekeeping mission?
A. LOE;
B. LI;
C. MOU;
D. LOA.
156
6.
Once formed contingents are deployed to the mission area, how many rotations of unit
personnel will the UN finance per year?
A. One;
B. Two;
C. Three;
D. Four.
7.
Which of the following is NOT an example of the consumable supplies or minor equipments
necessary to support the basic services under a self-sustainment contract?
A. Laundry and cleaning;
B. Medical;
C. Catering;
D. Recreational entertainment.
8.
Legal, technical, and tactical command and control issues should be resolved through LOEs,
LIs, or MOUs:
A. As part of the Security Council Resolution;
B. Prior to deployment;
C. Immediately upon arrival in the mission area;
D. When directed by the SRSG.
9.
When national contingents and military observers come under the control of a United
Nations designated commander, the transfer of Operational Authority must be completed:
A. Immediately;
B. At no hurry;
C. After an initial six-month trial period;
D. If the mission commanders desire.
10. The salary of the trained soldier, policeman, or specialist:

A. Lies with the MOU;
B. Lies with the mission commander;
C. Is a national responsibility;
D. Is a local responsibility.
ANSWER KEY:
1D, 2A, 3B, 4B, 5C, 6B, 7D, 8B, 9A, 10C
LESSON 6
LEADERSHIP, COOPERATION AND
INTEGRATION IN MISSIONS
6.1
Introduction
6.2
Mission Integration
6.3
6.4
6.5
6.6
Cooperation with NGOs
6.7
6.8
6.9
Annex A
Note from the Secretary-General
Annex B
DPKO Specific Security Arrangements
Lesson 6 / Leadership, Cooperation and Integration in Missions
158
LESSON OBJECTIVES
Understand the importance of Mission Integration;
Appreciate the importance of component leadership;
Understand UN Civil-Military Coordination, as well as some of the challenges and

solutions for effective Civil-Military Coordination;
Understand the role of a UN Country Team;
Understand the importance of cooperation with NGOs and also appreciate some of
the varying cultures and assumptions of NGOs;
Appreciate the importance of good media relations; and
Understand the security responsibilities of the host government, the SRSG, Force
Commander, and Delegated Official for Security.

6.1
159
Introduction
Today, peace operations, operating in a complex environment, are generally

multidimensional and multinational, involving a wide range of disciplines and components from
many cultures and countries. To achieve success in this environment, strong leadership,
cooperation, and an integrated response is required to maintain the critical support of the many
actors involved in supporting the mandate. The Head of Mission (HOM) and key component
commanders need to establish not only trust and teamwork within the mission, but also the
appropriate level of cooperation and coordination with a range of local and international
organisations in the region. At the same time, the mission must maintain the consent of the
parties to the conflict, the support of the UN Security Council, and the will of those Member
States providing contingents and resources to the mission. This is a difficult task that demands
good operational leadership and management, cooperation, and integration.
6.2
Mission Integration
The internal integration of a peacekeeping mission is the first priority for the HOM or
SRSG. He/she must strive for a unity of effort amongst the various components of the mission,
with an aim to synchronise their planning and activities to meet mandated tasks. The key to this
is the sharing and passage of information amongst the leadership throughout the various
component headquarters and down to the working levels in each component. This can be
achieved by daily meetings of the SRSG/HOM with component commanders and key advisers,
the sharing of advice from the strategic level (through cables, e-mails, and telephone calls) from
New York, clarifying the current situation in the mission area, and prioritizing actions and
planning. Subsequently, key staff should share this information with their colleagues and
subordinates (e.g., the FC with the DFC/CMO, sector commanders, and key staff officers) so that
common messages and guidance permeate throughout the mission.
6.3
Each component commander (Deputy SRSGs, FC, Police Commissioner, CAO, etc.)
must exercise their own leadership and provide effective direction of their component, which
will often contain a multinational mix of elements with different cultural and professional
experience. An interesting description of how the FCs in UNTAET achieved this is outlined
below:
Both Force Commanders1 employed similar mechanisms to provide unambiguous
direction. Each articulates a simple vision and concept of operations. These were
backed by a series of Commanders Directives and Operations Orders that clearly stated
the peacekeeping forces mission and tasks as well as the desired outcome. Regular
conferences were held with sector commanders; after action reviews were conducted to
confirm lessons from each major operation; and the force commander, his deputy and the
1
Lieutenant General Jaime S De Los Santas (FC UNTAET Jan-July 2000) from the Philippines and Lieutenant
General Boonsrang Niumpradit (FC UNTAET July 2000 - June 2001) from Thailand.
160
chief military observer maintained a busy programme of visits to each of the sectors.
Teamwork was established between the unarmed UN military observers and the armed
peacekeepers, and each component was given specific tasks and reporting
requirements2.
6.4
As discussed previously, the multidimensional nature of most peacekeeping missions

involves political, electoral, humanitarian, and human rights, as well as other elements. This has
resulted in increasing the interaction between the military, civilian police, and various civilian
elements in areas not directly related to security. Individual military observers, military liaison
officers, and civilian police have always performed a key role in liaising with development and
humanitarian organisations to coordinate activities and exchange information. These tasks
continue to be important to overall mission effectiveness and are best met by effective civilmilitary coordination in the mission area. This has the aim to better manage crises in a
comprehensive manner, taking into account the different mandates involved, clarifying the
responsibilities of actors, reducing overlap, avoiding waste of resources, and realising unity of
effort.
In some national and alliance militaries, the term CIMIC has been used to describe the
coordination or cooperation between the military and various civilian actors in an area of
operation. Based on experience over many years, this term and its meaning are not considered to
best describe the relationship that exists in UN field missions. The UN has, therefore, adopted
the term Civil-Military Coordination. For UN peacekeeping operations, it is defined as
follows:
UN Civil-Military Coordination is the system of interaction, involving exchange of
information, negotiation, de-confliction, mutual support, and planning at all levels
between military elements and humanitarian organisations, development organisations,
or the local civilian population, to achieve respective objectives.
The DPKO has produced a policy on this issue, dated 5 September 2002, that provides
further detail on this relationship and the related responsibilities.
Peacekeeping in East Timor The Path to Independence, International Peace Academy Occasional Paper
Series 2003, by Michael G. Smith (Deputy Force Commander UNTAET from January 2000 - March 2001) with
Moreen Dee. Chapter 5, page 149.
6.5
161
The UN Country Team (UNCT) is a grouping of UN agencies and organisations working

in a particular country coordinated under a UN Resident Coordinator, frequently from UNDP.
The UNCT has often been operating in a region well before any decision is made to deploy a UN
peacekeeping mission, and it is likely they will continue to work in a peace-building,
development, and humanitarian capacity in the region well after the peacekeeping mission
departs. It may include representatives from a range of UN agencies and organisations including
UNDP, WFP, UNICEF, UNHCR, UNHR, Mine Action Service, election advisers, the World
Bank, etc., all working closely with the host nation and local communities to combat misery and
poverty, assist refugees and internally displaced persons (IDPs), encourage development, and to
respond to emergencies.
Obviously, it is in the interest of everyone if the operations of the UNCT and the UN
peacekeeping mission are integrated to the greatest extent possible and that both organisations
support each others mandate. For this to occur, the leadership of both needs to be integrated,
with the SRSG and other key leaders in the peacekeeping mission developing trust and
cooperation with the Resident Coordinator. In some missions a Deputy SRSG is allocated
responsibility for coordination with the UNCT, and in a few missions (UNAMSIL, UNMIL) a
DSRSG has been double-hatted and nominated as the Resident Coordinator.
Whatever the arrangements on the ground, it is important that the UNCTs are consulted
closely during mission development and involved in joint planning. The peacekeeping mission
often has resources and access to areas that the UNCT needs to visit, while the UNCT often has
information and contacts through the local community that can be useful in the conduct of the
peacekeeping activities. For example, in the United Nations Mission in Ethiopia and Eritrea
(UNMEE), the UN Country Teams and Resident Coordinators (RCs) were critically involved in
assisting the initial UNMEE reconnaissance with arranging joint briefings and with their RCs
being present at meetings with the Governments of Ethiopia and Eritrea. During conduct of
UNMEE close liaisons continued assisting visits by the UNCTs to villages and IDPs in the
otherwise inaccessible and mine-ridden Temporary Security Zone along the border between the
two countries.
6.6
162
Cooperation with Non-Governmental Organisations (NGOs)
Generally defined, NGOs are private, non-profit organisations working on a wide range
of development issues, including humanitarian assistance, disaster relief, grassroots development
agencies, and advocacy groups. They are present wherever peacekeeping operations occur, often
having been involved in the region for many years before the UN authorises a peacekeeping
operation. Most operational NGOs that are present in complex emergencies and peace
operations provide critical relief to local communities, refugees, and internally displaced persons
through food distribution, provision of shelter, water, sanitation, and basic medical care. They
may be managed internationally or locally, large or small, field oriented or faith-based, and in
some mission areas they are on the ground in the hundreds.
The cultural and operational methods of NGOs are quite often at variance to that of the
UN mission. Many consider themselves to be non-partisan, rather than impartial, and are
adverse to authority and prone to independent action directed to their own aims rather than the
mandate of the UN mission. Therefore, it is important to try and establish a cooperative
relationship with the NGOs by providing them with assistance and security advice as
appropriate, and gaining their trust and supplying appropriate information to support the UN
mandate. Again, the need for careful civil military cooperation should be pursued by the
leadership of the peacekeeping mission at all levels to ensure an optimization of efforts. This
goes down to careful coordination of projects initiated by national military and police
contingents with their local communities (such as a unit dispensing food or rebuilding a local
school) to ensure that different approaches by the wide range of different organisations are well
synchronised.
6.7
When UN peacekeeping forces operating under the auspices of a UN Security Council

mandate are located in a region where large humanitarian activity is ongoing, the degree to
which these forces can be used to support humanitarian activity will be determined by the head
of the UN mission based on the mandate and capabilities of the peacekeeping force. The
mechanisms for coordination between the UN humanitarian agencies and the peacekeeping force
will also be established by this authority with careful attention to the coherence of the mission.
UN peacekeeping forces can play important roles regarding humanitarian assistance. One
way is through the provision of security, which includes relief convoys. While this is sometimes
controversial (and some relief agencies contend that armed escorts often tend to draw fire more
than they deter or protect from it), in some situations it may simply be impossible to operate
without such protection. Peacekeeping forces can also provide major logistics support to relief
efforts, especially in terms of truck and air transport.
On the downside there is often an inherent tension between humanitarian and military
operations due to their different objectives, roles, responsibilities, and operating styles. This may
be attributed to a basic lack of understanding between two essentially different cultures. In some
situations this tension may be alleviated through the establishment of a Civil-Military Operations
163
Centre (CMOC). The CMOC is staffed with military and civilian personnel and works in
support of the Resident Coordinator. UN humanitarian coordination staff may also help to
resolve misunderstandings, for example, by convening coordination meetings where
humanitarian and military staff can work out issues of common concern or by incorporating
military liaison officers into the humanitarian coordination structures.
In all cases, movement of military and civil defence resources supporting humanitarian
activities, including entry to the UN peacekeeping mission area, must be cleared by the UN
peacekeeping mission headquarters. Further details are to be found in the DPKO Policy on
Civil-Military Coordination of 9 September 2002, as well as the Note of Guidance on Relations
between Representatives of the Secretary-General, Resident Coordinators and Humanitarian
Coordinators, issued by the Secretary-General on 11 December 2000. The latter is located in
Annex A at the end of this lesson.
6.8
The relationship with the international and local media is important to the success of a
UN peacekeeping mission. A positive message in the media will improve the missions
credibility and public confidence in it. The public information staff of the mission must develop,
with guidance provided by the HOM and senior leadership team, a public information strategy
and plan that will support the agreed mandate and tasks, which can be considered by the mission
leadership and approved. Senior leaders must then be prepared to promote and implement the
relevant parts of the plan throughout their components and to positively present the relevant
media messages. They need to provide time in their schedule to discuss strategy with the public
information teams, undertake interviews for the Public Information Officer (PIO) and media, and
attend appropriate media conferences. In particular, the public information staff from different
components must work together, and it has been proven to be successful in missions, such as
UNMEE, for the military and civilian public information staff to be fully integrated and
collocated.
Most missions establish a spokesperson that is the point of contact between the media and
the mission leadership. The HOM and leadership team must develop trust with spokespeople,
keep them informed of mission activities, and listen to their advice on information matters.
Nowadays, most missions establish an information room that journalists and other media can
approach for basic data on the UN and specific data on the current mission that can assist their
coverage. Additionally, most major UN missions now establish a high power UN public radio
that can be used to independently project a clear message about the UN familys objectives,
policies and activities to the local communities over the entire UN area of operations.
Humanitarian agencies and NGOs particularly strive to establish a good relationship with
the media, as positive media reporting on their organisations can have a positive result in the
level of response achieved with their sponsors and donors. UN cooperation with NGOs and
humanitarian organisations can be improved if these organisations also have access to the UN
radio where appropriate to broadcast information on their activities.
6.9
164
The primary responsibility for the security and protection of staff members, their spouse,
dependants, and property, and of the organisations' property against disturbances in the host
country rests with the host government. This responsibility flows from every government's
normal and inherent function of maintaining order and protecting persons and property within its
jurisdiction. In the case of international organisations and their officials and property, the
government is considered to have a special responsibility under the Charter of the United Nations
or the government's agreements with individual organisations.
Nevertheless, it has been necessary for the UN to put in place a system for planning and
managing security issues which is aimed at ensuring that there is a coordinated approach toward
the protection of staff. The security of UN peacekeeping missions falls under the jurisdiction of
the SRSG and the Force Commander.
In each country where the UN is present, the Secretary-General, in consultation with the
executive heads of all UN agencies, appoints one senior official with the title of Designated
Official for Security. The Designated Official (DO) is responsible for ensuring the security and
safety of UN personnel and their eligible dependents in the country. In this regard, the DO is
accountable and responsible to the Secretary-General through the UN Security Coordinator
(UNSECOORD), to whom he/she must report all security matters. When a UN peacekeeping
mission is deployed, the SRSG is normally appointed as the DO for the mission area of
operations.
The DO will constitute a Security Management Team (SMT) to advise him/her on all
security-related matters. The composition and size of the team may vary, although most
representatives of UN agencies, programmes, and funds at the Duty Station are expected to
participate. Representatives of NGOs and international organisations may also be invited to
participate. This team will assist the DO in preparing a Security Plan for the country and, in
times of crisis, will meet frequently to review security arrangements.
In addition, the DO will, where there is a security phase in effect, grant security clearance
for UN staff and their dependants, if applicable, to enter the country whether on mission or on
assignment; ensure that all staff members and their dependants are briefed on security measures
in place at the duty station; ensure that appropriate arrangements are in place for the security of
locally recruited staff members; and given appropriate security directives to staff members in the
expectation that they will be followed.
At each Duty Station, a Field Security Officer is appointed who is directly accountable to
the Designated Official and is responsible for all physical measures related to crisis readiness and
prevention. In addition, the Designated Official, in consultation with the Security Management
Team, may appoint a number of Area Coordinators, wardens, and deputy wardens to ensure the
proper implementation of the security plan in a particular predetermined area or zone.
165
In principle, the security plan will take into consideration the particular political,
geographical, and other circumstances of the country concerned. It will consist of Five Phases,
as follows:
Phase One
Phase Two
Phase Three
Phase Four
Phase Five
Precautionary
Restricted Movement
Relocation
Mission Suspension
Evacuation
Recent history in Afghanistan and Iraq has demonstrated that the blue flag of the UN, the
symbols of the International Red Cross, and the various emblems of other relief agencies do not
provide protection. In some conflicts these groups may be considered soft targets. By attacking
relief agencies, insurgents will jeopardise the relief agencies presence, force their withdrawal,
and, therefore, advance the aims of groups that seek to disrupt the peace process.
Establishing and maintaining secure environments in the mission area is, consequently,
critical to the achievement of the mandate of UN peacekeeping missions. It is also critical to the
operations of the various development and humanitarian organisations and the NGOs.
Achieving security will require excellent cooperation, not only between the different components
of the UN peacekeeping mission, particularly the military, civilian police, and UN field security
staff, but also with any local security forces that remain and any other external security forces
deployed into the area. Again, we see a need for integration between organisations and the
development of a comprehensive security plan that covers physical protection of UN assets and
personnel, security procedures for staff and visitors, convoy procedures, and the coordination of
military and police activities to provide a secure environment for the population and external
organisations.
Detailed security arrangements can be found in the Field Security Handbook3, a
comprehensive policy document that applies to all persons employed by UN organisations
except those locally recruited consultants, UN volunteers, and UN fellows studying in the
country.
A useful booklet is Security in the Field Information for Staff Members of the United
Nations System, which contains information regarding practical, common sense measures that
each staff member can take to minimise the risks he/she may face.
A document detailing the DPKOs specific security arrangements can be found in Annex
B at the end of this lesson.
The United Nations Field Security Handbook, effective 1 January 1995. Redrafted 2004.
166
ANNEX A
NOTE FROM THE SECRETARY-GENERAL
Guidance on the relations between
Representatives of the Secretary-General,
Resident Coordinators and Humanitarian Coordinators
In my directive to Special Representatives of the Secretary-General, dated 31 August

1998, it had been indicated that further guidance would be provided on the appropriate relations
to be maintained in the field between Representatives of the Secretary-General, Resident
Coordinators, and Humanitarian Coordinators.
Since that time, extensive consultations have taken place between DPA, DPKO, UNDP,
and OCHA, with a view to defining clearly what is expected in these relations. These
consultations have been enriched, most recently, by the work of the panel on Peace Operations.
The attached note of guidance was submitted to me by the Chairpersons of the Executive
Committee for Peace and Security, the Executive Committee for Humanitarian Affairs, and the
United Nations Development Group, and I wholeheartedly endorse it.
I attach great importance to our efforts to enhance the effectiveness of the United Nations
work in the field and I am confident that you will ensure that this guidance is implemented
expeditiously in your respective areas of responsibility.
Kofi A. Annan
11 December 2000
1. This guidance applies in all situations in which the Secretary-General appoints a Special
Representative of the Secretary-General (SRSG), Representative of the Secretary-General
(RSG), or other representative or envoy, for a country in which a Resident Coordinator (RC)
and/or Humanitarian Coordinator (HC) are also in post. Part A (paragraphs 2-15) covers all
situations in which the SRSG/RSG is resident in the country. Part A (i) (paragraphs 9-12)
gives special guidance on situations in which the UN forms an interim administration or
deploys a multidimensional peace mission to implement a comprehensive peace agreement.
Part A (ii) (paragraphs 13-15) covers all other situations in which the SRSG/RSG is
resident. Part B relates to situations in which the Secretary-Generals representative or
envoy is non-resident.
A.
Relations
between
resident
Special
Representatives/
Representatives of the Secretary-General and Resident
Coordinators and/or Humanitarian Coordinators
167
2. The SRSG/RSG has the authority and the responsibility to establish the political framework
for, and provide overarching leadership to, the UN team in country, within the parameters of
the mandate established by the relevant resolution of the Security Council or the General
Assembly.
3. The SRSG/RSG should establish and regularly convene a meeting of all UN entities in the
mission area to ensure maximum coherence between all dimensions of the UN presence, as
well as a consistent public profile.
4. Within the context of the agreed coherent approach in-country, the RC1 is responsible for
the planning and coordination of UN development operations, will maintain links with
governments and other development partners for this purpose, will keep the SRSG/RSG
informed, and will represent the UN country team at donor conferences, except on those
occasions where the Secretary-General has decided that the SRSG/RSG should represent the
United Nations.
5. Similarly, the Humanitarian Coordinator (HC) is responsible for the planning and
coordination of humanitarian operations and will maintain links with the government (and
other parties to the conflict) for this purpose.
6. Information-sharing among the SRSG/RSG and the RC/HC is essential, including with
regard to the flow of information between the field and Headquarters. Major policy reports
should be prepared after consultations among them.
7. When a new peace mission is being considered, the lead department at Headquarters will
establish an Integrated Mission Task Force (IMTF) or Joint Working Group (JWG) to
ensure an integrated approach to the planning and conduct of the operation, including
consistent policy guidance. At the outset, the task force2 will ensure consistency between
the terms of reference of the SRSG/RSG and the RC/HC. The Chair of the task force will
ensure coordinated and coherent policy guidance to the mission and a free flow of
information between the task force and the mission.
8. The SRSG/RSG and the RC/HC should resolve policy differences at the field level. Where
this is not possible, the issue will be brought to the headquarters task force for resolution.
(i) Special Arrangements governing situations in which the UN establishes an
interim administration or deploys a multidimensional peace mission to
implement a comprehensive peace agreement
9. The SRSG/RSG will be responsible for giving political guidance to the overall UN presence
as well as providing the impetus for a coordinated and coherent approach by all the UN
RC and HC functions are frequently vested in the same individual. The arrangements described in this guidance
apply in all situations.
In this text, task force is used to mean IMTF or JWG, or any other Headquarters-based group established to
provide support to the field.
168
components in the country. Policy guidance related to the objectives of the mission will be
channeled to the SRSG/RSG through the Chair of the headquarters task force.
10. The SRSG/RSG, as head of the UN mission, will chair a senior management team in
country.
11. The RC/HC will, whenever feasible, serve as Deputy Special Representative/Representative
of the Secretary-General, on the basis of a decision at UN Headquarters.
12. The RC/HC will copy all policy communications with the UNDP Administrator and the
Emergency Relief Coordinator (ERC) respectively to the SRSG/RSG. The SRSG/RSG will,
in turn, copy all relevant substantive communications with Headquarters to the RC/HC.
(ii) Special Arrangements governing other situations in which there is a UN peace
mission
13. The SRSG/RSG will be responsible for giving political guidance to the overall UN presence
as well as providing the impetus for a coordinated and coherent approach by all the UN
components in the country. The RC/HC will be responsible for the coordination of
development and humanitarian operations.
14. The SRSG/RSG will chair a regular inter-agency meeting at which the political,
humanitarian, human rights and development situations will be reviewed.
15. The SRSG/RSG and the RC/HC will copy all relevant substantive communications to one
another as necessary.
B.
Situations in which the Secretary-Generals representative or

envoy is non-resident
16. The RC/HC will brief the Secretary-Generals representative on major developments and
the operational work of the UN in the country.
17. The Secretary-Generals representative will consult the RC/HC and the country team and
keep them abreast of his/her activities.
18. The Secretary-Generals representative will provide guidance on the political context to the
RC/HC and the country team.
19. In order to ensure an integrated approach to the planning and conduct of the activities,
including consistent policy guidance to the country team and the Secretary-Generals
representative, a Headquarters task force will be established. The Chair of the task force
will be determined on a case-by-case basis.
30 October 2000
169
ANNEX B
DPKO SPECIFIC SECURITY ARRANGEMENTS
This document is to be brought to the attention of personnel serving with DPKO at
Headquarters and in the field in the context of the Basic Security in the Field training
programme (Module 2).
DPKO specific security arrangements are as follows:
The Under-Secretary-General for peacekeeping operations is responsible for providing
overall guidance and specific directives to ensure the security and safety of all personnel in
DPKO-led missions. In his capacity, the USG is accountable to the Secretary-General for all
decisions that may affect security and safety issues in DPKO-led missions.
In the field, military, civilian police and civilian personnel are under the exclusive
jurisdiction of the Head of Mission (Special Representative of the Secretary-General and/or
Force Commander, Chief Military Observer or Chief of Staff, as applicable) who reports to the
Secretary-General through the USG DPKO. The Head of Mission is responsible to the USG
DPKO for the security of civilian and uniformed personnel under his/her authority, including
with respect to his/her decisions to maintain in, relocate and/or evacuate staff members from a
potentially vulnerable area. Such decisions may be taken irrespective of the phase level declared
for the area by the Designated Official.
Under the terms of their contracts, staff members who are included in the civilian
component of DPKO-led missions are obliged to serve wherever the Organisation considers
necessary. However, the spouse and dependants of such civilian staff members who are
authorised to be at the duty station are included in the overall security arrangements described in
Module 2 of the training course. Dependants of uniformed personnel are not included in such
arrangements because they have no official United Nations status and the Organisation has no
direct responsibility for them.
DPKO-led missions are deployed to implement Security Council resolutions. They may
be requested to carry out a variety of mandated tasks related to peace support, peace building,
peacekeeping, and in some cases, peace enforcement.
As such, DPKO-led missions may be deployed in a phase IV or V environment when the
UN agencies may be reducing their presence, relocating non-essential staff or even suspending
parts of their programmes. These high-level security phases (emergency operations, evacuation)
as described in the overall security management system do not apply stricto sensus to DPKO-led
missions since any major change in these missions, including reduction of presence in certain
areas and changes in the operational posture, have to be formally authorised by the Security
Council.
170
Heads of Mission (HOM)/Designated Officials (DOs)

A number of Heads of DPKO-led missions (HOM) have been simultaneously appointed
Designated Officials (DOs). Their role as Designated Officials is complementary to but does not
relieve them in any way of their responsibilities as Heads of Mission. In this dual capacity,
HOM/DOs combine a responsibility vis--vis the agencies staff, spouses and eligible
dependants at their respective duty stations with their specific security responsibilities vis--vis
all mission personnel. In this regard, they retain full authority over the deployment and redeployment of mission personnel based on operational needs in their area of responsibility,
irrespective of the phase level that they themselves might have declared/recommended for the
UN agencies, funds and programmes.
DPKO
20 October 2003
171
LESSON 6
END-OF-LESSON QUIZ
1.
What is the key to mission integration and unity of effort?

A. Strict adherence to national doctrine as determined in advance of deployment to the
mission area;
B. The careful development of solutions to ad hoc situations;
C. The sharing and passage of information amongst the leadership throughout the
various component headquarters and down to the working levels;
D. Enforcement of local laws and customs.
2.
What is UN Civil-Military Coordination?

A. Cooperation between UN military and civilian personnel as mandated in the
Security Council Resolution;
B. A doctrine for cooperation between two or more organisations;
C. The system of interaction involving exchange of information, mutual support, and
planning between military elements, humanitarian and development organisations,
and the local population;
D. Specific requirements and behaviours accepted by the parties to a dispute for the
enforcement of the terms of a cease-fire agreement.
3.
What is the UNCT?

A. The UN Coordinating Team is the organisation responsible for coordinating
military units and NGOs working in the area;
B. UN Civilian Training is responsible for providing training to all civilian personnel
on a mission;
C. The UN Country Team is a grouping of UN agencies and organisations working in
a particular country coordinated under a UN Resident Coordinator;
D. The office of UN Contracting Technology is responsible for contractual and
logistical arrangements pertaining to the use of technology in the mission area.
172
4.
What are NGOs?

A. Private, non-profit non-government organisations working on a wide range of
development issues, including humanitarian assistance, disaster relief, grassroots
development agencies, and advocacy groups;
B. New government organisations responsible for establishing political and social
institutions in newly established governments following conflict;
C. Non-government operations including business, commerce, housing, and other
private-sector functions;
D. Individual non-grouped organisations including charitable groups in a mission area
but not associated with any other network of groups and therefore operating
independently.
5.
Which of the following statements is true?

A. NGOs in a mission area are under the operational authority of the SRSG;
B. NGOs are required to receive UN-approved training before deployment to a
mission area;
C. NGOs are deployed to a UN mission by TCCs in the same way that troops are
provided;
D. The cultural and operational methods of NGOs are often at variance to that of the
UN.
6.
What is the best approach to working with NGOs?

A. Establish a cooperative relationship by providing them with assistance, information,
and security advice as appropriate and gain their trust to support the UN mandate;
B. Negotiate a contract for them to perform a function as part of the UN mission;
C. Offer to fund their operations from the UN budget;
D. Require their compliance with UN doctrine as a pre-condition to remaining in the
mission area.
7.
What are some of the possible explanations for inherent tensions between humanitarian and
military operations?
A. A lack of organisation and definition by NGOs;
B. Different objectives, roles, responsibilities, and operating styles;
C. The inherent ad hoc nature of NGOs and their parent organisations;
D. The narrow focus and one-issue goals of some in the NGO community.
173
8.
What is one reason why NGOs strive for good relationships with the media?
A. NGOs depend on the media to publicise their operations to the population they
serve;
B. NGOs are concerned that negative media reports may make them ineligible for
government contracts;
C. Positive media reporting can have a positive effect on the level and response of
their financial supporters;
D. NGOs depend on the media to assist with recruiting volunteers.
9.
What organisation has primary responsibility for the security and protection of staff
members, their spouses, dependants, and property against disturbances in the host country?
A. UN Civilian Police;
B. The Force Commander;
C. The SRSG;
D. The host government.
10. When a UN peacekeeping mission is deployed, who is normally appointed as the

Designated Official for Security?
A. The CIVPOL Commander;
B. The SRSG;
C. The Force Commander (except when also the Head of Mission);
D. Any of the above as stated in the Security Council Resolution.
ANSWER KEY:
1C, 2C, 3C, 4A, 5D, 6A, 7B, 8C, 9D, 10B
174
LESSON 7
UN PEACEKEEPING MISSION STRUCTURES,
POLICIES AND SOPs
7.1
Mission Structure
7.2
Civilian Components
7.3
Military Component
7.4
Police Component
7.5
Lesson 7 / UN Peacekeeping Mission Structures, Policies and SOPs
176
LESSON OBJECTIVES
List the various components that may comprise a multidimensional peacekeeping

missions and be familiar with their functions;
List and briefly discuss the roles and responsibilities of the Office of the SRSG;
List and briefly discuss the tasks the CAO is responsible for in support of the mission;
Be familiar with the work and responsibilities of a mission human rights component;
Be familiar with the function of Disarmament, Demobilisation, and Reintegration;
Be familiar with the organisation of a military component on a mission;
Understand the mandate and responsibilities of the Integrated Mission Training Cells;
Understand the responsibilities and functions of the mission Mine Action Coordination
Centre; and
List and briefly discuss typical CIVPOL responsibilities.

177
7.1
Mission Structure
The mandate and, therefore, the organisational structure of each peacekeeping mission
will be different, although with experience across a number of multidimensional missions, some
standard practices and structures are emerging. Most missions consist of political, military,
civilian police, criminal justice, civil affairs, human rights, disarmament, demobilisation and
repatriation, public information, and support components. The Head of Mission is a civilian
SRSG who is responsible for the implementation of the mandate and has authority over all
components of the UN mission operating in the mission area.
Many missions have one or more Deputy SRSGs. One is normally responsible for
coordination with other UN agencies and, in particular, humanitarian coordination, rehabilitation,
recovery, and reconstruction. A second DSRSG may be responsible for operations and rule of
law, although this may be managed directly from the Office of the SRSG.
The outline organisation of a typical multidimensional peacekeeping mission (in this case
UNMIL) might look as follows:
Guidelines for TCCs Deploying Military Units to UNMIL
MISSION STRUCTURE
Special Representative of the Secretary-General
Deputy SRSG
(Operations and Rule of Law)
Civil Affairs
Section
Corrections and
Prison Advisory
Service
Human Rights and

Protection Section
Office of the
Civilian Police
Commissioner
Legal and Judicial

System Support
Division
Electoral Advisory
Unit
Division of Administration
Administrative
Services
Integrated Support
Services
Office of the Force

Commander
Chief Military
Officer
Deputy SRSG (Humanitarian

Coordination, Rehabilitation,
Recovery and Reconstruction)
Relief, Recovery
and Rehabilitation
Section
Resource Mobilization
and Trust Fund
Programme, Quick
Impact Projects Unit
Integrated Humanitarian
Coordination and NGO
Liaison Unit
4 Sectors
178
Another example of mission organisation is provided below:

UNMEE ORGANISATION
SRSG
D/SRSG
ASMARA
FC
DFC/CMO
F-MAC
POLITICAL
PIO
D/SRSG
ADDIS
CAO
HRO
HQ
ASMARA
SAO
ADDIS
MCC
ASMARA
ADDIS
AO-SW
FORCE HQ
FD CENT
BARENTU
FORMED
UNITS
SECT-W
FD CENT
SENAFE
FD CENT
AIGRAT
FD CENT
SENAFE
UNMOS
SECT-C
FD CENT
MEKELE
AO-SC
AO-SE
SECT-E
Organisation and Mission of the Office of the SRSG

The Secretary-General, with the approval of the Security Council, appoints the head of
peacekeeping operations in a mission area. He/she determines the further delegation of authority
in the field on behalf of the Secretary-General.
The SRSG is supported by political and mediation staff who assist in the diplomatic
efforts to resolve the conflict. Key staff normally includes a senior political adviser, who
manages a political section, a senior legal adviser and staff, a chief of staff who coordinates the
SRSG office, and a number of personal security and administrative staff. The roles and
responsibilities of the Office of the SRSG normally include:
Providing leadership to the mission;

Executing the Security Council Resolution based on delegation of responsibility from the
Secretary-General;
Managing the political aspects of the mission to include the resolution and the mandate,
and representations to the parties to the conflict and the host nation;
Coordinating the overall peacekeeping operation by providing unity of effort and
harmonizing that effort through personal leadership;
Coordinating the United Nations response on the ground, including all policy and
operational objectives;
Monitoring and supervising the roles of the various components in the mission area (with
the assistance of any DSRSGs, the FC, and other component commanders); and
Assisting all international action to alleviate human suffering in the mission area
(working closely with the UN Resident Coordinator).
179
7.2
Civilian Components
The Chief Administrative Officer (CAO), or Director of Administration, is responsible

for the administration of the mission, including budget preparation, financial commitments, and
the provision of common support services. Mission level logistics common to military, police,
and civilian components are normally handled by an integrated service support organisation that
is jointly staffed. A Chief of Integrated Services (CISS) reports directly to the CAO and is
supported by a military deputy who coordinates those military support assets provided by TCCs.
The Deputy CISS is under the operational control of the FC.
Integrated Organization
DOA/CAO
FC
Joint Operations
Centre
Chief Admin
Services
JLOC
Joint Staff
All Air and Surface

Transport Assets
Commodity
Contracts
MOVCON
Air Operations
Chief Integrated
Support Services
CLO/ACOS Log
Commodity Unit
COE
Log Ops
UN Light Tpt
CTO
SO Transport
Comcen & Signal Units
CITS
Force Signal O
CE
Force Engineer
BMS &Engineer Units

UN Med Clinic & Field Hosp
Integrated Warehouse
Medical Officer Force Medical O

Chief, Supply
SO Supply
Only the CAO has the authority to make contractual arrangements for the use of a wide
range of local resources that are then coordinated for mission components and contingents
through the UN and military staff resources available to the CISS. Formed units are supplied,
normally through the use of contractors, with supplies like food and fuel.
The civil administrations tasks in support of the mission may include:
Supply support, procurement and re-supply;

Food services;
Transportation;
Maintenance of vehicles and equipment;
Field construction engineering and technical services;
Aviation and air services;
Signals and communications;
Personnel administration and services;
Security services;
180
Budgeting and financial services;

Health services;
Postal and courier services; and
Staff assistance.
In some operations, the Civilian Administration may even be responsible for support and
functioning of the local government; for example, in UNTAET in East Timor.
Security Section
The SRSG is responsible for the security of all UN civilian and military personnel
serving in the peacekeeping mission. To assist the SRSG, a mission UN security coordination
section is included in each peacekeeping mission, headed by a trained UN professional security
officer and including international field security staff (with experience in several missions) and
locally engaged security staff. UNHQ will also appoint a Designated Official in each mission
area who is responsible not only for the security of all peacekeeping personnel, but also for the
security of staff members and authorised dependants (if any) of UN agencies, programmes, and
funds in the mission area. In peacekeeping missions the DO is normally the SRSG/HOM. In the
past, there have been some confusing relationships between SRSGs and Resident Coordinators
(as head of the UNCT) in the appointments of Designated Officials in overlapping mission areas
and their various separate reporting responsibilities to the Under-Secretary-General of the DPKO
and the Under-Secretary-General of Security Coordination. As a result of recent reviews of
security in UN missions, it is expected that a clearer policy will soon be issued on the
coordination of security responsibilities.
Confusion can be overcome if the leadership in a mission area is operating in a
coordinated manner (as discussed in Lesson 5). Regional and Mission Security Management
Teams need to consider all aspects of security, ranging from individual security of UN
(international and local) staff and their dependants, contingent force protection, facilities and
movement protection, and practical security measures. They need to implement appropriate
common mission security procedures. In particular, at all levels the UN field security staff, and
the security staff of military, police, and other civilian components need to coordinate their
activities. For example, all mission members should be required to possess and display as
required a common authorised UN mission identification card.
Other Civilian Components
Depending on the mandate of the peacekeeping mission, a number of other civilian
components will be part of the UN mission. These components will normally be located
centrally adjacent to mission HQs, but they may also have some elements operating across the
mission area and at sector locations. These components will coordinate their activities through
the DSRSGs. They could include the following components.
181
Electoral Component. Some peacekeeping missions have the mandate of supervising

and organizing free and fair elections.
Where the mandate exists
there
is
an
Electoral
Component. It is made up of
civilians,
mostly
recruited
through the system of United
Nations Volunteers (UNV),
organised in regional groups and
under the authority of a Chief
Electoral Officer to monitor the
process of elections and verify,
on behalf of the international
community, that the elections are
free and fair. They are deployed
in small teams in all the electoral
districts of the mission area.
Children in Windhoek, Namibia, hold up UNTAG stickers that read
Free and fair elections in Afrikaans. April 1989.
The following is an example from the DPKO Handbook on United Nations

Multidimensional Peacekeeping Operations1:
Electoral Assistance in Timor-Leste
In July 2000, as part of the preparations for Timor-Lestes constitutional development and elections, the UN
dispatched a mission to Timor-Leste to conduct a technical needs assessment, evaluate the capacity of local and
regional actors and prepare an initial planning document for the development of Timor-Lestes electoral capacity.
The mission also held in-depth discussions with Timor-Leste leaders and civil society to ensure that the missions
recommendations would reflect their hopes and expectations. It was crucial to outline realistic expectations based
on the relatively short time frame that was proposed for the transition to independence without compromising the
integrity and credibility of the constitution-making electoral processes.
In October 2000, the UN sent two teams of electoral experts to Timor-Leste to establish the electoral component of
the United Nations Transitional Administration in East Timor (UNTAET), an electoral systems education team and
a planning and design team. Their main tasks were to design the structure of the electoral management body
(EMB) in charge of preparing and conducting the elections, develop a comprehensive operational plan for the
conduct of the 2002 elections, design a capacity-building programme and establish a voter education and
information programme.
The electoral component of UNTAET was fully staffed in March 2001 and in May, the Secretary-General
appointed five members of the Independent Electoral Commission of East Timor. The elections for the Constituent
Assembly in Timor-Leste were held on 30 August 2001. Timor-Leste became independent on 20 May 2002 and
joined the UN on 27 September 2002.
Department of Peacekeeping Operations, December 2003, Page 149.
182
Gender and Child Protection. Many peace operations address womens rights and
child protection concerns in the execution of their mandate, often in collaboration with the
United Nations Country Team (UNCT). In peacekeeping missions there will be personnel from
many different backgrounds and cultures. The concept of childhood and gender mainstreaming
issues is understood differently in different contexts, but in the UN context, peacekeepers are
obliged to uphold the internationally accepted and agreed upon common standards for gender
respect and child rights. The staff of the section will coordinate action to make the local
authorities and armed factions aware of the rights of women and children and to establish
monitoring and support structures in order to prevent abuses; map the extent and type of
problems that exist; and focus humanitarian programmes specifically on the needs of women and
children to assist them with basic needs, education, and other developmental needs that will be
most effective according to local customs and cultures.
Public Information. Each mission has a Public Information Office (PIO). The PIO will
develop and manage the communications strategy, assist the media, and ensure that the local
population is informed about the mandate and the peace process. The PIO may operate its own
radio station, or broadcast on local stations, produce video material for television, and publish
information brochures, posters, and pamphlets, all in a number of local languages. They will
employ local staff, usually journalists, who have good knowledge and understanding of local
customs and traditions, accredit journalists to have access to the UN, and will issue ID cards to
reporters that can be checked by contingents in the field.
The PIO works closely with the military public information structures the military
spokesman and the military public information officers attached to contingents in
implementing the mission public information plan and communications strategy.
Human Rights Component. Most current peace operations include a human rights
component operating under the authority of the SRSG. It is comprised of civilian specialists
under the direction of a representative jointly appointed by the High Commissioner for Human
Rights and the USG DPKO. Their tasks include the investigation and follow-up incidents where
alleged violations of Human Rights have taken place. They have a very important role in
complex peacekeeping, as one of the characteristics of these operations is the recurrence of
Human Rights violations toward the local population, specifically women and children.
Their work may include:
Monitoring and investigating Human Rights violations;

Reporting on Human Rights violations;
Assisting the host government in developing laws complying with international Human
Rights norms, creating institutions able to protect and promote Human Rights, and
training military, police, and other government officials;
Working with local non-governmental organisations to strengthen their capacity to report,
analyse, and develop programmes for the advancement of Human Rights; and
Dealing with problems related to specific groups, such as women, internally displaced
people, and children.
183
Disarmament, Demobilisation, and Reintegration (DDR). The mandate from the

Security Council may include elements of Disarmament, Demobilisation, and Reintegration. It
is recognised that if the soldiers and combatants do not get disarmed and integrated into society,
peace will not be stable.
Former UN missions in South America, as well as in Africa, have had this mandate and
have facilitated the return of soldiers and combatants from warring factions to civilian life. One
difficult aspect to accomplish is the reintegration of these individuals, who may include male,
female, and child soldiers, into the civil society. The major parts of the reintegration will be the
responsibility of UN humanitarian agencies, non-governmental organisations (NGO), and
national authorities. The role of the peacekeeping military and police, humanitarian agencies,
and the NGOs should be seen as complimentary. The military tasks related to DDR are normally
in disarmament and demobilisation and are relatively easy to achieve, while the reintegration
(civilian parts) demands huge resources, especially in regard to planning and money. The role of
the United Nations Civilian Police varies. If the CIVPOL has an executive mandate and
resources, it may perform a number of tasks in support of DDR processes.
DDR processes vary from mission to mission. An example is the DDRRR process in
MONUC, where the first R is repatriation of foreign forces, and the two other Rs are relocation
and resettlement of ex-combatants and internally displaced persons.
184
7.3
Military Component
The military component will normally consist of a Force Headquarters and a number of
Sectors. A Force Commander, normally of rank Major General or above, will be appointed as a
UN staff position (see the table in Lesson 4 on page 86). The FC will exercise UN operational
control of the military component including the staff, military observers, and formed units. If
military observers are deployed, there will be a Chief Military Observer (CMO), who is under
the command of the FC and who has operational control of the Observer Element. In missions
with large military components, a Deputy FC (DFC) is appointed who will normally also be
responsible for the military observers and is then called a DFC/CMO. Again, the DFC/CMO is
normally a UN staff appointment.
Military Component Generic Organisation
FC
(Force Commander)
COS
(Chief Of Staff)
Military Staff
Formed Units
Infantry Units
Task Forces
Medical
Engineers
Transport
Logistics
CMO
(Chief Military Observers)
Sector HQ
UNMO Teams
UNMOs Teams
The FC coordinates the military contingents provided by TCCs through a Force

Headquarters (FHQ), normally collocated with the mission headquarters, which controls the
functioning of the formed units and sectors. It consists of the normal staff sections designed to
support the FC. These include:
Office of the Force Commander/Deputy FC

Military Personnel Staff
Military Information
Operations (current and future plans)
Logistics
Civil-Military Cooperation
Engineer
Military Information
Military Protocol
Military Legal
Military Observer HQ
A Force Military Police unit and a FHQ Support unit are also normally attached to the FHQ.
185
UN Military Observer Group HQ. The UNMO HQ is normally integrated into FHQ. It
is commanded by the Chief Military Observer (CMO) who reports to the FC (in most missions,
the DFC and CMO positions are now combined). This HQ coordinates the activities of the
UNMOs who are organised into sectors and teams as appropriate to the terrain and tasks.
Wherever practical, at all levels, the UNMO and force elements are collocated to ease security
and support requirements, and their activities are fully integrated.
Sectors. The military contingents will be deployed tactically across the mission area to
support the mission mandate in accordance with a Concept for Operations. They will be grouped
where appropriate into sectors that operate in a defined region. Each sector would have a small
military sector headquarters, normally located at a key town or infrastructure centre in the region,
which would be commanded by a Brigadier General and contain a mixture of military combat
(normally light infantry) and support units.
Sectors may by multinational or contain units principally from just one TCC or regional
arrangements (e.g., ECOWAS, SHIRBRIG, SADC). A military observer element may be
allocated to a sector under control of a sector senior UNMO. If the civilian component is
decentralised across the mission area, then the civilian sector elements would normally also
collocate with the military sector HQs.
The organisation of the Military Force into Sectors and Force Reserve elements is shown
for UNMIL below:
186
UNMIL Military Structure

Lt Gen
Force Commander
Brig Gen
Chief of Staff
Maj Gen
Deputy FC/Chief UNMO
Brig Gen
Sector 1
Monrovia
Brig Gen
Sector 2
Gbarna
Force Reserve Bn
Ireland
Brig Gen
Sector 3
Tapeta
Brig Gen
Sector 4
Zwedru
NigBatt 1
Pak HQ
Ban HQ
Eth HQ
NigBatt 2
NamBat 1
BanBatt 1
EthBatt 1
G-Bissau Batt
PakBatt
BanBatt 2
EthBatt 2
Senegal Coy
PakBatt
BanBatt 3
MorBatt (TBC)
Benin Coy
Hospital Pak
Hospital Ban
Hospital China
Ghana Coy
Engineers Pak
Engineers Ban
Engineers China
Mali Coy
UNMO
UNMO
UNMO
Attack Aviation
Ukraine
Utility Aviation Ukr
Ukraine
MR Engineers
Bangladesh
Road & Airfield
Eng. Pakistan
Level 3 Hospital
Jordan
Logistics Tpt Coy
China
Gambia Coy (-)

Togo Coy (-)
Eng (TBC)
UNMO
Provided by UNMIL TCCs Guidelines, Dec. 2003
187
Central Reserve and Force Elements. In most missions, a mobile reserve of infantrybattalion group size (about 700+ personnel) is maintained under the command of FHQ and is
available to deploy in order to reinforce outlying sectors or to carry out any unanticipated task at
short notice. Additionally, certain key capabilities will be located centrally to support the whole
mission and allocated out to sectors on an as-required basis. Force elements might typically
include construction engineers, aviation and helicopter units, transport units, and Level 3
hospitals.
Integrated Mission Training Centres and Cells
The Brahimi Report highlighted the need for qualified and well-trained UN peacekeepers.
The Secretary-Generals Report (A/55/502 Para. 74 dated 20 October 2000) provides the
Mandate for establishing training cells in all UN Missions:
I also intend to establish, as a matter of practice, training cells in each mission to
conduct regular training for mission personnel at all levels and in all components.
Provision will be made in the budgets of peace operations for such training.
Mission Training Cells (MTCs) were established in ten UN peacekeeping missions in
2003, with more to be developed. In larger missions, such as UNMIL and MONUC, these are
developed into integrated mission training cells, addressing all aspects of civilian, military, and
police training. They conduct integrated induction training for all individuals and contingents
arriving in the mission area according to the HOMs guidance. MTCs also conduct periodic
refresher training and preparation for future phases of the mission. In some missions, they also
coordinate firing range practices and procedures.
Mine Action Coordination Centre
In both humanitarian situations and in support of peacekeeping operations, UNMAS in
the DPKO is responsible for ensuring that there is a coordinated UN mine action response. This
often requires the immediate deployment of personnel, followed by the deployment of equipment
to ensure that the response is coordinated effectively.
Mine action is a critical function
within a peacekeeping mission that must
be well coordinated with the UN Country
Team and with local and international
donors and authorities. Normally, a Mine
Action Coordination Centre (MACC) is
established to oversee the range of
operational and humanitarian demining
activities.
The head of the MACC
normally reports to the SRSG through one
of the deputies.
UN personnel using a mechanical mine clearer to
clear an operational area.
188
The structure of the MACC will reflect the integrated mine action plan, but in general
they will be responsible for:
the coordination and planning of all mine action activities in their area of responsibility;
the provision of technical advice to the national mine action authority;
the maintenance of mine action records and data bases; and
the investigation of mine action related accidents and incidents.
The following is an example from the DPKO Handbook on United Nations

Multidimensional Peacekeeping Operations2:
United Nations Mission in Ethiopia and Eritrea (UNMEE)
As part of the UN peacekeeping mission in Eritrea and Ethiopia, in 2000, UNMAS established the
UNMEE MACC to support the peacekeeping and humanitarian relief efforts in the temporary security
zone. MACC also assists the Eritrean authorities with collecting, analysing and disseminating
mine/UXO information.
The Centres programme manager reports to the DSRSG on mine action issues that concern the
peacekeeping operation in the temporary security zone and to the UN Resident Coordinator on issues
that relate to the longer term development of national mine action institutions.
UNMEE also established a Mine Action Coordination Group to effectively and consistently oversee
implementation of the mine action programme for Eritrea. This group, chaired by the DSRSG, included
the Resident Coordinator, the Force Commander and other senior UN officials along with technical
staff from mine action organisations.
7.4
Police Component
Civilian Police play an increasingly important role in United Nations peacekeeping.

From the operational standpoint, the Civilian Police is a separate component of the Peacekeeping
Mission under the command of a Police Commissioner, who either reports directly to the SRSG
or to one of the Deputy SRSGs. At the same time, the CIVPOL component will complement and
work closely with other components, e.g., military, humanitarian, electoral, and administrative
components in the mission. A strong interrelationship with other components must be assured to
guarantee the success of the CIVPOL mandate.
Principal Functions. The principal function of the United Nations Civilian Police is to
monitor the local police as decided by the Security Council in the adopted resolution for the
mission. In the UNCIVPOL role of supervision and control of the local police, the protection of
human rights should be ensured as described in the Guidelines for UNCIVPOL, e.g.:
Department of Peacekeeping Operations, December 2003, Page 79.
189
The role of the United Nations police monitors would be to ensure that the local police
forces carried out their duties without discriminating against persons of any nationality
or abusing anyone's human rights.
Even when the role of monitoring the local police has been the principal function,
additional functions may be given to the UNCIVPOL. In several missions, an additional
function has been the training of local police or assistance to such training.
In missions where an election is scheduled during the mandate period, UNCIVPOL will
perform tasks related to the election and assist the electoral component. Another function can be
assistance to humanitarian agencies.
Typical CIVPOL responsibilities could include:
Ensuring that law and order are maintained effectively and impartially;
Ensuring that human rights and criminal justice standards are fully respected;
Monitoring the law enforcement activities of local officials;
Supervising or controlling the local civilian police;
Carrying out general police duties, such as the investigation of incidents;
Supervising the return of refugees and POWs;
Supervising the demobilisation of local police forces;
Assisting in registration and election procedures; and
Assisting in the retraining of local police forces.
UN Civilian Police in Bosnia-Herzegovina respond to concerns

of a local resident at a shopping market. (UN Photo Library)
190
The Structure of the UN Civilian Police Component will depend on the mandate of the
mission. Normally, it will comprise of:
The Office of the Civilian Police Commissioner

The Deputy Civilian Police Commissioner, normally directly supervising the:
Operations Section
Liaison Section
A Chief of Staff, who reports to the Deputy and is responsible for coordinating the:
Logistics section
Personnel and Administration section
Inspection and Training section
Internal investigation and Performance Assessment section.
CIVPOL stations and elements are likely to be deployed across the mission area under
police regions, districts, and stations that relate to the local community centres and towns.
Where appropriate, the UNCIVPOL deployments should be integrated into the various mission
sector facilities and processes to ease administration and security.
7.5
Within each mission and force headquarters, basic

operational procedures will be documented and used as a
reference for standard activities. Based on experience in
both traditional missions (e.g., UNDOF, UNTSO) and
recent multidimensional peacekeeping missions (e.g.,
UNAMSIL, UNMEE), the DPKO is developing a draft
FHQ SOPs for use in developing mission-specific SOPs.
Each mission develops its own Standard

Operating Procedures. Shown above is
the SOP document for UNDOF.
(Provided by Benjamin Klappe)
191
LESSON 7
END-OF-LESSON QUIZ
1.
Which of the following is NOT among the direct responsibilities of the SRSG?
A. Providing leadership to the mission;
B. Executing the Security Council Resolution based on delegation of responsibility
from the Secretary-General;
C. Managing the political aspects of the mission to include the resolution and the
mandate, and representations to the parties to the conflict and the host nation;
D. Supply support, procurement and re-supply.
2.
The CMO reports to the:

A. SRSG;
B. FC;
C. Chief of Staff of FHQ;
3.
Who on the mission has the authority to make contractual arrangements for local resources?
A. Only the CAO;
B. Either the CAO or the CISS;
C. The CISS;
D. The PIO.
4.
The MTC is responsible for:

A. The pre-deployment training of all military and police contingents;
B. Preparing the training programmes for military and police contingents;
C. Coordinating the in-mission training requirements as directed by the HOM;
5.
Typical CIVPOL responsibilities could include:

A. Assisting in the retraining of local police forces;
B. Supervising the return of refugees and POWs;
C. Monitoring the law enforcement activities of local officials;
192
6.
The civil administrations tasks in support of the mission do NOT include:

A. Laundry;
B. Maintenance of vehicles and equipment;
C. Signals and communications;
D. Food services.
7.
What among the following is included in the tasks of the human rights component?
A. Enforcing International Humanitarian Law;
B. Investigating and following up on incidents where alleged violations of Human
Rights have taken place;
C. Punishing violators of human rights;
D. Assisting customs officials in identifying possible violators of human rights.
8.
What are some of the specific groups that require the special attention of the Human Rights
Component?
A. Business leaders;
B. Political leaders;
C. Foreigners;
D. Women and children.
9.
Why is DDR important?

A. In some cases the employment of previous combatants is guaranteed by the terms of
the cease-fire;
B. Demobilisation of military units is included in the terms of surrender;
C. If soldiers and combatants do not get disarmed and integrated into society, peace
will not be stable;
D. DDR provides the mission with the justification for peace enforcement.
10. The PIO may NOT:

A. Operate its own radio station;
B. Publish information brochures;
C. Work independently from the military public information structure;
D. Broadcast on local stations.
ANSWER KEY:
1D, 2B, 3A, 4C, 5D, 6A, 7B, 8D, 9C, 10C
LESSON 8
NATIONAL AND CONTINGENT COMMAND
IN MISSIONS
8.1
8.2
8.3
8.4
Lesson 8 / National and Contingent Command in Missions
LESSON OBJECTIVES
Appreciate the importance and duty of national contingent headquarters;
Understand the definition and purpose of National Support Elements; and
Be familiar with the national issues in peacekeeping missions.

194
8.1
195
Countries contributing resources to a UN peacekeeping mission, such as military or

police contingents, normally deploy a small national command element to the mission area as the
national command authority for these contingents. They nominate a national contingent
commander who has the authority to represent the contingent in discussions relating to the local
activities of the contingent in the mission area, as appropriate. The national contingent
commander is normally the senior national officer from the troop-contributing countries,
excluding any national officers appointed on UN contracts (such as the FC, Police
Commissioner, or DFC/CMO). In practice, it might be a battalion commander, a police
company commander, or a senior staff officer allocated to the mission.
The following comment by a DFC in UNTAET1 on the relationship between the military
leadership and these national contingent commanders is instructive on how this relationship
should be conducted.
Particular recognition was given to each of the national contingent commanders, each
of whom was afforded unrestricted access to the force commander and deputy
commander. They and their staffs were encouraged to meet regularly with the senior
military staff at force headquarters, affording the opportunity to confer on operational
issues, provide updates and pass on relevant information. This had the additional benefit
of enabling the commanders to provide timely and accurate information to their national
capitals without subverting the more formal lines of communication from New York on
matters of policy. They were also encouraged to raise concerns and were frequently
consulted to resolve (or prevent) specific problems.2
Issues that arise between a TCC and the UN in a mission that cannot be resolved between
the national contingent commander and the HOM should be referred to the government of the
TCC and to the DPKO for resolution through the Permanent Mission of the TCC and the UN in
New York.
The national contingent HQs report back to the national authorities on national issues.
These HQs are normally located near mission HQ or where the bulk of the contingent is
deployed. They are granted UN status in the mission but may not be fully covered under
financial reimbursements.
8.2
NSE are defined as personnel, services, and equipment proposed to be deployed by TCCs
to a UN peacekeeping operation, in addition to the capabilities and force strength formally
required or different from the force composition set out in the UN concept of operations for the
1
Major General Mike Smith, from Australia, who was Deputy Force Commander UNTAET from January 2000 March 2001.
Peacekeeping in East Timor The Path to Independence, International Peace Academy Occasional Paper Series
2003, by Michael G. Smith with Moreen Dee. Chapter 5, Page 126.
196
mission and additional to that agreed to under the MOU. Such excess personnel may be
deployed to a UN peacekeeping operation with the prior approval of the UN, if it is assessed by
the TCC and the UN to be needed for national purposes. The differing types of NSE are
categorised by function as follows:
a. NSE (Administration). NSE(A) is that additional administrative capability that a TCC
seeks to deploy to undertake national administrative tasks for that TCCs contingent.
b. NSE (Logistic). NSE(L) is that additional logistic capability that a TCC seeks to deploy
to enhance logistic support to its contingent.
c. NSE (Operational). NSE(O) is that additional military capability that a TCC seeks to
deploy to enhance the operational capability of its contingent.
In some cases, TCCs wish to deploy personnel whose function it is to undertake national
administrative tasks for their contingent and which are above and beyond the required strength.
Such tasks include the maintenance of communications between the TCC and its contingent, and
the provision of postal, pay, welfare, movement, and other support services of a national nature.
These national functions may be considered important to the well-being and support of
contingents and, therefore, the UN may, subject to a review of such functions by the DPKO,
agree to include such personnel in the overall contribution by the TCC under the provisions of
the MOU, especially if the numbers involved are small.
Furthermore, TCCs may also seek to deploy military operational, support, and logistic
capabilities for national purposes, in addition to the capabilities and force strength formally
required or different from the force composition set out in the UN concept of operations for the
mission. Such initiatives will be reviewed in light of the principle of unity of treatment and
command and control of contingents within an operation. However, circumstances will differ
and the UN may occasionally decide to accommodate the deployment of such additional
personnel and equipment under the provisions of the MOU3. The overall force strength
authorised by the UN Security Council should not, however, be exceeded without recourse to,
and further authority of, the Security Council.
Once the UN has agreed to include national capabilities, services, or equipment proposed
by a TCC in the MOU between the UN and the TCC, such contributions become part of the UN
operation and will, therefore, no longer be regarded as NSE.
Letters of Assist (LOA)
Arrangements may be made through the CAO for specific national requirements to be
met through a Letter of Assist (LOA). An LOA is a contracting method by which the UN
arranges for the provision of special supplies or services by a government, based on the issue of a
numbered LOA as authority. The OMS at UNHQ, New York, has the authority to issue
LOAs, which must be signed by representatives of the Member State and the UN. Invoices
3
Under other circumstances, additional national capabilities may be deployed in consultation with the host state,
on the basis of a bilateral understanding between that host state and the TCC, and outside the UN framework.
197
related to these supplies and/or services must show the LOA number in order to permit
verification of receipt and, thus, support the associated expenditure. Therefore, contingents must
quote the full LOA reference in all correspondence on the subject, including invoices and
shipping information. LOAs are used when:
A special need arises for essential items or services that are not available from normal
sources of supply;
A contingent's home government is the only logical source of supply;
A contingents COE MOU does not cover the items or services required; and
Military aircraft or naval vessels are contributed by a TCC.
Legal Status
Personnel deployed above the strength authorised in an MOU, even though they are a
national responsibility and not subject to reimbursement or support from the UN, shall be part of
the contingent and enjoy the legal status of members of the peacekeeping operation as set out in
a Status of Forces Agreement. The troop-contributing country will not, however, receive any
reimbursement in respect of these personnel. The UN will not accept any financial obligation or
responsibility in connection with such personnel or provide such personnel with support or
services.
Dress and Marking
All civilian, military and civilian police personnel deployed to a UN mission as part of a
national contingent should, for reasons of presentation and uniformity, be visibly identified with
the UN. Personnel, whether deployed within or above the level agreed to in an MOU, are
regarded as members of a UN peacekeeping operation and are authorised to wear light blue UN
beret, hat, or other headdress and accoutrements as appropriate. All vehicles of these troops are
authorised to bear UN colours and markings.
8.3
The correct application of command and control in peacekeeping operations is

paramount. Effective command and control is essential for the successful accomplishment of
military tasks and objectives. In the field, it is imperative that sound and effective command
relations among the contingents are developed through coordination, liaison, integration, and
cohesiveness, resulting in unity of effort.
This task is easier said than done; command and control over the military components of
a United Nations Peacekeeping Operation, composed of different national contingents and/or
military observers, has always been a challenge. While serving with the United Nations,
military personnel remain members of their national armed forces. The operational
authority over such forces and personnel is, however, transferred to the United Nations. This
authority, vested in the Secretary-General, is exercised by the United Nations in accordance with
the mandate authorised by the Security Council.
198
As a result of consultations with troop-contributing countries, keeping in mind the

preference of Member States in 1995 when the Department of Peacekeeping Operations issued
General Guidelines for Peacekeeping Operations4, the term Operational Authority was used
to define the relationship between national contingents and the United Nations. This is defined
as follows:
United Nations Operational Authority. The authority transferred by the Member States
to the United Nations to use the operational capabilities of their national military
contingents, units and/or military personnel to undertake mandated missions and tasks.
Operational authority over such forces and personnel is vested in the Secretary-General,
under the authority of the Security Council. United Nations Operational Authority
involves the full authority to issue operational directives within the limits of (1) a specific
mandate of the Security Council; (2) an agreed period of time, with the stipulation that
an earlier withdrawal of a contingent would require the contributing country to provide
adequate prior notification; and (3) a specific geographic area (the mission area as a
whole). The United Nations Operational Authority does not include any responsibility
for certain personnel matters of individual members of military contingents, such as pay,
allowances, and promotions etc. These functions remain a national responsibility. In
regard to disciplinary matters, while the discipline of military personnel remains the
responsibility of the troop-contributing countries, the United Nations is responsible for
the good conduct of all military personnel.
It was clarified that Operational Authority includes the authority to assign separate
tasks to sub-units of the contingents and general responsibility for logistics support.5 It was also
noted that while the detailed logistics arrangements may vary, they are worked out in the course
of planning for an operation in consultation with contributing governments.
Various issues pertaining to the employment of national contingents in peacekeeping
operations are resolved through mutual consultation between the contributing countries and the
United Nations. The United Nations must be able to exercise freedom in utilizing the operational
capabilities of the forces assigned to the organisation within the mandate authorised by the
Security Council. However, it might accept some restrictions on the use of these contingents
without compromising the operational effectiveness of the mission.
Whereas the troop-contributing governments will maintain their administrative channel
of communications with their contingents and personnel, they must not issue any instructions to
their military personnel that are contrary to United Nations policies and the implementation of its
mandated tasks. As stated in the Report, It is impermissible for contingent commanders to be
instructed by the national authorities to depart from United Nations policies, or to refuse to
carry out orders.6
4
5
6
General Guidelines for Peacekeeping Operations, Department of Peacekeeping Operations, 1995.

Ibid. Para. 60.
Ibid, Para. 7.
199
The United Nations encourages mutual professional consultation in decision-making as

long as this process, especially during crisis management situations, is not used to impede
decision-making and necessary action to implement the decisions. This aspect is highlighted in
the Report in the following words:
In the field, common sense and sound management practice dictate that the head of
mission ensures that national contingent commanders are involved in operational
planning and decision making, especially where their respective contingents are
concerned. Such involvement should take the form of consultation among professionals
in a unified force. However, they can not be allowed to develop into indirect negotiations
with national headquarters, which could impede action and undermine the willingness
and vigour with which the orders of the United Nations are carried out.7
8.4
Various issues pertaining to the employment of national contingents in peacekeeping

missions are resolved through mutual consultation between the contributing countries and the
United Nations. The United Nations must be able to exercise freedom in utilizing the operational
capabilities of the forces assigned to the organisation within the mandate authorised by the
Security Council. However, it might accept some restrictions on the use of these contingents
without compromising the operational effectiveness of the mission.
Restrictions on Employment. Any restriction placed by a TCC on the deployment
location and the tasks that may be undertaken by a national contingent or asset create the greatest
difficulties in a mission, particularly if it causes some other national contingent to appear
disadvantaged as a result of the restriction. Not only does it reduce flexibility for the HOM, but
it can also incur additional costs to the mission and to Member States. Normally, such
restrictions result from national concerns about force protection or the safety and security of
nationals in accordance with national policy. As a result of these concerns, TCCs may also
deploy additional national assets, such as offensive weapons, helicopters, engineers, or medical
resources into a mission area to be used only to support national contingents again, when
authorised by the UN, this creates difficulties in the mission area through the perception that
such contingents are more privileged than others.
Visits by National Delegations. All contingents welcome visits by national delegations
that demonstrate the nations support for their deployment. Such visits are also welcomed by the
UN, provided they do not overburden the visit resources of the mission or create unreasonable
security or administrative concerns. Such visits should be cleared well in advance by TCCs
through their Permanent Missions in New York, who pass the requests to the DPKO.
Unfortunately, some TCCs initiate visits without such clearance, causing disruption in a busy
mission area. Member States should be encouraged to follow correct UN procedures in this
respect.
Comprehensive Review of the Whole Question of Peacekeeping Operations in all their aspects - Command and
Control of United Nations Peacekeeping Operations [A/49/681], dated 21 November 1994, Para. 19.
200
Pay and Allowances.

There
are
standard
UN
allowances approved by the UN
General Assembly to cover
certain travel expenses, mission
subsistence
(MSA),
and
accommodation for specific
categories and conditions that
may be paid to authorised
individuals in UN peacekeeping
missions. These are designed to
cover specific expenses incurred
and should not be subject to
national taxes.
These UN
allowances are not salary, and it
is the responsibility of TCCs to
A visit by the Secretary-General to UNFICYP.
continue to pay individuals and
contingents their appropriate national salary and overseas allowances while deployed on a UN
mission. Occasionally, national contingents and individuals (plus their dependants at home)
suffer hardship because TCCs are not meeting these obligations.
Leave and Recreation. Similarly, the UN has policies on the amounts of UN leave and
recreation authorised (including travel time) for different categories in peacekeeping missions. If
these levels are ignored by TCCs and different standards are set while in the mission area, this
again creates difficulties between contingents and other UN appointees and leads to disharmony.
Typical entitlements to leave for military and police contingents are shown in the table below:
Member Status
HQ Staff
Contingent Member
Military Observer
Civil Police
Leave Entitlement
15 days in a six month period,
accruing at 2.5 days per month in
the mission area
12 days maximum, accruing at 1.5
days per month in mission area
Compensatory Time
Off (CTO) Provisions
Nil
6 days after each 30

days of continuous duty
Logistic Support Issues

The sort of issues that have arisen in missions between the UN and TCCs are well
outlined in the following Executive Summary from a conference titled Partners in
Peacekeeping: Logistics Support Issues of the United Nations and Troop Contributing Countries,
which was held in Freetown, Sierra Leone on 3-5 March 2003 and included senior-level
participation from the United Nations (UN) headquarters, the United Nations Mission in Sierra
Leone (UNAMSIL), key UNAMSIL troop-contributing countries (TCCs), and strategic partners.
201
The aims of the conference were to improve the operational readiness of African TCCs,
enhance implementation of the UNAMSIL mandate, learn lessons for application in other
peacekeeping missions, and identify ways of strengthening the UN-TCC logistics relationship.8
See DPKO Conference Report: Partners in Peacekeeping: Logistics Support Issues of the United Nations and
Troop Contributing Countries 3-5 March 2003.
202
203
LESSON 8
END-OF-LESSON QUIZ
1.
The national contingent commander is normally the senior national officer from the troopcontributing countries, such as a:
A. Battalion Commander;
B. Police Company Commander;
C. Senior Staff Officer allocated to the mission;
2.
The national contingent HQs report back to the national authorities on:
A. National issues;
B. Local issues;
C. Political issues;
D. All issues.
3.
NSEs are:
A. A reserve element available to the FC for emergencies;
B. Fully integrated into the UN chain of command but still located in their own
country;
C. NOT covered by the mission SOFA;
D. Additional personnel, services and equipment deployed by TCCs to missions with
the approval of the UN with the aim to assist their national contingents.
4.
LOAs are NOT used when:

A. A contingents home government is the only logical source of supply;
B. The commander requires local supplies or services;
C. Military aircraft or naval vessels are contributed by a TCC;
D. A contingents COE MOU does not cover the items or services requested.
5.
While serving with the United Nations, military personnel remain members of their:
A. National Armed Forces;
B. Local Contingents;
C. National Contingents;
204
6.
United Nations Operational Authority includes:

A. Authority to assign separate tasks to sub-units of a national contingent;
B. Responsibility for all aspects of personal administration, such as promotion and pay;
C. Permission to retain a contingent in the mission area longer than originally agreed
without reference to the TCC;
D. Authority to negotiate directly with TCCs national headquarters on future
operational plans.
7.
National Contingent Commanders may:

A. Place any restriction they wish on the use of their troops or police;
B. Dictate the mission leave provisions for all national members;
C. Request additional operational assets to be deployed to a UN mission without
reference;
8.
All missions welcome visits by national delegations provided that:

A. They are cleared well in advance by TCCs;
B. They do not overburden the visit resources of the mission;
C. They do not create unreasonable security or administrative concerns;
9.
An HQ Staff Contingent Member is entitled to the following amount of Compensatory Time

Off Provisions:
A. 12 days maximum;
B. 15 days in a six-month period;
C. 6 days after each 30 days;
D. Nil.
10. The aims of the peacekeeping conference held in Freetown, Sierra Leone were all of the
following EXCEPT:
A. Improving the operational readiness of African TCCs;
B. Managing the maintenance of refugee camps;
C. Enhancing implementation of the UNAMSIL mandate;
D. Identifying ways of strengthening the UN-TCC logistics relationship.
ANSWER KEY:
1D, 2A, 3D, 4B, 5A, 6A, 7D, 8D, 9D, 10B
LESSON 9
TACTICAL TECHNIQUES FOR COMMANDERS IN
UN PEACEKEEPING OPERATIONS
9.1
Introduction
9.2
9.3
9.4
Annex A
UN Observation Posts
Annex B
Conducting UN Patrols; Patrol Classification; Patrol Report
Annex C
Mounting Checkpoints
Annex D
Convoy Escorts
Annex E
Exchange and Transfer of Refugees or Other Personnel
Lesson 9 / Tactical Techniques for Commanders in UN Peacekeeping Operations
206
LESSON OBJECTIVES
Understand command practices and techniques that are required to be mastered at the
tactical level in UN peacekeeping missions;
Understand the responsibility of Member States, when contributing individuals and

contingents to UN peacekeeping missions, to ensure training and preparation for
deployment;
Understand military tasks and techniques necessary for serving on a peacekeeping

mission;
Understand UNMO tasks and techniques necessary for serving on a peacekeeping

mission;
Understand the role of the military in support of humanitarian activities; and
Understand CIVPOL tasks and techniques necessary for serving on a peacekeeping

mission.

9.1
207
Introduction
In the previous lessons of this course, we have considered issues affecting the command
of UN peacekeeping missions from the strategic level at UN Headquarters in New York within
the DPKO and the interaction with Member States. We have also considered the subject from
the operational level, the command at the mission level from the SRSG down to component and
contingent commanders. In this lesson, based on the experience of the many missions that have
been deployed, we will examine command practices and techniques that are required to be
mastered at the tactical level in UN peacekeeping missions in the sector, unit, sub-unit, and
team. Finally, in Lesson 10, we will look at some other command issues that arise in UN
In a UN peacekeeping mission, we should have a clear and achievable mandate, as well
as being supported internationally by the Security Council and Member States and operating
with the consent of the host nation and the parties to the original conflict. We should have an
effective mission deployed appropriately across the area of operations, well led through an
integrated headquarters that has established a cooperative arrangement with local authorities and
international organisations in the region. It should be well-maintained administratively and
operating to an effectively published plan with clear tasks for the various components.
9.2
Under such circumstances, what are the tasks and techniques that will be required at the
tactical level by military, police, and civilian commanders, and how do we prepare for them?
We have noted already that all components and units need to be well trained in the basic skills of
their profession before they are deployed to the mission. They need to be healthy, fit, informed
of the circumstances of the environment they are operating in, and competent in the use of their
equipment and vehicles. In the case of military units, they should be able to provide a real
capacity in their normal unit role, whether it is infantry, engineering, medical, aviation,
communications, or a support function. Police and civilian units must also be experienced in the
basic policing and expert capabilities that are internationally expected of their profession.
Individual military staff, observers, police, and civilian experts must also be fully competent in
the specific job skills required for the appointment they will fill. It is the responsibility of
Member States, when contributing individuals and contingents to UN peacekeeping missions, to
ensure that this basic training and preparation is undertaken before deployment.
Additionally, individuals and contingents need to be prepared for the additional and often
demanding requirements they may be faced with when participating in UN peacekeeping
missions. Again, they should be prepared for these before departing their home base, both in the
normal peacekeeping techniques and any that the Member State has been advised about that are
peculiar to the particular peacekeeping mission to which they are deploying. Finally, there may
be some mission-specific training and information identified by the Head of Mission and key
commanders as necessary that will be provided in the mission area during acclimatization and
induction, normally by the integrated mission training cell.
208
The actual tasks undertaken at the Sector level and below will obviously depend to a
great extent on the mandate of the mission, the phase of operation being undertaken, the security
situation, and the existing environment. These will generally be included in those outlined in the
rest of this Lesson.
9.3
Tasks
The most important task for the formed military units is to provide a safe and
secure environment and freedom of movement in the mission area. This will be carried out
by a combination of guard and observation duties, patrol checkpoints, escorts, and convoys.
Annexes A through D at the end of this lesson provide information on the conduct of UN
observation posts, UN patrols, the mounting of checkpoints, and convoy escorts. Annex E lists
the responsibilities of the military and other parties in relation to the exchange and transfer of
refugees and personnel.
In peacekeeping, it is important that the competence of the blue beret commanders and
units is established early. UN contingents should act and look like disciplined, well-trained
soldiers at all times. It is the commanders responsibility to ensure this by personal example,
training, discipline, and checking faults when they occur. The commander must be prepared to
show initiative and leadership, anticipating difficulties in his tasks, and preparing accordingly.
Commanders should be proactive rather than just responding to situations as they arise. At all
times, it will be important that there is an effective preparation for all military tasks with
thorough reconnaissance, planning, rehearsal, efficient execution, the maintenance of reserves,
and effective debriefing and reporting.
UNMEE armoured personnel carriers conduct regular patrols

in the area of Senafe in February 2001. (UN Photo #207015)
209
The nature of peacekeeping tasks makes the conduct of military tasks different from warfighting. In particular, peacekeeping emphasises impartiality, the minimum use of force,
courtesy, and respect for the community and their customs. Also of importance is that there
should be no enemies, only various parties to the conflict in peacekeeping. There are several
publications that discuss in detail the particular tasks and techniques that military units,
companies, and sections may be required to undertake in various peace operations. These have
been developed over the years based on the experience of various troop-contributing countries in
UN field missions1, and they are useful for review by commanders before deploying on
Some typical peacekeeping tasks will include:
Providing security to activities of the mission and the community;

Observing and monitoring the ceasefire and cessation of hostilities agreements;
Preventing incursion into agreed separation areas;
Maintaining freedom of movement in agreed areas;
Investigating violations of agreements;
Conducting inspections of agreed facilities and capabilities;
Assisting mine clearing and other humanitarian actions;
Assisting the disarming and demobilisation of combatants; and
Providing security to humanitarian and civilian convoys.
Typical techniques used by units and detachments during peacekeeping will include:
Establishing and maintaining static and mobile observation posts;

Conducting patrols by air, vehicle, and foot;
Establishing and conducting mobile and static checkpoints, including searching vehicles
and individuals;
Conducting investigations of ceasefire violations and other incidents;
Maintaining route security and freedom of movement;
Providing convoy escort to military, humanitarian, and civilian convoys;
Clearing mines from roads and tracks;
Maintaining traffic routes (including bridges) as trafficable;
Providing security to conferences, individual VIPs, and negotiations;
Disarming combatants and destroying weapons;
Providing security to key UN infrastructure;
Providing security to key civilian infrastructure, refugee, IDP, and demobilisation centres;
Assisting UN election component activities;
Inspecting agreed local military and police capabilities; and
Training the security forces of developing nations.
For example one excellent reference is the Nordic publication: NORCAPS PSO Tactical Manual Volumes I and II,
3rd Edition, Revised 2002.
210
Tasks and Techniques for UNMOs

There is a separate UNITAR
POCI course titled, United Nations
Military Observers: Methods and
Techniques for Serving on a UN
Observer Mission. This course
covers the UNMOs duties of
monitoring, information gathering,
liaising, reporting, mediating and
negotiating, and other associated
techniques.
This topic is also covered in
UNMO courses conducted by a wide
range of different Peacekeeping
Training Centres in Asia, Europe, UNFICYP: A Danish soldier keeps watch over the hills (1990).
Africa, and North and South (UN/DPI Photo #157782C)
America.
Information on the
timings of these courses and content is available through the DPKO Training and Evaluation
Service web site at http://www.un.org/depts/dpko/training/.
Military Support to Humanitarian Activities
By experience, logistics assistance from the military is highly appreciated in any UN
mission in the early stages, provided nobody else can do the job. However, this task can only be
performed if it has been foreseen in the mandate considered in the logistics mission analysis and
interpreted down into the configuration of the deploying logistics troops.
The logistics and related tasks may encompass:
Administration (assistance with the registration and disarmament forms);

Supply support (food, equipment/spare parts, and petrol);
Engineer support if no civilian contractor is available, including Explosive Ordnance
Disarmament (EOD);
Medical support if no civilian medical personnel are available;
Transport support, including material handling, provided insufficient host nation support
assets are available; and
Communications.
211
Disarmament, Demobilisation and Reintegration (DDR)

The main job for the military in
connection
with
Disarmament,
Demobilisation, and Reintegration (DDR) is
to provide a secure environment including
maintaining freedom of movement. This is
done by guarding quartering areas/cantonment
and their storages, protecting the inhabitants
of the DDR camps, maintaining law and order
in the camps, and establishing checkpoints
and other disciplines, which are normal in
peacekeeping. It should be stressed that
guarding DDR camps in principle is the task
of the local authorities, if any.
Destroying combatant weapons in Sierra Leone.
Broken down into simple tasks, the

ordinary soldier may only meet one new task learning how to destroy weapons in the cheapest
and quickest way! The sooner weapons are destroyed, the more secure the environment will
become.
The wide range of possible tasks that a military peacekeeping force may undertake is well
described in the following extract from a report by the FC UNAMSIL, compiled during the early
adjustment and drawdown phase in Sierra Leone in December 20022.
Many other activities have occupied the Force over the reporting period. Most particularly,
and in pursuit of their primary responsibilities for maintaining a secure environment, Units have
undertaken an extensive programme of patrolling across the country. Mi-24 helicopter gunship
patrols have consistently supported this endeavour by completing a sequence of border patrols
within Sectors 3 and 5. Wherever possible these patrols have been conducted jointly by
UNAMSIL and the other security services. . . .
The Force has, of course been busy completing a host of other important duties. UNAMSILs
engineers have been kept busy with a comprehensive programme of road improvement works.
For example, Force Engineers are presently conducting route maintenance and repair projects
between Lungi and Sanda, Mile 91 and Magburaka, and along the Buedu to Daru roads. . . .
The Force Medical teams continue to serve not only the needs of UNAMSIL personnel but the
local communities as well, typically between 2 4,000 civilians are treated each week; in some
areas such as Kabala and Koidu/Kailahun UNAMSIL deliver upwards of 90% of the medical
provision to the local population (25,000 have been treated in Kabala alone during the reporting
period). The Transport and Movement units have frequently assisted UNHCR and other aid
agencies to move significant numbers of Refugees and IDPs around the country 73,000
refugees and returnees have been moved by the Force in the reporting period - and we are
2
UNAMSIL Force Commanders Report July to December 2002 (Lieutenant General Daniel Opande from
Kenya).
212
currently helping UNOCHA to move 4,500 IDPs back to their homes over a 10 day period. The
list of assistance offered by the Force also includes supporting the Sierra Leone Police in
containing civil disorder, EOD tasks, policing football matches, chlorinating wells, conducting a
national survey of mining activities, and assisting the Special Court. Taken together, these
activities illustrate just how extensive has been the engagement of UN military personnel in
efforts to help rebuild this country, and what a difference it has made.
Whilst primarily in the business of serving others I have also been concerned to ensure that the
Force itself remains both healthy and prepared. With this in mind I have instigated a
comprehensive sporting programme to enhance unit cohesion and engender a spirit of
constructive competition between the Sectors. I intend to hold further Force Study Days,
building upon the success of the previous ones that helped prepare us for the May 2002
elections. The next event will focus on a series of security related scenarios to which the Force
might be called upon to respond. With so much attention currently being given to drawing down,
I believe it is vitally important to remind commanders at all levels of our Chapter 7 Mandate,
robust Rules of Engagement, and wide ranging security responsibilities.
9.4
Reflecting the increasingly complex and multidimensional nature of peacekeeping

operations, civilian police responsibilities encompass a wide range of activities that can be
broadly categorised as follows:
Advising and reporting;

Reforming and restructuring local police services;
Training, mentoring, transferring skills, and enhancing police capacity;
Establishing new national police services; and
Performing executive law enforcement functions.
These tasks are described in more detail in Chapter VII of the Handbook on United
Nations Multidimensional Peacekeeping Operations, the Standard Operating Procedures for
Civilian Police3, and the various DPKO training publications on the Civilian Police Service.
Extracts from these that outline the likely future tasks of the civilian police component in UN
multidimensional peacekeeping missions are described below.
Standard Operating Procedures for Civilian Police on Assignment with UN Peacekeeping Operations, March
2004, Civilian Police Division, Department of Peacekeeping Operations, United Nations Headquarters.
213
Advising and Reporting

This process of advising local police, which
includes observation, advice, supervision, and
reporting on counterparts, continues to be a core
civilian police role in multidimensional peacekeeping
missions. When working with local police services,
UN civilian police look at the effectiveness of the
local police command structure; its ability to conduct
internal investigations; its relations with judicial
authorities; and, most importantly, its relations with
the community it is responsible for serving and
protecting. Civilian police have found that an
effective technique for working with local and
national police forces is collocating UN civilian
police personnel with the local police and working
together on a daily basis to facilitate trust, good
communication, and mutually beneficial working
relationships that promote democratic and community
policing practices.
Guidelines on how to advise and report on the
local police need to be established early in the
mission and implemented in a well-coordinated and
rigorous manner that will assist the development of
the local capacity.
Mandate Implementation Plan for Rebuilding

Police in Bosnia-Herzegovina UNMIBH.
(Provided by Benjamin Klappe)
Reforming and Restructuring

Another task for UN civilian police has been to reform, restructure, and train national
police services to help ensure that they become respected, sustainable, and well-structured law
enforcement institutions. The four main local target groups for police training are new recruits,
active police officers, middle and senior managers in the police service, and police trainers.
Police training courses developed by UN civilian police cover such subjects as democratic
policing standards, human rights, crisis management, relations between police and judicial
authorities, personnel management, finance, logistics, procurement, facilities and equipment
maintenance, and asset management.
Civilian police officers have also become increasingly responsible for the selection,
screening, and training of local police candidates, as well as for on-the-job mentoring,
monitoring, and evaluating their performance in the field. Peacekeeping missions may have
mandates for reforming and restructuring national police services, and they may be responsible
for advising national authorities on how to design and establish more appropriate (often
significantly smaller) administrative and operational structures. An important element of this
work is to emphasise the strict separation of military and paramilitary entities from civilian
police in developing national law enforcement structures.
214
Building New Police Institutions

Building an adequate cadre of trained, professional police officers from the native
population is usually the primary focus of civilian police missions with institution-building
mandates and is an important and highly visible confidence-building activity.
The establishment of new law enforcement institutions has been the long-term objective
of police activities in the transitional administration missions of Kosovo and Timor-Leste, as
well as in such peacekeeping operations as UNMIBH. In the United Nations Interim
Administration Mission in Kosovo (UNMIK), more than 5,000 Kosovo Police Service officers
had graduated by 2003 and entered active service alongside their UNMIK civilian police
counterparts. In Timor-Leste, civilian police were mandated to maintain law and order, as well
as to establish and train a credible and professional national police service. Within the first two
years, more than 2,000 local police officers had graduated from the police academy and were
collocated with UN civilian police officers throughout the country as part of a mentoring
programme. A gradual handover of civilian police activities to the certified officers of the newly
established Policia Nacional de Timor-Leste has taken place successfully.
Executive Law Enforcement
It is possible that the UN mandate may approve a UN transitional administration. As part
of the legislative and executive authority given to these missions, the UN civilian police
component was vested with broad responsibilities: maintaining law and order; developing local
law enforcement systems; and training local personnel to assume law enforcement duties at the
end of the transition period. This type of mandate is referred to as an executive law
enforcement mandate and effectively requires the UN civilian police to serve as the national
police service until domestic capacities are developed.
An executive policing mandate required the UN civilian police service to carry out all
normal policing duties, including:
Protection of property and lives;

Investigation of crime and criminality;
Enforcement of law and order; and
Assistance and support in capacity-building for the local police.
215
Assistance to Other Civilian Sections of the UN Mission

Coordination with the civilian component of the mission is essential. For example, the
role of the civilian police component in support of any electoral process being conducted by the
UN mission is critical to its success. During each phase, police provide security and can help
ensure that basic human rights, such as freedom of expression and association and the right to
peaceful demonstrations, are protected.
Experience has shown that the more the UN civilian police are involved in the
Disarmament, Demobilisation and Reintegration (DDR) process and the related confidencebuilding initiatives, the greater the acceptance of ex-combatants and their relatives into society.
Civilian police can assist other components of the mission in several DDR-related functions,
such as coordination, advising, and monitoring. The reintegration of ex-combatants into the
local police service has often been an element of DDR programmes, and civilian police
assistance with this process can be essential to its success.
216
ANNEX A
UN OBSERVATION POSTS
To achieve their missions, UN soldiers are often deployed on temporary or permanently

established Observation Posts (OPs). An observation posts primary object, in support of a
peacekeeping operation, is to:
a. Show the presence of the peacekeeping force to all parties in conflict, as well as to
population;
b. Monitor and verify that agreements are being respected in relation to the UN;
c. Collect information;
d. Report on all activities in the area.
To be efficient, an observation post should operate within a coherent tactical system,
provide a permanent visibility and provide maximum protection for all its members.
The success of an observation mission requires performing the mission with great care, and
producing a high quality of observation reports.
SETTING UP AN OBSERVATION POST
Preparation for setting up an observation post requires observing the surroundings and
studying maps of the terrain to determine:
a. The points, along the lines of contact, which have military significance for all
parties in conflict;
b. The avenues of approach /or escape within the set-up area;
c. What assets would be needed to provide closed-in protection of the post to be set
up;
d. What support strength and materiel would be needed to set up such a post.
In setting up an observation post, units must maintain a liaison with local military and
civilian leaders of the parties in conflict. Liaison is generally carried out by liaison officers and
UN observers.
Engineers need to conduct a thorough reconnaissance of the area to assess the situation in
the area in terms of booby traps and mines, as well as to estimate time and assets that would be
required to clear such mines. Reconnaissance of the avenues of approach to the post should also
be performed, with a systematic search for an alternative route to the post. Such alternative
avenues are insurance against times when a route may be blocked, or when a route is being
defended, and forwarding of reinforcements is required in a time of emergency. Reconnaissance
of the post approaches are also necessary to determine from which positions the observation post
could be reinforced.
217
THE OVERALL ORGANISATION OF A POST

An observation post includes three distinct areas:
a. A housing area (housing, food, sanitary, welfare);
b. A technical area (parking area, equipment and ammunition storage);
c. A protection and defence area (guard post, command post, observation and combat
post, fencing, internal way of approach).
Although it is not camouflaged, the post should provide maximum and permanent
protection for all occupants (permanent or reinforcement personnel) in the face of any threat or
aggression.
The overall protection of an observation post requires that:
a. The post is surrounded with a safety zone, thus preventing unwanted infiltration
into the post;
b. Traffic within the safety zone should be slowed down or barred to vehicles or
personnel. Road blocks, obstacles, warning systems can be used to achieve this;
c. Use of mines is prohibited.
The posts buildings should be protected against direct or indirect fire by the use of
fortified systems such as grenade resistant wire fencing, wall protection with earth bags, and
reinforced structures.
The post should include enough shelters to accommodate the permanent observation party
as well as reinforcement personnel, and in case of an attack, personnel must have safe paths on
which to move to their defence positions.
Personnel should be required to wear helmets and flak jackets in keeping with general
safety guidelines.
Equipment protection
Petrol, Oil and Lubricants (POL) should be stored in small quantities;

Ammunition should be stored apart from POL, according to general safety rules;
Vehicles should be parked in an area sheltered from direct fire.
Depending on the existing situation, a number of threats may occur against a UN OP,
including an attack against the post, direct fire, artillery fire, attempted intrusion or theft. It is
therefore essential that the post commander should establish a defence plan, and ensure that all
post members have thorough knowledge of the plan, and rehearse the various drills associated
with defence.
218
While performing continuous multidirectional observation from the post, the value of an
OP can be improved by:
a. Establishing and patrolling temporary observation posts in areas where continuous
observation cannot be carried out;
b. Establishing liaison with the parties in conflict in the area;
c. Establishing relationships with locals who may provide significant information.
219
ANNEX B1
CONDUCTING UN PATROLS
THE PREPARATION & PLANNING FOR A MISSION

Any patrol mission requires planning and should have an information target or purpose. It should
also be part of a coherent tactical patrolling plan (see Appendix 1). The number of personnel
assigned to perform a patrol depends on the mission, the situation within the zone, and on the
planned length of the patrol. Before it begins, the patrol commander should conduct a thorough
study of:
1. The terrain to be patrolled:
routes;
possible observation points;
paths and communication lines to monitor.
2. The specific situation of each party in conflict:
their known positions;
possibility of hostile action against patrol.
3. The situation of friendly troops:
their positions;
their patrols in progress.
4. The object of the patrol and the outcome to achieve.
A warning order and an initial order must be given for each initiation of a patrol mission.
PREPARATION OF PERSONNEL
Prior to the patrols departure, the assigned personnel should review the possible courses of
action with the mission commander, as a preparation for all the critical situations they may
confront:
Hostile action from parties in conflict;

Ambushes;
Direct or indirect fire;
Road blocks;
Minefields;
Casualty evacuation requirements.
220
PREPARATION OF EQUIPMENT
All equipment used on the patrol should be thoroughly checked, particularly:
Vehicles;
Personal and collective weapons;
Radio, telephone, and optical equipment;
First aid materials.
CARRYING OUT THE PATROL

While performing the patrol, the patrol commander should:
Strictly comply with the orders he was given;

Stay on authorised routes only;
Maintain on-going contact with C.P.;
Report information about positions reached and potential difficulties; for tactical reasons,
radio communications should be brief and in code.
MOVEMENT
A patrol must always proceed safely, strict maintaining security ranges between men or vehicles.
As far as possible, members on patrol should:
Always follow in the path of the person ahead of them;

Avoid moving to the sides of a road or path, which may be mined.
STOPS DURING MOVEMENT

In case of a stop, the patrol commander will set up a security, watch and warning system.
CONTACTS WITH THE POPULACE

When in contact with locals, patrol members should always be courteous, but, when required,
firm. Only the patrol commander communicates with the local population and lets them know
his intentions (see course of communications). Too much friendship with the populace should be
avoided. However, if local people required medical care, it can be provided by the patrol
medical attendant.
221
INFORMATION COLLECTION
During the mission, the patrol leader should make an accurate note of:
The general conditions of the roads and paths that are used;
The nature of terrain observed;
Positions held by the parties in conflict;
The nature, strength and attitude of the parties in conflict and the population.
The patrol members should take as many photographs or videos as possible.
RETURN FROM A PATROL MISSION

On return from a patrol, a verbal report is first given to a higher authority, describing the
condition of personnel, weapons and equipment. A written report should follow as soon as
possible, according to the specific format required for a patrol report.
222
ANNEX B2
PATROL CLASSIFICATION
TYPE
PURPOSE
SPECIFIC ELEMENTS & EQUIPMENT
STRENGTH
ROUTINE PATROL
- Monitor zones not

covered by Observation
Posts (OPs) and Check
Points (CPs)
- Display UN presence.
- Visibility materials: smoke grenade, flare.

- Patrol leader: binoculars, maps, laser range
finder, notebook, night sight equipment.
- Safety element
- Reinforced squad
minimum
INTERCEPTION
PATROL
- Arrest those trying to

illegally enter a UN zone.
- Visibility materials: smoke grenade, flare.

- Patrol leader: binoculars, maps, laser range
finder, notebook, night sight.
- Observation element: night vision or thermal
camera.
- Safety element
- Interception element
- Platoon
MONITORING OF
LINES OR FRONTIER
(Buffer zones,
demilitarised zones, areas
of separation, etc.)
- Establish a temporary
observation post
- Visibility equipment
- Patrol leader: binocular, maps, laser range
finder, notebook, night sight.
- Observation element: nightsight or thermal
camera.
- Safety element
- Reinforced squad
minimum
URBAN PATROL
- Check if situation is quiet.

- Maintain local contacts.
- Establish or maintain
atmosphere of security.
- Visibility equipment: smoke grenade, flare.

- Patrol leader: detailed city plan.
- Intervention element
- Platoon; but intervention forces

of 1 or 2 persons remain in
quarters (on the alert).
INTERPOSITIONING
- Position forces between

parties in conflict
- Armored vehicles necessary
- Platoon to company
- Armored vehicle
223
ANNEX B3
PATROL REPORT
UNIT
PLATOON
OBJECT: PATROL REPORT

DOCUMENTS ENCLOSED:
map of
sketch map of
ALPHA: Member of patrol

BRAVO: Mission
CHARLIE: Time
departure:
DELTA: Route:
DATE:
return:
Out:
Back:
ECHO: Information on terrain:

Terrain practicability by vehicle & armor.
Terrain is:
dry, rocky, marshy;
Terrain appropriate for:
foot infiltration,
vehicle infiltration.
FOX-TROT: Background:
Parties in conflict:
type of troops (regular, uncontrolled, police)
strength,
disposition,
equipment,
weapons,
morale,
attitude.
Population:
strength (men, women, children, aged)
activities,
attitude towards UN troops,
morale.
Incidents:
when? where? who or what? whom? with what? how? why?
measures taken,
consequences:
on personnel,
on equipment,
on operational capability of unit.
224
ANNEX C
MOUNTING CHECKPOINTS
The checkpoint is a technique employed in all types of peacekeeping operations. Depending on
the situation, it requires personnel strength of from squad to platoon size.
The basic purposes of a UN peacekeeping operation checkpoint is to:
Demonstrate the UN presence in the area;

Control, inspect and record the movements of personnel and vehicles;
Prohibit entry of weapons, ammunition and military equipment into an area;
Inform command by collecting intelligence.
In order to be effective a road checkpoint should be:
Part of a coherent tactical system;

Be impossible to pass.
Checkpoint personnel should be relieved frequently.
There are two types of checkpoints:
Permanent checkpoints: separate two zones on a line of contact, or control a main route
(e.g., Crossing-Point and Checkpoint).
Temporary checkpoints: are installed in an area where peacekeeping forces cannot
maintain permanent control. Temporary checkpoints can become permanent, but lose
their effectiveness if they can be bypassed (e.g., Mobile Checkpoint)
TYPES OF CHECKPOINTS
CROSS POINTS AND CHECKPOINTS
Cross points and checkpoints are normally deployed near the platoons area of deployment. They
control a main road for which the UN is responsible.
They are in daily operation on a 24-hour basis. However, cross points and checkpoints may be
closed by a road block when the zone or road which they control is prohibited to passage of any
kind.
Depending on the situation, personnel operating in cross point or checkpoint may have to check
vehicles or/and personnel.
MOBILE CHECKPOINTS
A mobile checkpoint is deployed only when peacekeeping forces are unable to permanently
control all the roads in their area of responsibility.
225
To be effective, a mobile checkpoint should be deployed on a random basis, in at a location that

cannot be bypassed, and be visible only when coming upon it. A mobile checkpoint should be
manned by a strength of at least a platoon.
ORGANISATION OF CHECKPOINTS
MANNING A CHECKPOINT
Checkpoints require a force size ranging of from squad to platoon. However, the force should
always include the following personnel:
ELEMENTS
Command
SQUAD LEVEL
Squad leader
Interpreter (if available)
Traffic alerts
Team of 2
Search checks
Two teams of 2
PLATOON LEVEL
Platoon leader
Interpreter (if possible
Command squad)
Rifle squad
Close protection
Remote protection
Team of 2
Marksman, gunner
Intervention
Rifle squad
The Platoons third rifle squad remains off duty.

TASKS OF THE VARIOUS COMPONENTS
COMMAND COMPONENT:
Keep in radio contact with those in authority;
Coordinate the operation.
TRAFFIC AND WARNING COMPONENT:
Indicate the checkpoint via a signpost;
Open then immediately close the entrance to control zone for each vehicle.
SEARCH AND CHECK COMPONENT:
Check identity of those who cross a checkpoint;
Check vehicles;
In case of suspicion, perform a thorough search.
226
THE SUPPORT AND CLOSE FUNCTION OF THE PROTECTION COMPONENT

Provides safety for the check and search team.
REMOTE PROTECTION COMPONENT
Provides safety for checkpoint.
INTERVENTION COMPONENT
When needed, an intervention component acts to support checkpoint personnel in the face
of incidents or extreme tension.
227
ANNEX D
CONVOY ESCORTS
PURPOSE
The overall purpose of an escort unit is to facilitate the safe transportation of personnel,
equipment, vehicles, or food in an area under UN responsibility.
GENERAL FEATURES
Elements to be moved can be bulky and varied in content. Convoys fall into approximately three
categories:
Short homogeneous convoys (about 10 vehicles);
Long homogeneous convoys (over 10 vehicles);
Composite convoys (composed of vehicles originating from various units or from
humanitarian agencies).
PREPARATION OF A CONVOY ESCORT
Any type of movement of a convoy escort requires careful preparation:
Selection and technical processing of the unit vehicles;
Preparation for personnel support in anticipation of extended duration of movement:
Vehicle spare parts;
Repair support/towing;
Medical assets;
Personnel administrative preparation:
UN markings onto vehicles;
Personnel identity cards;
Study of route and sketch map for each vehicle;
Task organisation of convoys for movement;
Assignment of responsibilities to each component.
CONVOY ESCORT
TECHNICAL MANDATES FOR MOVEMENT
Move strictly along approved routes;
Individuals must refrain from distractions in case of road blocking or obstacles;
Maintain constant radio contact with other convoy components and with HQ;
Reconnoitre road accessibility ahead of the convoy;
Impassibility or inaccessibility of road movements at night requires setting up bivouac
along the route in case of extended duration of movement;
Prohibit any camera or video equipment.
228
TACTICAL RULES FOR MOVEMENT

Determine the adequate spacing required between vehicles; a vehicle should always
remain within sight of the next vehicle in convoy;
Match convoy and protection needs; there should be roughly 3 heavy trucks per
protection vehicle;
Be watchful at all time;
In case of unexpected stops en route, prohibit dismounting by personnel because of
possible mines on the roadside;
For a prolonged stop, implement close protection alert;
If a convoy vehicle breaks down, the convoy must come to a halt;
A vehicle not belonging to the convoy may not be permitted to join the convoy;
Parcels or letters not approved for conveyance may not be accepted onto a convoy
vehicle;
Only the minimum amount of personnel may dismount when going through a checkpoint
held by a party in conflict.
RETURN FROM A CONVOY ESCORT MISSION
At the end of and after the return of a convoy escort mission, its commander submits a detailed
report to his superiors.
229
ANNEX E
EXCHANGE AND TRANSFER OF REFUGEES OR OTHER PERSONNEL
At times an exchange or transfer of prisoners, the wounded, refugees, or corpses occurs between
the parties in conflict. Humanitarian organisations such as UNHCR and ICRC often conduct
such exchanges, and military personnel act as the support system to enact them.
RESPONSIBILITIES OF THE VARIOUS PARTIES
The agreement for an exchange operation is prepared by UN political representatives and
political liaison officers attached to the parties in conflict. The details and preparation and actual
implementation are undertaken jointly by military liaison officers representing the parties and by
the Operations staff of the battalion assigned to support the exchange.
RESPONSIBILITIES OF MILITARY PERSONNEL
After establishing cease-fire conditions, the military component:
Controls the area in which the exchange is performed;
Escorts the personnel to be exchanged between the parties in conflict;
Sees to the safety of personnel performing the exchange;
Sees to the safety of personnel exchanged until takeover by their own parties.
RESPONSIBILITIES OF INTERNATIONAL AGENCIES
Checking the identity of exchanged personnel on takeover;

Settlement of possible disagreements between parties in conflict during the exchange
process.
RESPONSIBILITIES OF THE PARTIES IN CONFLICT
Transport personnel to the reception or exchange area;

Recovery of their personnel in the reception or exchange area.
As a general rule, international agencies oversee the recovery of:

Refugees by UNHCR;
Prisoners by ICRC;
The wounded by ICRC;
Recovery of corpses by UN civilian police (UN CIVPOL).
230
LESSON 9
END-OF-LESSON QUIZ
1.
The most important task for the formed military units is to:
A. Provide a safe and secure environment;
B. Ensure freedom of movement in the mission area;
C. Both a. and b.;
D. Neither a. nor b.
2.
Military tasks differ from war-fighting in that the peacekeeping mission emphasises all of
the following EXCEPT:
A. Impartiality;
B. Discouraging relations with the community;
C. The minimum use of force;
D. Courtesy.
3.
Typical peacekeeping tasks include:

A. Providing security to activities of the mission and the community;
B. Investigating violations of agreements;
C. Conducting inspections of agreed facilities and capabilities;
4.
An example of a technique NOT used by units and detachments during peacekeeping is:
A. Educating civilians and refugees;
B. Establishing and maintaining static and mobile observation posts;
C. Disarming combatants and destroying weapons;
D. Assisting UN election component activities.
5.
EOD stands for:

A. Economics of Deployment;
B. End of Deployment;
C. Explosive Ordnance Disarmament;
D. End of Danger.
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6. Civilian police responsibilities encompass a wide range of activities that can be broadly
categorised in all of the following ways EXCEPT:
A. Advising and reporting;
B. Reforming and restructuring local police services;
C. Training, mentoring, transferring skills, and enhancing police capacity;
D. Performing judiciary functions.
7.
When working with local police services, UN civilian police do NOT look at:
A. The annual rate of repeat crimes and criminals;
B. The effectiveness of the local police command structure;
C. Its relations with judicial authorities;
D. Its ability to conduct internal investigations.
8.
Typical military peacekeeping tasks include:

A. Assisting the disarming and demobilization of combatants;
B. Preventing incursion into agreed separation areas;
C. Eliminating corruption;
D. Both a. and b.
9.
What is usually the primary focus of civilian police missions with institution-building
mandates?
A. Enforcing the Security Council mandate;
B. Enforcing indigenous laws;
C. Building an adequate cadre of trained, professional police officers;
D. Providing security for the nations resources.
10. What is the overall purpose of an escort unit?

A. To facilitate the safe transportation of personnel, equipment, vehicles, or food in an
area under UN responsibility;
B. To provide security on an ad hoc basis to any resources under threat;
C. To confront potentially violent parties and use force if needed;
D. To provide land-based transportation in support of mission objectives.
ANSWER KEY:
1C, 2B, 3D, 4A, 5C, 6D, 7A, 8D, 9C, 10A
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LESSON 10
OTHER COMMAND ISSUES
10.1
10.2
10.3
10.4
10.5
Accommodation
10.6
Annex A
Ten Rules Code of Personal Conduct for Blue Helmets
Annex B
We are United Nations Peacekeepers
Annex C
Authorised Numbered ROE for (UN--)
Annex D
UN Medical Levels
Annex E
UN Medical Standards for Peacekeeping Missions
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Lesson 10 / Other Command Issues
LESSON OBJECTIVES
Understand the overall responsibilities of commanders of peacekeeping missions;
Understand the purpose of the Rules of Engagement and how they serve to guide
military operations on a mission;
Understand the medical responsibilities of commanders and the various levels of

medical support;
Understand the role of contingent welfare;
Understand the qualifications for an individual to be awarded UN medals and

commendations; and
Be familiar with the Ten Rules for the Code of Personal Conduct for Blue Helmets
and the contents of the document We are United Nations Peacekeepers.

10.1
235
The United Nations Organisation embodies the aspirations of all 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. All participants in a peacekeeping operation must
accept special constraints in their public and private lives in order to do the work and pursue the
ideals of the United Nations Organisation. The DPKO has issued the following guidance to its
commanders.
Standards of conduct and effective performance of peacekeeping duties are fundamental
to the success of a United Nations operation. The principles that govern these aspects are a
matter of order and discipline, and commanders at all levels bear responsibility for the conduct
and performance of individuals under their command.
Commanders play a pivotal role in:
Establishing the competencies and responsibilities of subordinates;

Assuring that subordinates are aware of their obligations and that they respect them;
Assuring that violations cease and are thoroughly investigated and that appropriate
disciplinary action is taken; and
Training their subordinates in their responsibilities as an ongoing part of routine training.
The Head of Mission has the overall authority to take appropriate administrative
measures when failure to comply with guidelines is encountered. This authority may be
delegated to senior staff of the United Nations mission. Commanders of the Military and Police
Components will require that national contingent or team commanders exercise responsibility in
this respect for their respective national personnel.
Commanders must:
Ensure compliance with the guidelines on International Humanitarian Law for Forces
Undertaking United Nations PKOs. This will take into account the nature of the United
Nations forces, their powers, competencies, and mandate;
Enforce standards for Human Rights for the applicable sections of the Universal
Declaration of Human Rights;
Ensure that all personnel comply with the standards established for the conduct of United
Nations peacekeepers;
Ensure that subordinates recognise the needs and interests of the host country and its
people and act in accordance with the principles of strict impartiality, integrity,
independence, and tact;
Establish a clear chain of command to ensure that inappropriate conduct and activities are
acted upon. This requires a clear linkage of the national responsibilities for discipline
and the prerogatives of the United Nations Commander to ensure appropriate follow-ups
of incidents;
236
Monitor and investigate all incidents of illegal activities, and apply appropriate remedial
action;
Ensure that all personnel understand the mandate and mission assigned by the Security
Council and that they comply with their provisions;
Confirm that extensive and effective pre-service briefings and training have developed an
understanding of local customs and practices and respect for the culture, religion,
traditions, and the gender issues prevalent in the host nation;
Ensure respect for local laws, customs, and practices when they are not in conflict with
mandated activities and the privileges, benefits, or immunities the organisation and its
officials enjoy or which have been further negotiated and incorporated in the relevant
Status of Forces Agreement or Status of Mission Agreement; and
Ensure that subordinates respect, manage, and care for all material and goods supplied by
the United Nations (radios, vehicles, and equipment).
Commanders must take immediate action when:
Exploitation of the vulnerable (weak) groups, particularly women and children, either
through position or financial status has taken place;
Excessive consumption of alcohol or the use of drugs has occurred; and
Participation in criminal or illegal activities is detected.
Commanders must also ensure that mission personnel neither seek nor receive
instructions relating to the performance of their duties from any unauthorised external source.
Therefore, legitimate communications with national authorities and with the media must be
within clearly established guidelines to avoid conflicts.
A clear mechanism must be established for dealing with complaints against United
Nations personnel at the United Nations and national level. This must include a well-defined
process for reporting, investigating, and following up actions and should form part of the
Mission Standard Operating Procedures.
Commanders should also ensure that individuals are issued with the Aide Memoire cards
entitled Ten Rules Code of Personal Conduct for Blue Helmets and We are United Nations
Peacekeepers. These documents are included in Annexes A and B at the end of this lesson. It
is the purpose of these two documents to provide peacekeepers with clear guidelines for personal
conduct, so they will maintain the highest standards of integrity and discipline in dedicated
service to achieving the goals of the United Nations.
10.2
ROE provide the parameters within which armed military (and police) personnel assigned
to United Nations Peacekeeping Operations may use force. They ensure that the use of force by
UN armed military personnel is undertaken in accordance with the purposes of the Charter of the
United Nations, the Security Council mandate, and the relevant principles of International Law,
237
including the Laws of Armed Conflict. The ROE also assist the Force Commander (FC) in
implementing the military objectives of the mandate of a UNPKO pursuant to the pertinent
Security Council resolutions.
As discussed in Lesson 2, when the Security Council establishes a UNPKO, the DPKO
will prepare a draft of the ROE in accordance with the Sample ROE and the mandate of the
UN mission. It will reflect the military objectives of the UNPKO as set out in the relevant
Security Council resolutions and, as appropriate, any recommendations made in connection with
ROE contained in the Secretary-General's relevant reports. The DPKO and the Office of Legal
Affairs (OLA) will then review the draft ROE. The Under-Secretary-General for Peacekeeping
Operations will approve the ROE after the necessary review. The FC, when appointed, may
review these ROE, in consultation with the Head of Mission, and he may recommend any change
to UNHQ, if considered necessary. Where a UNPKO is already deployed, the FC may propose
changes to the ROE as required. Such proposals are to be reviewed at UNHQ. If the
recommendation is agreed, the Under-Secretary-General for Peacekeeping Operations will issue
a formal change or amendment to the ROE1.
UNTAET Rules of Engagement
as the months passed and with increased militia activity, there was a need to amplify the ROE so as to
regain the initiative and better protect PKF troops. Following considerable discussion, the UN responded
positively to requests from the SRSG to approve theatre-specific amplification to the ROE regarding the
concept of self-defence, which better enabled PKF troops to act with certainty when compelled to use force.
Format of ROE Document for a Specific UNPKO

The basic format of the ROE for a specific UNPKO is structured as follows:
a. Main Body. The main body explains the requirement for ROE, the ROE planning
process, and instructions for implementing changes in the ROE. Most importantly, it
outlines the mandate that specifies the numbered ROE, which should apply to the
relevant UNPKO.
b. List of Numbered ROE. This list contains the rules of engagement applicable to the
specific UNPKO pursuant to its mandate, as outlined in the Security Council
resolution(s), as drawn from the United Nations Master List of Numbered ROE. (See
Annex C at the end of this lesson.)
c. Definitions. To ensure the cohesion of command and control during the use of ROE, a
specific set of definitions is provided.
d. Supporting Directions and Procedures. This section provides the directions and
procedures to be followed by United Nations armed military personnel when undertaking
certain duties.
e. Weapon States. This final part identifies various weapon states that may be authorised by
the FC without recourse to United Nations Headquarters.
1
Peacekeeping in East Timor The Path to Independence, International Peace Academy Occasional Paper
Series 2003, by Michael G. Smith (Deputy Force Commander UNTAET from January 2000 - March 2001) with
Moreen Dee. Chapter 3, Page 71.
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Training in ROE
It is vital that all personnel understand the exact nature of the mission ROE and are
trained in their application before they arrive in the mission area. This training should be
verified and reinforced during induction training in the mission area. For the mission, troops and
police should be issued personal ROE cards in their native language, which they can refer to at
all times, and when considered appropriate, also issued clear Orders for Opening Fire in their
native language.
UNITED NATIONS MISSION IN LIBERIA (UNMIL)
Rules of Engagement - Soldiers Pocket Card
General Rules for Use of Force
1. The principle of minimum force and proportionality shall apply at all times and in all
circumstances.
2. Wherever the operational situation permits, every reasonable effort shall be made to control
a situation through measures short of using force, including personal contact and negotiation.
Such measures include voice and visual signals, radio or other electronic means of
communication, manoeuvres, charging of weapons, warning shots or other means that do not
involve the actual application of force.
3. The use of force, including deadly force, shall only be resorted to if all other means to
control the situation have failed, or if an attack is so unexpected, that a moment's delay could
lead to death or grievous injury to oneself or other designated personnel.
4. Any force used must be limited in its intensity and duration and be commensurate with the
level of the threat. In some cases, operational urgency may dictate the immediate use of
deadly force.
5. Use force only when absolutely necessary to achieve your immediate aim, to protect your
soldiers, UN or other designated personnel, installations, equipment, and civilians under
imminent threat of physical violence.
6. The decision to open fire shall be made only on the order and under the control of the onscene Commander, unless there is insufficient time to obtain such an order.
7. Before opening fire, give a final warning (at least three times) in English language as
follows: "UNITED NATIONS, HALT OR I WILL FIRE".
8. Fire must be aimed and controlled. Automatic fire will be opened only as last resort. If
possible, a single shot should be aimed at non-vital parts of the body in order not to kill.
Indiscriminate fire is not permitted. Fire for effect must not last longer than necessary to
achieve the immediate aim.
9. Avoid collateral damage.
10. After fire has ceased, render medical assistance and record the details of the incident
through the chain of command, whether or not casualties have occurred.
11. When in doubt, always seek clarification from higher command.
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When to Use Force (up to and including deadly force)

1. To defend oneself, other UN personnel or other international personnel against a hostile
act or a hostile intent;
2. To resist attempts to abduct or detain oneself, other UN personnel or other international
personnel;
3. To protect (UN) installations, facilities, equipment, areas or goods designated by the
SRSG in consultation with the Force Commander, against a hostile act;
4. To protect civilians, including humanitarian workers, under imminent threat of physical
violence, when competent local authorities are not in a position to render immediate
assistance*;
5. Against any person or group that limits or intends to limit the freedom of movement of
members of UNMIL or humanitarian workers*;
* when and where possible, permission to use force should be sought from the immediate
superior commander.
10.3
The commanding officer of any unit must ensure that the link in the medical chain
represented by his/her troops is solid and functional. A number of basic measures are
fundamental to maintaining a healthy peacekeeping mission. These include:
Understanding how to protect against the vectors of infectious diseases (mice, rats,
mosquitoes, etc.);
Protection against food and waterborne diseases;
Protection against the HIV virus;
Basic knowledge and training in life support/basic trauma life support; and
Availability of first aid equipment.
In peacekeeping missions, it is the responsibility of a commanding officer to know and

understand the function of the medical system from the level below through to the level above
their own level, as well as that existing for the troops of other contingents in the area of
responsibility.
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Unit/Platoon/Company Level
The main medical responsibility of a commanding officer at these levels is to:
Maintain an adequate level of skill in the basic generic medical subjects in troops (see
UN Guidelines Standards for Medical Care and SGTM 16);
Develop first responder medical service in their own AOR;
Ensure that the knowledge of AOR and mission-wide medical evacuation systems is
disseminated; and
Ensure that radio frequencies of and grid reference of medical facilities are disseminated.
Contingent Level
In peacekeeping missions, battalions and stand-alone specialist companies come with a
Level 1 (1st line, Role 1, Primary Care) medical facility, which is a national responsibility.
Contingent commanders should:
Encourage and quality-assess that subordinates perform the above duties;

Set up a TCC medical facility offering primary care and emergency services (see UN
Guidelines Primary and Emergency care);
Maintain a 24/7 roster for emergency care and casualty collection;
Maintain a 24/7 ops with clear systems for casualty collection and first response; and
Facilitate ambulance crews so that they aquire the knowledge of the local infrastructure,
as well as radio frequencies of and grid reference of medical facilities.
Sector Level
At sector level there is normally a Level 2 (2nd line, Role 2+, Hospital Care) medical
facility, which is the first level that is UN and not a national responsibility. It is important that
the Sector Commander sets up a system to quality-assess the functionality of medical systems in
the sector, and to:
Ensure that medical services are available to all in a culturally acceptable setting;
Ensure that medical services are available to both genders with due respect to the special
needs of female troops and staff (SC Resolution 1325);
Set and maintain standards for discipline and conduct that protects troops and population
against the HIV virus (SC Resolution 1308);
Follow up on the Level 2 facility to ensure that medical standards are according to the
Hospital Care designation in the UN Guidelines;
Ensure that adequate statistics are maintained to allow early detection of trends and
clustered diseases to facilitate early response; and
Safeguard adequate hygiene in camps and facilities.
The various guidelines can be provided by the Medical Support section at UNHQ, and
they can be found at the DPKOs website.
241
Medical Evacuation Plan

The concept of Medical Evacuation calls for the immediate stabilisation of casualties at
the incident site or at a Level 1 medical facility. If further specialised treatment is required, the
casualty will be further evacuated to a Level 2 or Level 3 facility or out of the mission area,
depending upon the location of casualty and required medical facilities, which will be arranged
by the UN. Details of the capability of the various facilities found in the UN medical system are
described in Annex D, and additional UN medical standards are listed in Annex E. TCCs will be
informed of such arrangements. Should repatriation to the individual's country of origin be
necessary, a fixed wing aircraft, configured to support the patient, will carry this out. If
necessary, the aircraft will be staffed by medical personnel with the necessary equipment and
supplies to provide full in-flight support to the patient. Medical Repatriation is a medical
evacuation to the patient's home country. This procedure will apply to all those who are unlikely
to be fit for duty in 30 days or those requiring treatment not available in the mission area.
10.4
Most contingents are responsible under self-sustainment for the provision of welfare for
their soldiers and police. As such, a welfare plan needs to be developed in each contingent
appropriate to the conditions of service in the mission area and normal national standards and
expectations. The plan should cover rest and respite from duty; postal and electronic
communications to home; recreation and sporting facilities, equipment, and opportunities;
canteen stores; religious support; and national news information. A full-time welfare person
should be included in each contingent, along with an adequate supply of welfare items.
Contingent commanders should review welfare plans to ensure parity, where practical, with
contingents from TCCs of a similar background. All imports of duty-free merchandise for
welfare activities will be coordinated through the Division of Administration.
10.5
Accommodation
The level of accommodation provided to various components and contingents in a UN

mission can be a cause for dissatisfaction if UN rules and policies on this provision are not well
understood by individuals.
In principle, the UN provides hard-walled, semi-rigid
accommodation as soon as possible for those elements and units whose role involves operating
from generally static locations. In most missions, military components are expected to be fully
self-sustained (and reimbursed) to live in tentage for the first six months after their arrival. Once
UN accommodation is provided, including ablutions, kitchen, and shared canteen facilities, the
TCC will no longer be reimbursed for tentage, except when required to use it for operational
reasons.
To reduce the difficulties for the TCC at all locations where the units are collocated with
a UN facility (MILOB Team Site), the UN will provide core facilities consisting of a
kitchen/dining area, ablution units, and shared canteen facilities.
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Extract from Partners in Peacekeeping: Logistic Support Issues of United Nations and Troop
Contributing Countries. Conference Report. Freetown, Sierra Leone 3-5 March 2003. DPKO
Office of Mission Support Publication, 12 June 2003.
10.6
243
The UN awards a peacekeeping medal to

eligible military and police from Member States
who serve in UN Headquarters or UN
commanded peacekeeping missions. Individuals
qualify for the medal if they perform effectively
in the specified mission for 3 months or more.
Numerals to medals are issued for each
additional 6 months service period above the
initial 6 months deployment. For example, an
individual serving between 9 and 15 months in
UNAMSIL would be eligible for the UNAMSIL
medal and the numeral 2, indicating two 6month periods deployed in the mission.
Peacekeepers are awarded medals at a ceremony in

the Democratic Republic of Congo for MONUC.
UN Medals are normally awarded to individuals and contingents by the leadership of the
mission at specially arranged UN medal parades in the mission area.
Individuals are only eligible for one UN medal for any one particular period of service
with the UN. Member States normally approve the wearing of UN medals as part of national
military dress and monitor the correct application of UN eligibility against national policy.
Contingent and unit commanders should ensure that all eligible military and police members are
nominated for the appropriate medal and
awarded it in a recognised manner. Blue
berets that are killed in UN service or
repatriated home due to injury before the
normal qualifying time for a UN medal are
normally eligible for the mission medal.
Additionally,
special
cases
where
individuals do not complete the qualifying
period in the mission area through no fault
of their own may be eligible for the medal.
Such cases should be referred to the
DPKO for consideration.
In some
Member States, service on a UN
peacekeeping mission may also entitle the
individual to a separate national medal or
Examples of UN medals. (Provided by Benjamin Klappe)
similar form of recognition.
In some UN peacekeeping missions, an informal system of commendations has also been
introduced by the HOM to recognise notable service or individual actions.
These
commendations are normally a certificate that is awarded by the HOM, Force Commander, or
Police Commissioner to individual military, police, or civilians (both international and local
staff) serving in the mission. Such awards are normally presented at an appropriate medal parade
or mission gathering. All commanders should nominate individuals for such commendations
when they deserve them.
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ANNEX A
TEN RULES -- CODE OF PERSONAL CONDUCT FOR BLUE HELMETS
1. Dress, think, talk, act and behave in a manner befitting the dignity of a disciplined, caring,
considerate, mature, respected and trusted soldier, displaying the highest integrity and
impartiality. Have pride in your position as a peacekeeper and do not abuse or misuse your
authority.
2. Respect the law of the land of the host country, their local culture, traditions, customs and
practices.
3. Treat the inhabitants of the host country with respect, courtesy and consideration. You are
there as a guest to help them and in so doing will be welcomed with admiration. Neither
solicit nor accept any material reward, honor or gift.
4. Do not indulge in immoral acts of sexual, physical or psychological abuse or exploitation of
the local population or United Nations staff, especially women and children.
5. Respect and regard the human rights of all. Support and aid the infirm, sick and weak. Do not
act in revenge or with malice, in particular when dealing with prisoners, detainees or people
in your custody.
6. Properly care for and account for all United Nations money, vehicles, equipment and
property assigned to you and do not trade or barter with them to seek personal benefits.
7. Show military courtesy and pay appropriate compliments to all members of the mission,
including other United Nations contingents regardless of their creed, gender, rank or origin.
8. Show respect for and promote the environment, including the flora and fauna, of the host
country.
9. Do not engage in excessive consumption of alcohol or traffic in drugs.
10. Exercise the utmost discretion in handling confidential information and matters of official
business which can put lives into danger or soil the image of the United Nations.
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ANNEX B
WE ARE UNITED NATIONS PEACEKEEPERS
The United Nations Organisation 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 Organisation.
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 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 peacekeepers;
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 care.
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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 peacekeepers;
Take any action that might jeopardise the mission;
Abuse alcohol, use drugs, or traffic in drugs;
Make unauthorised communications to external agencies, including unauthorised 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;
Wilfully damage or misuse any United Nations property or equipment;
Use a vehicle improperly or without authorisation;
Collect unauthorised 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 realise that the consequences of failure to act within these guidelines may:
Erode confidence and trust in the United Nations;

Jeopardise the achievement of the mission; and
Jeopardise our status and security as peacekeepers.
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ANNEX C
AUTHORISED NUMBERED ROE FOR (UN---)
SECURITY COUNCIL RESOLUTION(S)
1. The Security Council, by its Resolution [ ], decided to establish a United Nations Mission in the
-----[UNM---] with effect from [-----].
2. Under the provisions of the Security Council Resolution [ ], [UNM---] Military Component
has the following mandate:
(The mandate should be spelled out)
SPECIFIC ROE FOR (UNM---)
3. The following ROE have been authorised for use by the United Nations armed military
personnel serving in (UN---).
Rule 1 - Level of Force
Rule No. 1.1 Use of force, up to, and including deadly force, to defend oneself and other United
Nations personnel against a hostile act or a hostile intent, is authorised.
Rule No. 1.2
Use of force, up to, and including deadly force, to defend other international
personnel against a hostile act or a hostile intent, is authorised.
Rule No. 1.3 Use of force, up to, and including deadly force, to resist attempts to abduct or detain
oneself and other United Nations personnel, is authorised.
Rule No. 1.5
Use of force, up to, and including deadly force, to protect United Nations
installations, areas or goods designated by the SRSG in consultation with the Force
Commander, against a hostile act, is authorised.
Rule No. 1.7
Use of force, but excluding deadly force, to protect key installations, areas or goods
designated by the Head of Mission in consultation with the Force Commander,
against a hostile act, is authorised.
Rule No. 1.10 Use of force, up to, and including deadly force, against any person and/or group that
limits or intends to limit freedom of movement, is authorised.
Rule 2 - Use of Weapon Systems
Rule No. 2.4 Firing of warning shots is authorised.
Rule 3 - Authority to Carry Weapons
Rule No. 3.3 Carriage of unloaded personal weapons, both on duty and as designated by the Force
Commander, is authorised.
Rule 5 - Reaction to Civil Action/Unrest
Rule No. 5.1 Action to counter civil unrest is not authorised.
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UNITED NATIONS DEFINITIONS (FOR USE WITH ROE)

1. Civil Unrest. The commission, perpetration or instigation of acts of violence, which affect
public peace and order.
2. Collateral Damage. Incidental loss of civilian life, injury to civilians, or damage to civilian
property while engaging an authorised target.
3. Cordon. A deployment of UNPKO personnel around an object or location with the intent to
isolate an area and restrict and/or control both access and exit.
4. Detainee. A detainee or detained person means any person deprived of personal liberty
except as a result of conviction of an offence.
5. Force. The use of, or threat to use, physical means to achieve an authorised objective.
a. Armed Force. The use of weapons, including firearms and bayonets.
b. Deadly Force. The level of force which is intended or likely to cause death,
regardless of whether death actually results. This is the ultimate degree of force.
c. Non-deadly Force. The level of force which is neither intended nor likely to cause
death, regardless of whether death actually results.
d. Minimum Force. The minimum degree of authorised force which is necessary and
reasonable in the circumstances. A minimum degree of force is applicable whenever
force is used. Minimum Force can be Deadly Force if appropriate.
e. Unarmed Force. The use of physical force, short of the use of armed force.
6. Hostile Act. An attack or other use of force which is intended to cause death, bodily harm or
destruction.
7. Hostile Intent. The threat of imminent use of force, which is demonstrated through an action
which appears to be preparatory to a hostile act. Only a reasonable belief in the hostile intent
is required, before the use of force is authorised. Whether or not hostile intent is being
demonstrated must be judged by the on-scene commander, on the basis of one or a
combination of factors, including:
a. The capability and preparedness of the threat.
b. The available evidence which indicates an intention to attack.
c. Historical precedent within the Mission's Area of Responsibility (AOR).
8. Loaded Weapon. A weapon is considered to be loaded when live round/ammunition is
inserted/carried in the chamber/breach.
9. Positive Identification. Assured identification by a specific means, including any of the
following methods: visual, electronic support measures, flight plan correlation, thermal
imaging, passive acoustic analysis or Identify Friend or Foe (IFF) procedures.
249
10. Proportionality. The amount of force used, which is reasonable in intensity, duration and
magnitude to achieve an authorised objective.
11. Reasonable Belief. Conditions and circumstances which lead a commander or individual to
conclude that a threat exists.
12. Self-Defence. Self-Defence is the use of such necessary and reasonable force, including
deadly force, by an individual or unit in order to protect oneself, one's unit and all United
Nations personnel against a hostile act or hostile intent.
13. Unloaded Weapon. A weapon is considered to be unloaded when no live round/ammunition
is inserted/carried in the chamber/breech.
14. UN Personnel. All members of the UNPKO (including locally recruited personnel whilst on
duty), UN officials and experts on mission on official visits.
15. Other International Personnel. Personnel belonging to international agencies associated
with the UNPKO in the fulfillment of its mandate, and other individuals or groups formally
and specifically designated by the Head of Mission in consultation with UNHQ, including:
a. Members of organisations operating with the authority of the United Nations Security
Council (SC) or General Assembly (GA);
b. Members of authorised charitable, humanitarian or monitoring organisations;
c. Other individuals or groups specifically designated by the Head of Mission;
but excluding foreign nationals such as businessmen and journalists.
16. Warning Shots. A warning shot is a shot fired at a safe point of aim, to avoid causing
personal injury or collateral damage.
250
ANNEX D
UN MEDICAL LEVELS
Level One Medical Support

This is the first level where a doctor is available. It provides first line primary health care,
emergency resuscitation, stabilization and evacuation of casualties to the next level of medical
care within a peacekeeping mission.
Tasks of Level One Medical Unit:
1. Provide primary health care to a peacekeeping force of up to 700 in strength, with at least
20 ambulatory patients per day.
2. Conduct entry medical examination for peacekeepers if this has not already been done,
and arrange for any necessary investigations.
3. Perform minor surgical procedures under local anaesthesia, e.g., toilet and suture of
wounds, excision of lumps.
4. Perform emergency resuscitation procedures such as maintenance of airway and
breathing, control of haemorrhage and treatment of shock.
5. Triage, stabilise and evacuate a casualty to the next level of medical care.
6. Ward up to 5 patients for up to 2 days each, for monitoring and inpatient treatment.
7. Administer vaccinations and other disease prophylaxis measures required in the mission
area.
8. Perform basic field diagnostic and laboratory tests.
9. Maintain the capability to split into separate Forward Medical Teams (FMTs) to provide
medical support simultaneously in two locations.
10. Oversees implementation of preventive medicine measures for the contingents and
personnel under their care.
A Level One medical unit is to have adequate medical supplies and consumables for up to 60
days.
Level Two Medical Support

This is the next level of medical care and the first level where surgical expertise and facilities are
available. The mission of a Level Two medical facility is to provide second line health care,
emergency resuscitation and stabilization, limb and life-saving surgical interventions, basic
dental care and casualty evacuation to the next echelon.
251
Tasks of Level Two Medical Unit:

1. Provide primary health care to a peacekeeping force of up to 1000 in strength, with the
capacity of treating up to 40 ambulatory patients per day.
2. Conduct entry and routine medical examination for peacekeepers if this is required,
including any necessary investigations.
3. Perform limb and life saving surgery such as laparotomy, appendectomy, thoracocentesis,
wound exploration and debridement, fracture fixation and amputation. This must have the
capacity to perform 3-4 major surgical procedures under general anesthesia per day.
4. Perform emergency resuscitation procedures such as maintenance of airway, breathing
and circulation and advanced life support, hemorrhage control, and other life and limb
saving emergency procedures.
5. Triage, stabilise and evacuate casualties to the next echelon of medical care.
6. Hospitalise up to 20 patients for up to seven days each for in-patient treatment and care,
including intensive care monitoring for 1-2 patients.
7. Perform up to 10 basic radiological (x-ray) examinations per day.
8. Treat up to 10 dental cases per day, including pain relief, extractions, fillings and
infection control.
9. Administer vaccinations and other disease prophylaxis measures as required in the
mission area.
10. Perform up to 20 diagnostic laboratory tests per day, including basic hematology, blood
biochemistry and urinalysis.
11. Constitute and deploy at least 2 FMTs (comprising 1 x doctor and 2 x paramedics) to
provide medical care at secondary locations or medical support during land and air
evacuation.
12. Maintain adequate medical supplies and consumables for up to 60 days, and the
capability to resupply Level One units in the Mission area, if required.
Level Three Medical Support

This is the highest level of medical care provided by a deployed UN medical unit. It combines
the capabilities of Level One and Two units, with the additional capability of providing
specialised in-patient treatment and surgery, as well as extensive diagnostic services. It is
important to note that a Level Three unit is rarely deployed, and that this level of support is
generally obtained from existing civilian or military hospitals within the Mission area or in a
neighbouring country.
Tasks of Level Three Medical Unit
1. Provide primary health care to a peacekeeping force of up to 5000 in strength, with the
capacity to treat up to 60 ambulatory patients per day.
2. Provide specialist medical consultation services, particularly in areas like Internal
Medicine, Infectious Diseases, Tropical Medicine, Dermatology, Psychiatry and
Gynaecology.
252
3. Perform up to 10 major general and orthopaedic surgical procedures under general

anaesthesia per day. Availability of specialist surgical disciplines (e.g., neurosurgery,
cardiothoracic surgery, trauma surgery, urology, burns unit) is an advantage.
4. Perform emergency resuscitation procedures such as maintenance of airway, breathing
and circulation and advanced life support.
5. Stabilise casualties for long-haul air evacuation to a Level 4 facility, which may be
located in another country.
6. Hospitalise up to 50 patients for up to 30 days each for inpatient treatment and care, and
up to 4 patients for intensive care and monitoring.
7. Perform up to 20 basic radiological (x-ray) examinations per day. Availability of ultrasonography or CT scan capability is an advantage.
8. Treat 10-20 dental cases per day, including pain relief, extractions, fillings and infection
control, as well as limited oral surgery.
9. Administer vaccination and other preventive medicine measures, including vector control
in the mission area.
10. Perform up to 40 diagnostic laboratory tests per day.
11. Constitute and deploy at least two FMTs (comprising 1 x doctor and 2 x paramedics) to
provide medical care at secondary locations or medical support during casualty
evacuation by land, rotary and fixed-wing aircraft.
12. Maintain adequate medical supplies and consumables for up to 60 days, and the
capability of limited resupply Level One and Level Two medical units, if required.
Level Four Medical Support

A Level Four medical facility provides definitive medical care and specialist medical treatment
unavailable or impractical to provide for within a Mission area. This includes specialist surgical
and medical procedures, reconstruction, rehabilitation and convalescence. Such treatment is
highly specialised and costly, and may be required for a long duration. It is neither practical nor
cost-effective for the UN to deploy such a unit within the Mission area. Such services are
generally sought in the host country, a neighbouring country, or in the troop-contributing country
itself. The UN can arrange transfer of a patient or casualty to such a facility, and for reasons of
cost, compensation and pension, continues to monitor the patients progress.
Indications for UN medical staff to utilise Level 4 facilities include:
1. When the distance from Mission area to the country of origin is too far, and the patient or
casualty is in urgent need of specialist medical treatment.
2. When the patient requires only short-term specialist treatment and is expected to return to
duty within 30 days.
3. When the troop-contributing country is unable to provide appropriate definitive treatment
(this excludes chronic medical conditions diagnosed prior to the peacekeepers
deployment into the Mission area, or for which he is already receiving treatment).
4. When the UN receives an offer from a specific nation to provide definitive care, an
arrangement requiring a contract or Letter of Assist (LOA) with the respective country
and allocation of the appropriate funds.
253
ANNEX E
UN MEDICAL STANDARDS FOR PEACEKEEPING MISSIONS
1. Personnel assigned to peacekeeping/special missions are exposed to hazardous conditions not
normally associated with peacetime service. Moreover, due to a stressful and changed
working environment, there is a potential of aggravation of any pre-existing medical
conditions. Therefore, special considerations should be given to patients with a history of
chronic medical problems.
Medical Standards
2. When examining members for service in a peacekeeping special mission area, it must be
borne in mind that they may be required to serve where unfamiliar diseases are endemic,
where sanitation may be sub-standard and amenities few. They may be required to travel on
foot and live in primitive conditions. Recreational facilities may be scarce.
3. Physicians shall make their assessment on the basis of medical history, physical examination,
laboratory and x-ray results, and an estimate of personality characteristics.
4. Special considerations shall be given to members with a history of the following conditions,
who may function well in a relatively sheltered service environment but may prove to be a
medical liability in a peacekeeping mission assignment:
a. Physical Conditions. The following conditions are generally considered as
precluding service in peacekeeping areas, but must be carefully assessed on an
individual basis, taking into account the severity of the condition and the particular
area for which the member is being examined:
i.
Ischemic heart disease;
ii.
Hypertension requiring medication;
iii.
Diabetes;
iv.
Malignancies;
v.
History of gastro-duodenal ulcers (a single instance of duodenal ulcer in

the past should not preclude service in these areas);
vi.
Ulcerative colitis;
vii.
Asthma, chronic bronchitis and emphysema;
viii.
Chronic nephritis and urinary lithiasis;
ix.
Low back condition;
x.
Skin disease, such as extensive eczema, cystic recurrent acne and skin
cancer;
xi.
Allergies requiring sustained supportive treatment;
254
xii.
Members on special continuing medication such as steroids, antituberculous treatment, chemotherapy, anti-depressant and anti-psychotic
drugs;
xiii.
Endocrine disturbance such as hyperthyroidism;
xiv.
Member with known allergies to anti-malarial medication;
xv.
Members with any immuno-compromised medical conditions, such as

AIDS.
b. Psychiatric conditions. Members who in the past have had episodes of situational
maladjustment, anxiety neurosis or neurosis with somatization should be very
carefully evaluated. Members who have been known to require minor tranquillisers
for relatively long periods of time should also be screened carefully;
c. Alcohol. Members who have a history of problems related to the use of alcohol, or
are known to be heavy drinkers, should be screened carefully for service in these
areas.
255
LESSON 10
END-OF-LESSON QUIZ
1.
The United Nations Charter requires that all personnel must maintain the highest standards of:
A. Integrity and conduct;
B. Integrity and equality;
C. Fraternity and conduct;
D. Equality and conduct.
2.
At all levels, who bears responsibility for the conduct and performance of individuals
undertaking the United Nations operation?
A. The individuals themselves;
B. The Secretary-General;
C. The Under-Secretary-General;
D. The commander of the operation.
3.
Commanders play a pivotal role in all of the following EXCEPT:

A. Establishing the competencies and responsibilities of subordinates;
B. Assuring that subordinates are aware of their obligations;
C. Enforcing the local populations compliance with national laws;
D. Training their subordinates in their responsibilities as an ongoing part of routine
training.
4.
What is the purpose of ROE?

A. ROE provide justification for the application of force;
B. ROE provide the parameters within which armed military (and police) personnel
assigned to United Nations Peacekeeping Operations may use force;
C. ROE provide techniques for the application of force;
D. ROE enumerate disciplinary measures for violations by UN personnel.
5.
Which of the following components of a basic ROE for a specific UNPKO are listed in
structural order?
A. Main Body, Definitions, Weapon States;
B. Definitions, List of Numbered ROE, Supporting Directions and Procedures;
C. Weapon States, List of Numbered ROE, Supporting Directions and Procedures;
D. Main Body, Definitions, List of Numbered ROE.
256
6.
Before opening fire, a soldier should give the following warning at least three times in the
English language:
A. UNITED NATIONS, CEASE YOUR MOVEMENT;
B. UNITED NATIONS, YOU HAVE BEEN TARGETED;
C. UNITED NATIONS, DOWN ON THE GROUND;
D. UNITED NATIONS, HALT OR I WILL FIRE.
7.
At the UN Sector level, medical facilities are:

A. Provided by the host nation;
B. The responsibility of the national system of contingents;
C. Provided by the UN to Level 2, which includes a surgical capability;
D. Not available.
8.
The accommodation of UN military and police contingents is:

A. The responsibility of the host nation under the SOFA;
B. Provided by the UN as soon as possible, normally within six months of arriving in a
location;
C. Must be found by contingents from local resources;
D. Must be provided by the TCCs for the duration of the deployment in the mission
area.
9.
What is the purpose of the Ten Rules in the Code of Personal Conduct for Blue Helmets and
the document We are United Nations Peacekeepers?
A. To provide tactical strategies;
B. To serve as a screening test to identify and eliminate personnel who may be
unsuitable for service on a UN mission;
C. To provide peacekeepers with clear guidelines for personal conduct of integrity and
discipline in dedicated service to achieving the goals of the UN;
D. To provide a standard set of punishments for violation of UN regulations.
10. Peacekeeping medals are awarded to eligible military and police if they perform effectively
in the specified mission for:
A. 3 months or more;
B. 6 months or more;
C. 1 year or more;
D. 5 years or more.
ANSWER KEY:
1A, 2D, 3C, 4B, 5A, 6D, 7C, 8B, 9C, 10A
257
Appendix A / Table of Acronyms
APPENDIX A: TABLE OF ACRONYMS

Acronym
AOR
CAO
CISS
CM
CMO
CMOC
COE
DDR
DFC
DO
DPA
DPKO
ECPS
EOD
FC
HOM
HQ
IDP
IMPP
LOA
MACC
MLO
MOU
MTC
NGO
NSE
OLA
OMS
OP
OSG
PC
PIO
RC
RDL
ROE
SG
SGTM
SMT
SOFA
SOP
SRSG
TCC
TES
Meaning
Area of Responsibility
Chief Administrative Officer
Chief of Integrated Services
Chief of Mission
Chief Military Observer
Civil-Military Operations Centre
Contingent-Owned Equipment
Disarmament, Demobilisation, and Reintegration
Deputy Force Commander
Designated Official
Department of Political Affairs
Department of Peacekeeping Operations
Executive Committee on Peace and Security
Explosive Ordnance Disposal
Force Commander
Head of Mission
Headquarters
Internally Displaced Person
Integrated Mission Planning Process
Letter of Assist
Mine Action Coordination Centre
Military Liaison Officer
Memorandum of Understanding
Mission Training Cell
Non-Governmental Organisation
National Support Element
Office of Legal Affairs
Office of Mission Support
Observation Post
Office of the Secretary-General
Police Commissioner
Public Information Office
Resident Coordinator
Rapid Deployment Level
Rules of Engagement
Secretary-General
Standardised Generic Training Module
Security Management Team
Status of Forces Agreement
Standard Operating Procedure
Special Representative of the Secretary-General
Troop-Contributing Country
Training and Evaluation Service
258
Appendix A / Table of Acronyms
Acronym
UNCT
UNDP
UNHQ
UNMAS
UNMO
UNNY
UNSAS
UNSCR
UNV
USG
Meaning
UN Country Team
UN Development Programme
UN Headquarters
UN Mine Action Service
UN Military Observer
UN New York
UN Standby Arrangements System
UN Security Council Resolution
UN Volunteers
Appendix B / List of UN Peacekeeping Missions
APPENDIX B: LIST OF UN PEACEKEEPING MISSIONS

BINUB*
DOMREP
MINUGUA
MINURCA
MINURCAT*
MINURSO*
MINUSTAH*
MIPONUH
MONUA
MONUC*
ONUB
ONUC
ONUCA
ONUMOZ
ONUSAL
UNAMA*
UNAMIC
UNAMID*
UNAMIR
UNAMSIL
UNASOG
UNAVEM
UNCRO
UNDOF*
UNEF
UNFICYP*
UNGOMAP
UNIFIL*
UNIIMOG
UNIKOM
UNIOSIL*
UNIPOM
UNMEE*
UNMIBH
UNMIH
UNMIK*
UNMIL*
UNMIS*
UNMISET
UNMIT*
UNMOGIP*
UNMOP
United Nations Integrated Office in Burundi

Mission of the Representative of the Secretary-General in the Dominican Republic
United Nations Verification Mission in Guatemala
United Nations Mission in the Central African Republic
United Nations Mission in the Central African Republic and Chad
United Nations Mission for the Referendum in Western Sahara
United Nations Stabilisation Mission in Haiti
United Nations Civilian Police Mission in Haiti
United Nations Observer Mission in Angola
United Nations Organization Mission in the Democratic Republic of the Congo
United Nations Operation in Burundi
United Nations Operation in the Congo
United Nations Observer Group in Central America
United Nations Operation in Mozambique
United Nations Observer Mission in El Salvador
United Nations Mission in Afghanistan
United Nations Advance Mission in Cambodia
African Union/United Nations Hybrid Operation in Darfur
United Nations Assistance Mission for Rwanda
United Nations Mission in Sierra Leone
United Nations Aouzou Strip Observer Group
United Nations Angola Verification Mission
United Nations Confidence Restoration Operation
United Nations Disengagement Observer Force
United Nations Emergency Force
United Nations Peacekeeping Force in Cyprus
United Nations Good Offices Mission in Afghanistan and Pakistan
United Nations Interim Force in Lebanon
United Nations Iran-Iraq Military Observer Group
United Nations Iraq-Kuwait Observation Mission
United Nations Integrated Office in Sierra Leone
United Nations India-Pakistan Observation Mission
United Nations Mission in Ethiopia and Eritrea
United Nations Mission in Bosnia and Herzegovina
United Nations Mission in Haiti
United Nations Interim Administration Mission in Kosovo
United Nations Mission in Liberia
United Nations Mission in the Sudan
United Nations Mission of Support in East Timor
United Nations Integrated Mission in Timor-Leste
United Nations Military Observer Group in India and Pakistan
United Nations Mission of Observers in Prevlaka
259
Appendix B / List of UN Peacekeeping Missions
UNMOT
UNOCI*
UNOGIL
UNOMIG*
UNOMIL
UNOMSIL
UNOMUR
UNOSOM
UNPREDEP
UNPROFOR
UNPSG
UNSF
UNSMIH
UNTAC
UNTAES
UNTAET
UNTAG
UNTMIH
UNTSO*
UNYOM
260
United Nations Mission of Observers in Tajikistan

United Nations Operation in Cte dIvoire
United Nations Observation Group In Lebanon
United Nations Observer Mission in Georgia
United Nations Observer Mission in Liberia
United Nations Observer Mission in Sierra Leone
United Nations Observer Mission Uganda-Rwanda
United Nations Operation in Somalia
United Nations Preventive Deployment Force
United Nations Protection Force
United Nations Civilian Police Support Group
United Nations Security Force in West New Guinea (West Irian)
United Nations Support Mission in Haiti
United Nations Transitional Authority in Cambodia
United Nations Transitional Authority in Eastern Slavonia, Baranja, and Western Sirmium
United Nations Transitional Administration in East Timor
United Nations Transition Assistance Group
United Nations Transition Mission in Haiti
United Nations Truce Supervision Organization
United Nations Yemen Observation Mission
* Ongoing operations, as of December 2007.

For more information on these operations, visit UN DPKOs website at
http://www.un.org/Depts/dpko/dpko/index.asp.
End-of-Course Examination Instructions
End-of-Course
Examination Instructions
The End-of-Course Examination is provided as
a separate component of this course.
The examination questions cover the material in

all the lessons of this course.
Read each question carefully and

follow the provided instructions to submit your exam for scoring.
261
End-of-Course Examination Instructions
262
INFORMATION ABOUT THE END-OF-COURSE EXAMINATION
Format of Questions
The End-of-Course Examination consists of 50 questions. Exam questions generally give
you a choice of answers, marked as A, B, C, or D. You may choose only one response as the
correct answer.
Time Limit to Complete the End-of-Course Examination

Because your enrolment in the course is valid for one year only, the examination must be
submitted before your enrolment expires.
Passing Grade
A score of 75% is the minimum score required for a passing grade. You will be
presented with an electronic Certificate of Completion when you pass your exam. If your score
is less than 75%, you will be informed that you have received a failing grade. You will be
provided with an alternate version of the End-of-Course Examination, which you may complete
when you feel you are ready. If you pass the second version of the examination, you will be
presented with an electronic Certificate of Completion. If you fail the second time, you will be
informed and dis-enrolled from the course.
TO VIEW OR SUBMIT YOUR EXAMINATION,

PLEASE VISIT THE WEBPAGE FOR YOUR
TRAINING PROGRAMME.
IF YOU ARE UNSURE OF YOUR

PROGRAMMES WEBSITE, VISIT
HTTP://WWW.PEACEOPSTRAINING.ORG/JOIN.
ABOUT THE AUTHOR
Major General Tim Ford is based in Sydney, Australia, as an international

peace and security consultant. He retired from the Australian Army in 2003
following an extensive career in the Australian Defence Force and the United
Nations.
During his military career, General Ford served in a wide variety of
command, staff, and training appointments in Australia and overseas, including
operational service in South Vietnam. For the last five years of his military
career, he was employed in UN appointments as the Head of Mission UNTSO in
the Middle East in 1998-2000 and as the Military Adviser in the Department of
Peacekeeping Operations at UN Headquarters from 2000-2002.
Since leaving the Defence Force, General Ford has undertaken a number
of significant overseas projects for the Australian Government, the United
Nations, and other International Organisations on international peace and security
issues.
Both throughout and following his military career, he travelled to conflict
areas and contributed to a wide range of international seminars, training courses,
and conferences as a keynote speaker and presenter. He has been a Peace
Operations Training Institute adviser since 2003.
Commanding 090201

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Peace Operations Training Institute

COMMANDING UNITED NATIONS

2008 Peace Operations Training Institute

COMMANDING UNITED NATIONS

Peace Operations Training Institute

2008 Peace Operations Training Institute

First edition: 1997 by Captain Jean Michel Faure

Commanding United Nations

LESSON 1 THE UNITED NATIONS FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Foundations and Nature of the United Nations System

LESSON 2 DEVELOPMENT OF PEACEKEEPING OPERATIONS . . . . . . . . . . . . . . . . . . . 17

UN Missions in the Field

LESSON 3 STRATEGIC PLANNING AND PREPARATION . . . . . . . . . . . . . . . . . . . . . . . . 59

LESSON 4 SELECTION AND PREPARATION OF LEADERS . . . . . . . . . . . . . . . . . . . . . . 83

The Need to Change

LESSON 5 REGIONAL ORGANISATION, MEMBER STATE AND NATIONAL ISSUES . . 127

LESSON 6 LEADERSHIP, COOPERATION AND INTEGRATION IN MISSIONS . . . . . . . 157

LESSON 7 UN PEACEKEEPING MISSION STRUCTURES, POLICIES AND SOPS . . . . . 175

LESSON 8 NATIONAL AND CONTINGENT COMMAND IN MISSIONS . . . . . . . . . . . . . . .193

National Contingent Headquarters

LESSON 9 TACTICAL TECHNIQUES FOR COMMANDERS IN UN PEACEKEEPING

LESSON10 OTHER COMMAND ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233

APPENDIX A: TABLE OF ACRONYMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257

Course format and materials permit:

Please visit http://www.peaceopstraining.org/course_extras

Learning course material

Please consult your enrolment confirmation email or the end of

The material should be logical and straightforward. Instead of memorizing individual

Set up guidelines regarding how you want to schedule your time.

Foundations and Nature of the United Nations System

Working Organisation of the United Nations

UN Organs and Agencies

Lesson 1 / The United Nations Framework

Understand the background to the creation of the UN;

Identify the principal organs of the UN;

Describe the difference between the UN organs and UN agencies; and

Appreciate the evolving nature of UN financing and reform.

Please visit http://www.peaceopstraining.org/course_extras

Lesson 1 / The United Nations Framework

Foundations and Nature of the United Nations System

Lesson 1 / The United Nations Framework

Outline of the UN Charter

Purposes and Principles

Key Principles of the UN Charter include:

Sovereign equality of all Member States;

Lesson 1 / The United Nations Framework

Working Organisation of the United Nations

Lesson 1 / The United Nations Framework

Lesson 1 / The United Nations Framework

UN Organs and Agencies

The General Assembly;

The General Assembly preparing for a regular

Lesson 1 / The United Nations Framework

Disarmament and International Security Committee

The UN Security Council

Lesson 1 / The United Nations Framework

EXECUTIVE OFFICE OF THE

EXECUTIVE OFFICE OF THE

EXECUTIVE OFFICE OF THE

Office for the Coordination of

Department for Disarmament

Office of the Iraq Programme