Vous êtes sur la page 1sur 177

An Introduction to the UN System: Orientation for Serving on a UN Field Mission

(Intro to the UN 070329)

A Course Produced by The United Nations Institute for Training and Research, Programme of Correspondence Instruction
(Revised 2003)

Course Author Lt.Col. (Retd.) Christian Hrleman

Senior Special Fellow, UNITAR

Series Editor Harvey J. Langholtz

Copyright 2003, UNITAR POCI

UNITAR Training Programme of Correspondence Instruction in Peacekeeping Operations Dag Hammarskjld Centre Box 20475 New York, NY 10017

Programme UNITAR de Formation Par Correspondance Aux Oprations de Maintien de la Paix Palais des Nations 1211 Geneve 10 Suisse

An Introduction to the UN System: Orientation for Serving on a UN Field Mission

(Intro to the UN 070329)

A Course Produced by The United Nations Institute for Training and Research, Programme of Correspondence Instruction
(Revised 2003)

Course Author Lt.Col. (Retd.) Christian Hrleman

Senior Special Fellow, UNITAR

Series Editor Harvey J. Langholtz

Copyright 2003, UNITAR POCI

Address all correspondence to: UNITAR Training Programme of Correspondence Instruction in Peacekeeping Operations Dag Hammarskjld Centre Box 20475 New York, NY 10017-0009 USA

An Introduction to the UN System: Orientation for Serving on a UN Field Mission TABLE OF CONTENTS Table of Contents................................................................................. i Foreword............................................................................................. iv Introduction ......................................................................................... v Format of Study................................................................................. vii Method of Study ............................................................................... viii

Section I: The Overall Framework Lesson 1: The Task and the Task Organization................................ 1
1.1 1.2 1.3 1.4 1.5 1.6 Lesson Objectives with Key Questions Introduction The Charter of the United Nations An Introduction Purposes and Principles of the United Nations Legal Principles Financial Principles Budget of the United Nations The United Nations System Achievements Some Basic Facts Learning Questions with End-of-Lesson Quiz

Lesson 2: The Principal Organs of the United Nations ..................17

Lesson Objectives with Key Questions Introduction 2.1 General Assembly 2.2 Security Council 2.3 Economic and Social Council 2.4 Trusteeship Council 2.5 International Court of Justice 2.6 Secretariat and the Secretary-General 2.7 Peacebuilding Commission Learning Questions with End-of-Lesson Quiz

Section II: The Operational Framework Lesson 3: The United Nations Role in Maintaining Peace and Security ......................................................................35
Lesson Objectives with Key Questions Introduction 3.1 Political Context 3.2 The Key Concepts of an Interrelated System with Various Mechanisms for Response 3.3 Universal Principles Guiding Peacekeeping Operations 3.4 Organizational Structure and Main Functions 3.5 Types of Peace Operations 3.6 Planning and Preparation 3.7 Management Responsibilities 3.8 Peacekeeping Partnership Learning Questions with End-of-Lesson Quiz

Lesson 4: The Roles of the United Nations in the Fields of Development and Related Humanitarian Actions........55
Lesson Objectives with Key Questions Introduction 4.1 The Development Concept 4.2 The Interface between Disaster Relief and Development 4.3 Humanitarian Imperatives 4.4 Distinctions/Similarities between Human Rights Law and International Humanitarian Law 4.5 Human Rights and Principles for Protection of Human Rights 4.6 Principles and Applications of International Humanitarian Law Learning Questions with End-of-Lesson Quiz

Section III: The Working Concept Lesson 5: The Environments ............................................................73

Lesson Objectives with Key Questions Introduction 5.1 Social and Cultural Environment 5.2 Mission Environment and Types of Missions 5.3 Civilian and Military Cooperation (CIMIC) 5.4 The Security and Safety Environment Learning Questions with End-of-Lesson Quiz

Lesson 6: Principles, General Duties, and Responsibilities ...........89

Lesson Objectives with Key Questions Introduction 6.1 Background 6.2 Obligations and Duties 6.3 Cultural and Social Demands 6.4 Personal Demands 6.5 Privileges and Immunities Learning Questions with End-of-Lesson Quiz The Code-of-Conduct of the Blue Helmets


Lesson 7: Safety and Security ........................................................105

Lesson Objectives with Key Questions Introduction 7.1 The Principal Context 7.2 Personal Safety Precautions 7.3 Travel 7.4 Special Security Precautions 7.5 First-Aid 7.6 Health Precautions Learning Questions with End-of-Lesson Quiz

Section IV: The Working Tools Lesson 8: The Available Tools ........................................................123
Lesson Objectives with Key Questions Introduction 8.1 Participatory Methods 8.2 Projects and Project Control 8.3 Monitoring 8.4 Liaison and Information 8.5 Negotiation 8.6 Mediation 8.7 Written Communications and Reports 8.8 Communication with the Media Learning Questions with End-of-Lesson Quiz

Lesson 9: The Partners....................................................................141

Lesson Objectives with Key Questions Introduction 9.1 The Need for Proper Identification 9.2 UN Programmes and Funds 9.3 UN Specialized Agencies 9.4 International Organizations with Member States 9.5 Non-Governmental International Organizations 9.6 International Governmental Organizations 9.7 Non-Governmental Organizations Learning Questions with End-of-Lesson Quiz

End-of-Course Examination ............................................................162


The current trends of political, social, and economic globalisation provide both challenges and opportunities for the international community. Some nations experience the forces of fragmentation while others experience integration. With these recent changes has come an increase in the number of conflicts, exacerbated by instability, social and economic injustice, and political competition. In this environment, the United Nations has an uncontested role as the leading organization for the maintenance of peace and security, development of political stability, social and economic progress, and well-being. The issues of peace, governance, democracy, and development are closely interrelated and must be simultaneously addressed. This situation not only demands greater efforts by the Organization to find political and financial solutions, but also requires the United Nations to identify and explore appropriate and adequate human resources, particularly in this field. United Nations field missions are a blend of peace support operations, humanitarian aid, and development activities involving civilian personnel as well as military specialists. UN military missions, both small and large, and under widely varying mandates, have been staffed by multinational peacekeeping forces composed mainly of military units and military personnel who have been trained through their own national programmes. Although these missions require a large number of military specialists, the involvement of civilians has expanded significantly, particularly where a peacekeeping operation has been called upon to perform duties that are less military in nature. The same tendency prevails in other areas of United Nations field operations such as the more peaceful development activities. All UN field missions require staffing by personnel with extensive professional training in their own field of expertise. In addition, these staff members must have an awareness of the complex working environment, including political, economic, social, and security conditions in the field. They must also have knowledge of multidisciplinary structures, especially the United Nations system itself. In addition, field personnel have to acquire the ability to handle these intricate concerns. This requires a coherent and cohesive training system that covers training at all levels. Therefore, this self-paced correspondence course should be seen as part of such a system. It is primarily aimed at those who are or would like to become members of United Nations Field Missions and who would like to become better familiarized with the United Nations, its system, working conditions, and requirements in the field. It is hoped that the information contained in this course will assist these individuals in their preparation for a field assignment. Christian Hrleman Stockholm, Sweden in May 2003


The primary purpose of this course is to provide to civilians (and others) likely to be assigned to a United Nations field mission an introduction to the United Nations system, the mission environment, and what it means to serve on a United Nations field mission. Contents The course itself is comprised of four main sections. The first two are intended to give the student a thorough awareness of the guiding principles of the UN at the institutional and operational level. The other two sections focus on the practicalities, the problems a field operator may encounter, and the means to deal with such issues at his or her disposal. In addition to the course booklet there are study or reference materials. The first is the United Nations Charter, which is provided to the student with this course. The UN Charter can also be accessed online at http://www.un.org/aboutun/charter/index.html. The second is optional study material: Basic Facts about the United Nations which is available separately for students who wish to obtain it (UN bookstore or online). These two documents will reinforce the institutional and operational sections of the course document. References are made accordingly. The End-of-Course-Examination is provided as a separate component of this course booklet. Goals This course should provide the student with an adequate base for better knowledge and understanding of the United Nations, including the following topics: The purpose and principles of the United Nations, its system and institutional framework; The United Nations roles in the areas of peace, security, and development; Applications of international humanitarian law and human rights; Application of communication, negotiation, and mediation technique; Safety and security; General obligations and responsibilities of the Field Operator. The objectives of the course are based on the policies and principles of the United Nations, as well as similar objectives as expressed by organizations/institutes and non-governmental organizations. In addition to these overall objectives, it is expected that the course will facilitate and create an awareness of: The working environment and what is expected by the UN Field Operator in the context of the United Nations operational principles; Intercultural and behavioral principles including gender issues; Interaction and communication with other organizations; Project management. Audience and Dissemination This course package is designed to meet the training needs of a population of students with little experience in United Nations field operations but who are likely to be assigned to a United Nations mission in the field. This course is to be disseminated by UNITAR POCI.

Application The course is generic and, thus, provides general information as part of the preparation of the Field Operators (FO) and other UN Field Operations personnel. In the development of the course, it has been assumed that the student will attend a mission/project-oriented briefing upon arrival at the actual mission. This briefing should be organized by the UN field mission with participation of actual UN agencies, a local government, or a non-governmental organization to which the FO is assigned. Approach The course is primarily descriptive, although some personal comments are offered when appropriate. The information provided in the text is not unique to this course. Generally, the text is consistent with what is stated in referred source material and present in most other publications on the topic. New to the course, however, is the compilation and development of information that focuses entirely on the civilians assigned to field missions and with no previous experiences from working with the United Nations. While every effort has been made to ensure that this course is accurate and up to date, this course is only a training document and, therefore, does not promulgate policy. For questions of policy or doctrine, the student should consult appropriate official sources. References and Sources
The Charter of United Nations The Challenges Project, Challenges of Peace Operations: Into the 21st CenturyConcluding Report 1997-2002 Elanders Gotab, Stockholm 2002 The Use of Force in UN Peace Operations; Trevor Findlay, Oxford University Press, 2002 United Nations Handbook 2002; Ministry of Foreign Affairs and Trade, New Zealand Draft UNV Handbook 2000; United Nations Volunteer Programme, Bonn Report of the Panel on United Nations Peace Operations 2000 Basic Facts about the United Nations; Department of Public Information, United Nations 2000 To Serve and Protect; C. de Rover, International Committee of the Red Cross 1998 Analysis for Peace Operations; Edited by Alexander Woodcock and David Davis, Canadian Peacekeeping Press 1998 United Nations Peace-keeping Handbook for Junior Ranks; Department of Peace-keeping Operations, United Nations 1997 United Nations Military Observers. Methods and Techniques for Serving on a UN Observer Mission; United Nations Institute for Training and Research, Programme of Correspondence Instructions in Peace-keeping Operation, 1997 The Blue Helmets: A Review of United Nations Peace-keeping. United Nations Publication, 1996 Confronting New Challenges; Boutros Boutros-Ghali, United Nations 1995 General Guidelines for Peace-keeping Operations; Department of Peace-keeping Operations, United Nations, 1995 United Nations Stress Management Booklet; Department of Peace-keeping Operations, United Nations 1995 Security Awareness, An Aide-memoir; United Nations Security Coordination Office New York and United Nations High Commissioner for Refugees Geneva, 1995 Renewing the United Nations System; Erskine Childers with Brian Urquhart, Development Dialog 1994:1, Dag Hammarskjold Foundation International Organizations; Peter Hansen, Samfundsfglige grundboger, Gyldendal 1975 Information available over the Internet All photos from United Nations photo archive unless otherwise indicated


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

Materials needed for the completion of this course are enclosed with the course listed below: Course booklet: An Introduction to the United Nations System: Orientation for Serving on a UN Field Mission Charter of the United Nations (provided with this course) End-of-Course Examination (provided with this course) Answer Sheet for End-of-Course Examination Return Envelope for End-of-Course Examination

In addition, but not necessary, the book Basic Facts about the United Nations can be used as supplementary information. References are made in Lessons 1-6 accordingly. However, this optional book is not included in the standard package and should to be ordered separately if desired.

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this course by author LCOL Christian Hrleman.

The student is responsible for: Learning course material Completing the End-of-Course Examination Submitting the End-of-Course Examination Please see the End-of-Course Examination Answer Sheet for submission instructions.


The following are suggestions for how to proceed with a UNITAR POCI 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 by using the key questions. If you are able to, read the material twice to ensure maximum understanding and retention, and let time elapse between readings. Use the supplementary course material for clarification or if you want more in-depth knowledge of a specific issue. When you finish a lesson, answer the Learning Questions before you take the End-of-Lesson Quiz. The Learning Questions are to ensure that you have correctly understood the main points of the lesson. 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 an error. After you complete all of the lessons, take time to review the main points by using the Learning Questions 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 receive 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. There are six official languages at the United Nations; one of these is English as used in the UK. UNITAR POCI courses are written using English spelling.



Learning Objectives Key questions Introduction 1.1 The Charter of the United Nations An Introduction History Aims Contents of the Charter 1.2 Purposes and Principles of the United Nations Purposes Principles Experiences 1.3 Legal Principles General Legal Entities Legal Framework for Peacekeeping and Other Similar Operations 1.4 Financial Principles Budget of the United Nations Regular Budget Extra Ordinary Budget Peacekeeping Budget 1.5 The United Nations System The Central United Nations Major Agencies Technical Agencies Outside (but linked to) the System 1.6 Achievements Some Basic Facts Learning Questions Knowledge Awareness Application End-of-Lesson Quiz

Lesson 1 / The Task and the Task Organization

LESSON 1 (Ref: Basic Facts about the UN; pages 3-6, 19-54 and Articles of the Charter) Learning Objectives In order to understand the United Nations and its field operations, it is necessary to have an awareness of the institutional framework of the Organization. While Lesson 1 deals with the general principles and organizational structure, Lesson 2 provides a more detailed description of the core United Nations that is the principal organs. The first four parts of Lesson 1 provide information about the structure and main content of the Charter of the United Nations, as well as the basic principles that guide the Organization in its global efforts to maintain international peace and security. Although the legal and financial principles are complicated issues, the student should acquire an awareness of these fundamental concepts. The fifth part introduces the student to the United Nations system and the interrelations between the various agencies, programmes, funds, and other bodies. The last part deals with what might be called the empirical framework. Since United Nations activities are always under debate, this part also provides some hard facts, which might be useful in forthcoming discussions. At the end of the lesson, the student is supposed to have an understanding of the overall framework.

Key questions to be considered by the student when studying Lesson 1: What were the reasons for founding the United Nations? What is the purpose of the United Nations? What is the main principle of the United Nations? What document is the constituting instrument of the United Nations? What is the legal framework for a peace operation? What are the principles for financing a peacekeeping operation? What are the main bodies of the UN system?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 1 / The Task and the Task Organization

Introduction The United Nations Charter sets out the rights and obligations of the Member States and authorizes the establishment of the United Nations principal organs and main procedures. The Charter is the constituting instrument of the Organization, codifying the major principles of international relations. The institutional framework of the Organization rests in the principles, structures, and rules of the various organs that are provided for in the Charter. Knowledge about the Charter is a prerequisite for understanding the interrelationship between Member States and the United Nations, as well as the relations between the Organizations various organs and bodies as stipulated in the Charter. The high ideal of the UN stated in the Charter To end the scourge of war has guided the UN from its founding in 1945, through its being awarded the Nobel Peace Prize in 2001, and beyond to the future and the challenges of the 21st Century. The full text of the Charter can be accessed online at http://www.un.org/aboutun/charter/index.html. In addition, there is the UN System, which is a complex and sprawling structure encompassing a large number of organs, commissions, agencies, etc. The system also includes all the non-governmental organizations that are linked to the system. All these actors, together with other entities outside the system that are also concerned with international issues, constitute what is generally called the international community. 1.1 The Charter of the United Nations An Introduction History In the aftermath of the First World War, the League of Nations was established, but the Organization was never fully recognized and, consequently, failed to avert the Second World War. Thus, the United Nations was established in the shadow of two global conflicts with the major purpose to prevent a repeat of the tragedies of wars. The organization was established with an amazing swiftness. Between 1941 and 1944, four conferences were held at which the allies discussed the establishment of a new international organization with the major purpose to maintain international peace and security. Although the crucial question of power sharing was resolved at the Yalta conference in 1944, it was not until the San Francisco conference in April 1945, with the participation of fifty states, that the Charter was officially drafted. At the San Francisco conference, the power of the future Security Council became obvious, which advocated the smaller states to successfully argue for stronger roles of the General Assembly, the Secretary-General and the International Court of Justice. As a result, the Charter was broadened and the United Nations was empowered to act in economic and social areas as well.

The original Charter of the United Nations.

Lesson 1 / The Task and the Task Organization

On June 26, 1945, the Charter was signed by all participating nations, and on October 24, 1945, it was ratified by the allies five major powers (the present five permanent members of the Security Council) and by a majority of the signatory States. Aims The United Nations Charter was, and still is, a bold prescription for maintaining international peace and security and promoting economic and social development. The Charter provides the purposes and principles of the United Nations and sets out the structure of the United Nations, the interrelations, principles and rules, which form the institutional framework of the United Nations. The Charter begins with the Preamble, which expresses the aims and ideals of the United Nations in elevated words. The founders were undoubtedly guided by the experiences from two major world wars, the suffering of mankind, and a deep longing for peace based on equality, dignity, and social and economic progresses. Other keywords are peace, human rights, freedom, sovereignty, and respect for treaties and the international law system, all of which are to be achieved through tolerance, maintenance of international peace and security, and the promotion of the economic and social advancement of all people. The Preamble ends with a formal declaration in which all the signatory States agree to the present Charter and the establishment of an organization to be known as the United Nations. Contents of the Charter The Preamble is followed by nineteen chapters, or 111 articles. The Chapters evolved around four major areas: peace and security; economic and social issues; the trusteeship system; and the judicial organ. The various articles describe the functions, rules and procedures of the six principal organs of which the General Assembly can be considered as the governing organ and the Secretariat as the executive function. The Charter ends with Provisional Rules (among others, the privileges and immunities for United Nations officials), Transitional Arrangements (relevant at the end of World War II), Amendments, and Ratification and Signature. The annexed Statute of the International Court of Justice is an integral part of the Charter, comprised of five chapters. The first three deal with the Organization, Competence and Procedures of the Court, and the remaining two with Advisory Opinions and Amendments. 1.2 Purposes and Principles of the United Nations Purposes Articles 1 and 2 are the most important articles of the Charter since they describe the overall objectives and principles of the United Nations. Article 1 sets forth the primary purposes of the United Nations by authorizing the Organization "to maintain international peace and security and to that end: to take effective collective measures for the prevention and removal of threats to peace, and for the suppression of acts of aggression or other breaches of peace, and to bring by peaceful means, and in conformity with the principles of justice and international law, adjustment or settlement of international disputes or situations which might lead to a breach of peace.... The article also mandates the Organization to develop friendly relations among nations and to achieve international cooperation in addressing economic, social and cultural matters and fundamental rights issues concerning groups and individuals. The United Nations is viewed as the harmonizing center in attaining these common ends.

Lesson 1 / The Task and the Task Organization

Principles Article 2 stipulates the principles for how the United Nations and the Member States shall act in pursuit of the purposes of Article 1. As such, the Article is based on the principle of the sovereign equality of all the Member States that are to fulfil in good faith their obligations to the Charter. States are to refrain from the threat or use of force against any other State, and international disputes are to be settled by peaceful means without endangering peace, security, and justice. Members shall give the United Nations every assistance in any action it takes in accordance with the Charter and shall not assist States against which the United Nations is taking preventive or enforcement action. However, these two articles are secondary to the principles of sovereignty and noninterference. The end of paragraph 7, Article 2 states that nothing in the Charter shall authorize the United Nations to intervene in matters which are essential within the domestic jurisdiction of any state. However, this principle shall not prejudice the application of enforcement measures under Chapter VII a principle which, in the 1990s, was used to support various political arguments. Experiences As indicated, the founders of the United Nation envisioned a framework for relations between states, which would act through cooperation instead of force, either as a means of obtaining goals of their foreign policy or settling conflicts. Thus, the Charter established a framework for relations between states, and yet, during the Cold War era, the purposes and the principles of the United Nations seemed far from assured. Instead, the era witnessed the competition between the superpowers, and their exercise of the veto power in the Security Council significantly hampered the effective discharge of responsibilities by the United Nations chief security organ the Security Council. The circumstances became a political reality, which, to a certain extent, also carried over from the Security Council throughout the rest of the system. One of the fundamental concepts in the maintenance of peace and security was the concept of collective security. However, the concept, including the use of armed forces and other enforcement tools as envisaged in the Charter, did not prove practical during the Cold War era. Instead, the United Nations resorted, in specific situations, to an alternative method of maintaining international peace and security namely peacekeeping. With the end of the Cold War, and the easing of superpower rivalries and tensions, the Charters relevance to the contemporary political environment was improved. On the other hand, the end of the Cold War and the following Post-Cold War era witnessed conflicts of more internal character, where states functions did not exist or were very limited, and, consequently, the fundamental rights of the individuals became increasingly abused. The call for the unambiguous protection of human rights caused the international community to act collectively and not always with the consent of the parties (states) concerned. The tragic events of September 11, 2001, the issue of international terrorism, and the military and non-military aspects of security have further complicated the general perception of the United Nations efforts in maintaining international peace and security. This has led to the erosion of one of the fundamental principles not to intervene in matters which are essential within the domestic jurisdiction of any state.

Lesson 1 / The Task and the Task Organization

1.3 Legal Principles General The ratification of the Charter by the five major allies the Republic of China, France, the Union of Soviet Socialist Republics (transferred to the Russian Federation, 1991), the United Kingdom of Great Britain and Northern Ireland, and the United States of America and by a majority of the other signatory states provides the letter of its constituent authority. The United Nations adheres to international laws, treaties, and conventions and is per se an international body, subject to international laws and capable of possessing international rights and duties and it has capacity to maintain its rights by bringing international claims (International Court). National equal sovereignty, non-intervention in the internal affairs of a Member State, and the prohibition of the use of force in international relations are some of the fundamental principles. The Charter departs from these principles only when it is necessary to take action in order to prevent a threat to intentional peace or to restore peace. Under these circumstances, the Charter provides for use of various means of sanctions or use of armed force (peace enforcement) and decisions concerning these matters that are mandatory. The United Nations Charter calls on the Organization to assist in the settlements of international disputes (Art. 33), as well as to help in development of international law (Art. 13). Throughout the years, one of the most impressive achievements of the United Nations has been the development of a series of conventions, treaties, and standards within the area of international law, which all play a crucial role in economic and social development, international peacekeeping, and security. The Organization also addressed the problems of terrorism. Legal Entities The International Court of Justice is the principal judicial organ of the United Nations. All members of the United Nations are automatically parties to the Statute of the Court (and a few others) and can, consequently, be parties to cases. The General Assembly and the Security Council can ask the Court for advisory opinions on legal matters, while other organs of the United Nations and specialized agencies can do so by authorization from the General Assembly. The jurisdiction of the Court covers all questions, which States refer to it and all matters as provided for in the Charter or in treaties and conventions in force. (See also Lesson 2) Among the other bodies is the International Law Commission with a main objective of promoting the progressive development of international law and its codification. The United Nations Commission on International Trade Law (UNCITRAL) develops conventions, model laws, rules, and legal guides in order to facilitate and harmonize world trade. Under the Law of the Sea Convention, there are three bodies established: the International Seabed Authority; the International Tribunal for the Law of the Sea; and the Commission on the Limits of the Continental Shelf. The serious violations of international humanitarian law in the former Yugoslavia and in Rwanda led the Security Council to establish two international tribunals with the power to prosecute those individuals responsible for such violations. Thus, the International Criminal Tribunal for the Former Yugoslavia was established in 1993 and the International Tribunal for Rwanda in 1994.

Lesson 1 / The Task and the Task Organization

The International Criminal Court (ICC) is an independent international organization and was established by the Rome Statute of the International Criminal Court on July 17, 1998, when 120 States participating in the "United Nations Diplomatic Conference of Plenipotentiaries on the Establishment of an International Criminal Court" adopted the Statute, which entered into force July 1, 2002. The Statute authorizes the Court to investigate and bring to justice individuals who have committed serious crimes of international concern, crimes against humanity, and war crimes. In accordance with Article 2 of the Rome Statute, the relationship with the United Nations system is governed by an agreement that has been approved by the Assembly of States Parties and will be concluded by the President of the Court on its behalf. Within the Secretariat, the Office of Legal Affairs provides legal advice to the Secretary-General and acts on his behalf on legal matters. It also advises the Secretariat and other organs of the United Nations on matters related to international, public, private and administrative laws. The Office is also responsible for the registration and publication of treaties and conventions and, thus, publishes the United Nations Treaty Series. In addition, the General Assembly has established a Special Committee on the Charter of the United Nations and on the Strengthening of the Role of the Organization in 1974, which made a recommendation to the Assembly to adopt international instruments related to peaceful settlements of conflicts. Legal Framework for Peacekeeping and Other Similar Operations Peacekeeping was not foreseen by the founders of the United Nations and, therefore, was neither mentioned nor provided for in the Charter. However, the Charter authorizes the Security Council to establish such subsidiary organs it deems necessary for the performance of its functions. Therefore, one may conclude (and generally accept) that the Security Council (and the General Assembly) is legally justified in creating a peacekeeping force as an additional mechanism in fulfilling the UNs task of maintaining international peace and security. The Charter provides for the necessary privileges and immunities of the force. In addition, and in order to facilitate these operations, some legal relationships are established in order to facilitate the relations between the United Nations and the host country and between the United Nations and the troop-contributing country. These Status of Forces (Missions) Agreements (SOFA and SOMA) concern the opus operandi of the Force (Mission). The SOFA regulates the status of the force (mission) vis-vis the host country, for example, jurisdiction, taxation, status of UN personnel, freedom of movement, use of facilities, etc. A similar agreement is the Model of Force Agreement (MOFA) between the UN and the troop-contributing country. It deals with the contributing countrys responsibilities vis--vis United Nations: size, type and duration of the contingents to be used, equipment, liability, claim and compensation, administrative and budgetary matters, etc. Above that, the civilian police, in their assigned duties, follow the rules and regulations stipulated by the United Nations Criminal Law and Justice Branch. The Charter, as well as the Convention on the Privileges and Immunities of the United Nations, provides privileges and immunities as deemed necessary for personnel working in connection with the Organization. The 1994 Convention on the Safety of United Nations and Associated Personnel serves as the legal instrument for protection and outlines duties to ensure safety and security, release and return of detained personnel, crimes and exercise of jurisdiction.

Lesson 1 / The Task and the Task Organization

1.4 Financial Principles Budget of the United Nations Regular Budget The regular budget of the United Nations covers the two years cost for the main principal organs, offices and the regional commissions. The budget is submitted by the Secretary-General and approved by the General Assembly after review by the Advisory Committee on Administrative and Budgetary Questions (ACABQ). The main source of funds is the contribution from the Member States. The Member States make their contribution based on an assessment scale approved by the General Assembly. As of 2002, the maximum contribution of the budget was 22 percent (the United States) and the minimum is fixed to 0.001 percent. The budget consists of 13 principal expenditures reflecting the main activities of the Organization and as approved for 2002-2003 totalled approximately $2.6 billion. Extra Ordinary Budget The extra ordinary budget is the large part of funding acquired through voluntarily contribution from the Member States. The budget covers the cost for the operational programmes and funds, such as the United Nations Development Programme (UNDP), the World Food Programme (WFP), the United Nations High Commissioner for Refugees (UNHCR), and others. Peacekeeping Budget The costs of the United Nations peacekeeping operations are covered by the Member States in accordance with the Special Scale of Assessments. Since 2001 the Member States regular assessment levels are adjusted according to their placement in one of nine categories, with discounts ranging from 7.5 percent to 90 percent applied to States with lower per capita incomes, and a premium to cover these discounts applied to the assessments of permanent members of the Security Council. For the period of July 2002 to June 2003, the peacekeeping operations budget reached an annual cost of $2.6 billion. As for the regular budget, the General Assembly approves the budget after the recommendation of its 5th Committee and review by the ACABQ. 1.5 The United Nations System This section describes all the actors who make up what is called the UN system. For the purpose of simplicity, the system has been divided in three major segments: (i) The Central United Nations, and the Specialized Agencies which are divided into (ii) Major and (iii) Technical Agencies.
(i) The Central United Nations (Principal Organs, Commissions, Programmes and Funds) A. The principal organs of the United Nations as provided for in the Charter of the United Nations are: International Court of Justice (ICJ); General Assembly (GA); Security Council (SC); Economic and Social Council (ECOSOC); Trusteeship Council; and the Secretariat. These six organs form the core of the United Nations system. The Charter also provides for the establishment of subsidiary bodies as the principal organs may find necessary (e.g., various commissions, committees, temporarily constituted peacekeeping operations, as well as a variety of observer, verification missions, etc.). The principal organs are mainly located at the Headquarters in New York (UNNY) except for the International Court of Justice, which is located in The Hague. The United Nations Offices in Nairobi (ONON), in Vienna (UNOV), and in Geneva (UNOG) located in the same building as the former League of Nations are all considered as part of the United Nations Headquarters.

Lesson 1 / The Task and the Task Organization

B. Reporting to the ECOSOC and operating under the authority of the Secretary-General are the five Economic and Social Regional Commissions (Art.68). The basic mandate of these commissions is to facilitate the promotion of the regional economic and social development of each region and to strengthen the economic relations of the countries in that region both among themselves and with other countries of the world. The five Commissions, with their own structures and secretariats, are grouped as follows: for Africa in Addis Ababa (ECA); Asia and the Pacific in Bangkok (ESCAP); Europe in Geneva (ECE); Latin America and the Caribbean in Santiago (ECLAC); and Western Asia in Beirut (ESCWA). All these Organs, Offices and Commissions are financed through the United Nations Regular Budget. C. The Central United Nations also includes what is called the United Nations Programmes and Funds. At present, there are 15 various programme funds and other bodies, including: United Nations Childrens Fund (UNICEF); United Nations Development Programme (UNDP); United Nation Population Fund (UNFPA); United Nations Environmental Programme (UNEP); Office of the United Nations High Commissioner for Refugees (UNHCR); and World Food Programme (WFP). Although these programmes and offices seem to be autonomous, they report annually to the General Assembly through ECOSOC. They have their own governing bodies and set their own standards and guidance. Their budgets are in large part funded through voluntary contribution from governments and the private sector through what is called Extra Budgetary Resources. (ii) Specialized (Major) Agencies The major specialized agencies and the Bretton Woods Institutions (founded at the Bretton Woods Conference in 1944) are separately established by governments, have their own constitution, budgets and governing boards and secretariats. A. One group consists of five agencies, namely the International Labor Organization (ILO), the Food and Agricultural Organization (FAO), the UN Educational, Scientific and Cultural Organization (UNESCO), the UN Industrial Development Organization (UNIDO), and the World Health Organization (WHO). They are all brought into the agreement with the United Nations and, thus, formally recognized under the Charter. Their budgets are raised by assessment from their member states but not as part of the United Nations regular budget. B. The Bretton Woods Institutions are the International Monetary Fund (IMF) and the World Bank Group. The World Bank is the lender of commercially raised capital for development projects, while IMF, among other things, promotes monetary cooperation and expansion of international trade. The World Bank includes the main commercial-rate lending bank (IBRD), the soft-loan International Development Association (IDA), and the International Finance Corporation (IFC). Their budgets are raised through the usual capital market procedures. The two major organizations the World Bank and the IMF have adopted a voting system where weighted voting is in accordance to the members shares. C. The third group includes IFAD, WTO and CD. The International Fund for Agriculture Development (IFAD) has a separate legal status within the system. In 1995, the World Trade Organization (WTO) replaced the General Agreement on Tariffs and Trade (GATT) as the mechanism to help trade flow as freely as possible. WTO does not fall under the Charter as a

Lesson 1 / The Task and the Task Organization


specialized agency but has cooperative arrangements with the United Nations. The International Trade Center UNCTAD/WTO operates as the technical cooperation agency of the WTO. The Conference on Disarmament (CD) is the single global negotiating forum and was established under the General Assemblys 10th Special Session. The Conference has a special relationship with the United Nations, since it reports to the GA and is funded from the regular budget. (iii) Specialized (Technical) Agencies In general these agencies, with the same relations as those above, are some of the most important technical organizations of the world. All agencies, except the International Atomic Energy Agency (IAEA), had predecessors under the former League of Nations. The Universal Postal Union (UPU), the World Intellectual Property Organization (WIPO) and the International Telecommunication Union (ITU) were established more than a century ago. The International Civil Aviation Organization (ICAO), the World Meteorological Organization (WMO), and the International Maritime Organization (IMO) were present before World War II, but after the war they were restructured into the existing organizations. Outside (but linked to) the System The Non-Government Organizations (NGO) all have an important role in the United Nations activities. In order to avoid a political dependency, most of the NGOs stand outside the governmental system. Their experiences and technical knowledge are of great value to the United Nations, and, therefore, approximately 1600 NGOs have some sort of consultative status with the ECOSOC. They are divided into three categories: (i) NGOs concerned with most ECOSOC activities; (ii) NGOs with specific knowledge in specific areas; and (iii) NGOs for ad hoc consultations. The most eminent member of the NGO group is the International Committee of the Red Cross, which, in recognition under its formal mandate under the Geneva Convention, is invited to participate in the work of the General Assembly. An example of inter-governmental organizations is the International Atomic Energy Agency (IAEA), which works under the aegis of the United Nations (see above). In addition, there are a number of regional organizations, which are involved in peace, security, and social and economic development, including: African Union (AU); Organization of American States (OAS); Organization of Islamic Conference (OIC); EU; NATO; ASEAN forum; etc. Some of them have entered into a framework agreement with the United Nations, some are seeking observer status, and some have neither formal nor informal UN status. The links to the United Nations may fall under Article 52 of the Charter. Observer status is given to one Non-Member the Holy See and to Palestine.

Further information about the various organizations linked to the UN system can be found in Lesson 9. Sources: Renewing the United Nations System. Development Dialogue 94:1. United Nations Handbook, 2002.

Lesson 1 / The Task and the Task Organization


Chart of the United Nations:

Lesson 1 / The Task and the Task Organization


1.6 Achievements Some Basic Facts The United Nations is, more than ever, engaged in service to all the worlds nations and peoples. 191 states are members of the United Nations, as of May 1, 2003. Since the beginning, the United Nation has assisted 60 former colonies to attain independence. Seventy percent of the work of the UN system is devoted to helping developing countries build the capacity to help themselves. This includes: promoting and protecting democracy and human rights; saving children from starvation and disease; providing relief assistance to refugees and disaster victims; countering global crime, drugs and disease; and assisting countries devastated by war and the long-term threat of land-mines. Costs of the UN systems operational activities for development are estimated at $6 billion a year (excluding the World Bank, International Monetary Fund, and International Fund for Agriculture Development). This is equal to 0.75 percent of world total military expenditures of over $800 billion. In 1996, the UN System-Wide Special Initiative on Africa launched a 10-year $25 billion endeavour in order to ensure basic education, health services and food security in Africa. In 2001, the Office for the Coordination of Humanitarian Affairs (OCHA) launched 19 inter-agency appeals, raising more than $1.4 billion to assist 44 million people in 19 countries and regions. At the start of 2001, there were some 22 million people of concern to the United Nations High Commissioner for Refugees (UNHCR) in more than 120 countries. In the same year, the World Food Programme (WFP) delivered 3.7 million tons of food aid to 83 million people in 83 countries. Within the field of International Law, more than 500 agreements have been concluded. For example, by 2001, more than 120 countries had become parties to the 1997 Ottawa Convention outlawing landmines. UN human rights field activities are being carried out in nearly 30 countries or territories. Since 1948, close to 900,000 military and civil personnel have served in 54 United Nations peacekeeping operations altogether estimated at $26 billion, and over 1,770 military and civilian peacekeepers from some 113 countries have died in the line of duty. As of January 1, 2003 there were 13 operations under way. Approximately 8,000 staff members work in the Secretariat under the regular budget, and almost an equal number works under special funding.
Facts from DPI/2020 20M, United Nations Department of Public Information

Lesson 1 / The Task and the Task Organization


Learning Questions Knowledge What are the aims of the United Nations? What are the purposes of the United Nations? What are the principles of the United Nations? What is the constituent authority of the United Nations? Which are the fundamental principles in the relations between Member States? What is the main role of the International Court of Justice? What are the six major components in the United Nations system?

Awareness What is the meaning of the International Community? The Charter evolves around four major areas; can you describe them? Which are the major legal organizations within the United Nations? How is the United Nations financed? Which entities normally belong to what is called the Central United Nations? The non-governmental organizations have a kind of consultative status to one UN organ which one?

Application You have been assigned to a United Nations mission in Africa. Among your friends you are now considered as an expert on all UN issues. At a dinner party your friends start to discuss the United Nations in a rather negative way. What has the UN done? All of the money goes to peacekeeping and the rest to feed the UN bureaucrats and nothing is done to help the poor countries! How do you respond to this statement, and what will your answer be?

Lesson 1 / The Task and the Task Organization



1. From which date was the Charter of the United Nations effective? a. April 1945; b. June 26, 1945; c. October 24, 1945; d. January 1, 1946.

2. The Preamble of the Charter of the United Nations: a. Expresses the principles of the United Nations; b. Is a formal declaration in which the signatory States agree to the present Charter; c. Expresses the aims and ideals of the United Nations; d. States the purpose of the United Nations.

3. Which sentence is correct? a. The most important principles of the Charter of the United Nations are stated in Article 1; b. The most important principles of the Charter of the United Nations are stated in Article 2; c. The most important principles of the United Nations are those stated in Articles 1 and 2.

4. Which sentence is correct? a. The International Court of Justice is one of the five principal organs of the United Nations; b. The International Tribunal for Rwanda was established 1994 in by the General Assembly; c. The Office of Legal Affairs provides legal advice to the Secretary-General; d. The Statute for an International Criminal Court was ratified in Rome in 2002.

5. A peacekeeping operation can be authorized by: a. The General Assembly; b. The Security Council; c. The Secretary-General; d. Both a. and b.

Lesson 1 / The Task and the Task Organization


6. The minimum contribution to the United Nations regular budget was (as of 2002) fixed at: a. 0.1 percent; b. 0.01 percent; c. 0.001 percent; d. 1.0 percent.

7. To the Central United Nations belong: a. The Principal Organs, the Regional Commissions and the United Nations Programmes and Funds; b. The General Assembly, the Security Council, the Trusteeship Council, the Economic and Social Council, the International Court of Justice and the Secretariat; c. Principal Organs, Commissions, Programmes and Funds, and Major Agencies; d. Both a. and b.

8. Most of the non-governmental organizations: a. Operate under ECOSOC; b. Are concerned with the ECOSOCs activities; c. Have various kinds of consultative status with ECOSOC; d. Are invited to participate in the work of the General Assembly.

9. The International Committee of the Red Cross is invited to participate in the work of: a. The Economic and Social Council; b. The International Court of Justice; c. The General Assembly; d. All three of the above mentioned principal organs.

10. Which of the following has observer status? a. African Union (AU); b. The Holy See; c. The International Atomic Energy Agency (IAEA); d. None of the above mentioned organizations.

Lesson 1 / The Task and the Task Organization



1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

c. c. c. c. d. c. d. c. c. b.

October 24, 1945 Express aims and ideals As stated in Articles 1 and 2 The Office of Legal Affairs Both a. and b. 0.001 percent Both a. and b. Various kinds The General Assembly The Holy See


Learning Objectives Key questions Introduction 2.1 General Assembly Role and Function Organization Comments 2.2 Security Council Role and Power Organization and Function Comments 2.3 Economic and Social Council Role and Power Organization and Function Comments 2.5 International Court of Justice Role and Composition Function 2.6 Secretariat and the Secretary-General Role and Function of the Secretariat Role and Function of the Secretary-General Reorganization and Reforms 2.7 Peacebuilding Commission Learning Questions Knowledge Awareness Application End-of-Lesson Quiz 2.4 Trusteeship Council The Past The Present

Lesson 2 / The Principal Organs of the United Nations


LESSON 2 (Ref: Basic Facts about the UN; pages 6- 15, 24-32 and Articles of the Charter) Learning Objectives While Lesson 1 has provided the purpose and principles of the Organization as well as major features of the system, Lesson 2 will be a more in-depth discussion of the Central United Nations and its six principal organs. The student will get an understanding of their roles, interrelationships, and functions, as well as how the work is carried out. By the end of the lesson the student should have achieved a fair understanding of the General Assembly, the Security Council and the Secretariat, in addition to an awareness of the other principal organs.

Key questions to be considered by the student when studying Lesson 2: What is the main function of the General Assembly? What is the main function of the Security Council? What is the main function of the Economic and Social Council? What is the role of the Secretary-General? What are the two major roles of the International Court of Justice?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 2 / The Principal Organs of the United Nations


Introduction The Charter authorizes the establishment of six principal organs. These are: the governing General Assembly, GA (Chapter IV); the Security Council, SC (Chapter V); the Economic and Social Council, ECOSOC (Chapter X); the Trusteeship Council (Chapter XII); the International Court of Justice (Chapter XIV); and the executing Secretariat (Chapter XV). They have their own organization, mandates and procedures, and members of these organs are selected in accordance with certain rules and regulations. The General Assembly should be considered as the governing body and, as such, functions as the main deliberative organ of the United Nations. 2.1 General Assembly (GA) Role and Function The GA is the main deliberative organ, and it consists of all Member States of the United Nations, which have (i) accepted the obligations contained in the Charter; (ii) applied for a membership; and (iii) have been accepted as worthy members (Art.4-6). The Assembly may discuss any matter referred to it within the scope of the Charter. It makes recommendations to the Member States or to the Security Council on any such questions except when the Security Council is exercising its functions assigned to it in the Charter. In particular, the GA shall initiate studies and make recommendations for the purpose of international cooperation in the political field and in the economic and social fields (Art. 13). The Assembly approves the budget of the Organization and apportions the expenses of the Organization among the Members (Art. 17). Each year, from midSeptember until midDecember, the General Assembly holds a regular session. However, at the request of the Security Council or majority of the Member States, special sessions can also be held. The Heads of States generally make the opening statements of the general debate, which starts on the third Tuesday in September. Each of the Member States has one vote. However, a Member that is in arrears in the payment of its financial contribution to the Organization may jeopardize its right to vote (Art. 19). Decisions on key issues are decided by two-thirds majority of the Members present, while a simple majority decides other matters. However, in many cases, resolutions are passed by consensus. The General Assembly can address questions and made recommendations concerning the maintenance of international peace and security, the admission of new Members to the UN, the election of the non-permanent members to the Security Council, and the elections of
Figure 1: General Assembly Hall on Opening Day.

Lesson 2 / The Principal Organs of the United Nations


members to the Economic and Social Council and the Trusteeship Council. Jointly with the Security Council, the Assembly elects judges to the International Court of Justice, and, on the recommendation of the Security Council, it appoints the Secretary-General. The GA is presided by a President (President of the General Assembly), who is assisted by 21 vice-presidents and the chairs of the six Main Committees. During debates of the General Assembly and its subordinate committees, speakers interventions are delivered in one of the six official languages of the United Nations and simultaneously translated into the other five. These include Arabic, Chinese, English, French, Russian, and Spanish. At a regular session, the Member States address a wide range of international issues. Most of these issues will later be discussed in various committees or other bodies established by the General Assembly. Their findings and recommendations will be presented to the next (or another) Assembly, which will, expressed in resolutions, make necessary decisions. Organization The main bulk in preparing these resolutions is carried out by the six Main Committees, which by their composition and working agenda reflect the entire work of the United Nations. The following are the six Main Committees general responsibilities: First Committee: Second Committee: Third Committee: Fourth Committee: Fifth Committee: Sixth Committee: Disarmament and international security Economic and financial issues Social, humanitarian and cultural issues Special political affairs and de-colonization Administrative and budgetary questions Legal issues

All Member States have the right to be represented on each Main Committee and all the Ad Hoc Open-ended Working groups. In addition, there are other committees, such as: Procedural Committees comprising the General and the Credential Committee; Standing Committees divided into the Advisory Committee on Administrative and Budgetary Questions, and the Committee on Contributions; and Subsidiary and Ad Hoc Bodies of the General Assembly consists of large groups of Intergovernmental Bodies, Ad Hoc-opened Working Groups, Advisory Bodies and Expert Bodies

In general, the committees and various working groups also consider agenda items referred to them by the Assembly and make recommendations. In some cases, they also draft solutions for submission to the General Assembly plenary. The number of Member States (MS) is generally stipulated by the respective mandates (GA resolution) but always with as broad a geographical representation as possible. But due to political reasons, the number of MS frequently changes. (www.un.org/ga/57/about.htm) Comments Although the Security Council is responsible for international peace and security, the GA has also played a role in this area. In 1956, when the Security Council was deadlocked over the Suez War, the situation provided an opportunity for the GA to take necessary actions under the Uniting for Peace resolution. That means that the GA may take action if the Security Council fails to act in its effort to maintain peace and security. The de-colonization

Lesson 2 / The Principal Organs of the United Nations


in the 60s brought new members to the United Nations, and the GAs influence grew significantly during this period. The consolidation of the Non-Aligned Movement (NAM) provided an opportunity for the developing countries, to a certain extent, to balance the power of the Permanent Five in the Security Council. During the last decade the GA has sometimes become a forum for expressing dissatisfaction over the Security Councils handling of conflicts, for example, in the former Yugoslavia (Bosnia-Herzegovina and Kosovo). But the GA has also been involved in the promotion of issues that are related more to peace building, such as the human rights monitoring mission to Haiti, as well as some by the GA-initiated electoral monitoring missions. 2.2 The Security Council (SC) Role and Power The Charter confers on the Security Council the primary responsibility to maintain international peace and security (Art. 24). The Council is granted special power to facilitate the peaceful settlements of disputes (Art. 33-38) and to determine any threat to peace, breach of peace or act of aggression. They also have the responsibility to take necessary action in order to maintain or restore peace and security (Art. 39-51). Thus, the Council has the legal right to Figure 2: The Security Council in Session. authorize the use of force for example, sanctions or military force if deemed necessary (Art. 42). While the other principal organs make recommendations to governments, the Security Council, when discharging its duties, acts on behalf of all Members of the United Nations. As a whole, the Security Council agrees to accept and carry out the decisions of the Council in accordance with the Charter (Art. 25). The Council may establish such subsidiary organs it deems necessary for the performance of its functions necessary, such as a peacekeeping operation (Art. 29). Organization and Function The Security Council is organized to function continuously. Although most of its meetings are during normal working hours, a meeting of the Security Council can be called on one hours notice, 365 days per year. Membership in the Security Council consists of five permanent members (China, France, Russia, the United Kingdom, and the United States) and ten non-permanent members. Five new non-permanent members are elected each year by the General Assembly for a term of two years, starting on January 1st (Art. 23). A President, whose seat rotates monthly amongst the Member of the Council, guides the work of the Council.

Lesson 2 / The Principal Organs of the United Nations


Each member of the SC has one vote. Substantive decisions of the SC are made by an affirmative vote (a yes vote) of nine members including the concurring votes (yes, abstain, or no vote) of the permanent members. The concurring vote of the permanent five emanates from Article 27 in the Charter where concurring votes on substantive issues are required from the five permanent members of the Security Council. A vote of no from one of the five permanent members constitutes a veto and, consequently, blocks the Security Council from adopting the resolution under consideration. The article is pragmatic since it is intended to save the Council from decisions of activities impossible to fulfil, for example, enforcement actions or sanctions against one of the permanent five. For a procedural vote, a straight majority of nine votes is necessary (Art. 27). As with all principal organs, the Security Council has its own structure as well, which is comprised of different committees, working groups and commissions. In addition, all peacekeeping operations and criminal tribunals are vested under the Councils authorization. Under the provisional rules of the Security Council the following entities are established: Standing Committees Ad hoc Working groups Military Staff Committee Counter Terrorism Committee (three sub-committees) Sanction Committees (Iraq, Libya, Somalia, Angola, Rwanda, Liberia, Sierra Leone, Afghanistan) Peacekeeping Operations Commissions (UN Monitoring, Verification and Inspection Mission UNMOVIC, and UN Compensation Commission UNCC) Criminal Tribunals (former Yugoslavia and Rwanda) UN Command in Korea

Except for the Standing Committees and the Military Staff Committee, the other entities are all more or less temporary subsidiary organs established by a Security Council Resolution. Each one deals with a specific situation, has an operational mandate, and reports and makes recommendations to the Council. Thus, they are limited in time and scope. (www.un.org/Docs/sc/) Comments From the very beginning, the General Assembly assumed the responsibility of establishing the principles and ideals on which global peace would rest. The Security Council should act in accordance with these principles and, thus, speedily prevent any breach or attempted breach of international peace and security. During the Cold War, the competition and the mistrust between the East and West hampered the Councils decision-making process, and instead of an early response to crisis, the Council found itself sometimes effectively prevented in utilizing the collective security system as envisaged in the Charter. The cease of the Soviet era ended the Cold War, resulting in more cooperative work in the Council, and the veto was used less frequently. However, the question of Iraq split the Council, and for the first time in the United Nations history, a full-fledged war was launched against a Member State without the proper authorization of the Security Council. This event is most unfortunate, since the "threat or use of force against the territorial integrity or political independence of any state" is outlawed by the Charter of the United Nations. The necessity to find a solution to the on-going debate concerning the Councils membership and the use of veto power is further underscored.

Lesson 2 / The Principal Organs of the United Nations


2.3 Economic and Social Council (ECOSOC) Role and Power The UN Charter affirms that stability and well-being are fundamental conditions for peaceful and friendly relations among the States. Based on the universal principles of equal rights and self-determination, the United Nations is to advance a wide range of issues within the fields of economic and social developments (Art.55). Under the authority of the General Assembly, the Economic and Social Council has the responsibility for the overall guidance of the United Nations activities in economic and social fields (Art. 60). The Council is empowered to initiate studies and make recommendations to the General Assembly, governments, and to the United Nations linked specialized agencies concerning economic, social, cultural, health and other related matters. The Council is also authorized to make recommendations for the purpose of promoting respect for and observance of human rights (Art. 62). In order to achieve these objectives, the ECOSOC is mandated to enter into agreements (subjected to approval by the General Assembly) through consultations and coordination with concerned agencies (Art.63). The ECOSOC responsibilities also include assisting the Security Council when so required (Art.65). Organization and Function Today, the ECOSOC comprises 54 Members with one vote each. Of these 54 members, 18 members 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, in addition to holding short sessions throughout the year. Simple majority rules the voting procedures. Although those sessions are substantial in terms of agendas and decisions, the year-round operational work is carried out through the Councils various subsidiary bodies, which report to the Council committees, regional commissions. None of the other United Nations principal organs have so many subsidiary bodies as ECOSOC. In addition, over 1,600 nongovernmental organizations have consultative status with the Council (See Lesson 1). This sprawling machinery includes: Nine Functional Commissions: (i) Social Development; (ii) Crime Prevention and Criminal Justice; (iii) Human Rights; (iv) Narcotic Drugs; (v) Population and Development; (vi) Science and Technology for Development; (vii) Sustainable Development; (viii) Status of Women; and (ix) National Statistics. Five Regional Commissions: to promote the regional economic and social development in Africa, Asia and the Pacific, Europe, Latin America and the Caribbean, and Western Asia Standing Committees (among others, the Committee on Non-Governmental Organizations) Expert, Ad Hoc and Related Bodies Executive Committees of various United Nations Agencies/Bodies, which include the United Nations High Commissioner for Refugees (UNHCR), the United Nations Childrens Funds (UNICEF), and the United Nations Development Programme (UNDP). Under UNDP, several funds are managed. (www.un.org./esa/coordination/ecosoc/)

Comments The socio-economic agenda and the role of the ECOSOC have been discussed from the very outset. In the beginning the United Nations was supposed to formulate and coordinate the global economic policy. However, this intention of allowing the United Nations to be the global economic architect was never carried out, but instead, the Bretton

Lesson 2 / The Principal Organs of the United Nations


Woods institutions (the World Bank Group and the International Monetary Funds) were established. As a result, the United Nations was diverted away from economic policy formulation and later into the less controversial development assistance. The macro-economic policy was formulated through the Bretton Woods institutions by the industrial powers. This arrangement did not promote the economic development, and the Cold War further aggravated the differences that de-colonization revealed. Thus, the economic inequities between developed and developing countries prevailed, and the growing income disparities became a threat to international peace and security. At the end of the 1980s, the future role of the ECOSOC again flared up, revealing contrasts between North and South. Even if the basic question concerning the allotment of the responsibility for formulating the global economic policy remains, the end of the Cold War created a more open debate. Some coordinating functions of the ECOSOC have recently improved, particularly with regard to the socio-economic activities and operational activities for development, but the question of the ECOSOCs fundamental role in shaping the global economy as foreseen in the Charter still prevails. 2.4 Trusteeship Council (TC)
The Past

The Charter provides for the establishment of an international trusteeship system for the administration and supervision of such territories (trust territories) as may be placed there under subsequent individual agreements (Art. 75). The trusteeship system was relevant in the aftermath of the World War II and during the de-colonization period between the 60s and 70s. The system served its purpose, that was, to supervise and promote advancement and progress towards the independence of 60 territories placed under the system. Such territories were either (i) territories held under mandates established by the League of Nations (e.g. Namibia); (ii) territories which have been detached from enemy states as a result of the World War II; or (iii) territories voluntary placed under the system. The trust territories were to be administered by a designated authority (to be called the administering authority), which could be one or more states or the United Nations. The Trusteeship Council under the authority of the General Assembly monitored the administering authority to act under the purposes and principles of the Charter.
The Present

With the termination (1994) of the Trusteeship Agreement on Palau, the Trusteeship Council completed its task. The Secretary-General, therefore, recommended the General Assembly to take necessary steps to eliminate the organ. It was not done, and instead, in 1997, the Secretary-General suggested the Trusteeship Council to be reconstituted as the forum through which the Member States exercise their collective trusteeship for the integrity of the global environment and common areas such as the oceans, atmosphere and outer space At the same time, it should serve to link the UN and the civil society in addressing these areas of concern. In 1998, a task force was mandated to prepare proposals on environmental and human settlement areas. (www.un.org/documents/tc.htm)

Lesson 2 / The Principal Organs of the United Nations


2.5 International Court of Justice (ICJ)

The following text is an extract from the website of the Court Role and Composition The International Court of Justice is the principal judicial organ of the United Nations. Its seat is at the Peace Palace in The Hague (Netherlands). It began work in 1946, when it replaced the Permanent Court of International Justice, which had functioned in the Peace Palace since 1922. It operates under a Statute largely similar to that of its predecessor, which is an integral part of the Charter of the United Nations. The Court has a dual role: to settle in accordance with international law the legal disputes submitted to it by States; and to give advisory opinions to the General Assembly and the Security Council on legal questions referred to it. The same service will be given to other organs of the UN and specialized agencies, which are authorized by the General Assembly to request them (Chapter XIV, Art. 92-96). The Court is composed of 15 judges elected to nine-year terms of office by the United Nations General Assembly and Security Council sitting independently of each other. It may not include more than one judge of any nationality. Elections are held every three years for one-third of the seats, and retiring judges may be re-elected. The Members of the Court do not represent their governments but are independent magistrates. The judges must possess the qualifications required in their respective countries for appointment to the highest judicial offices, or they must be jurists of recognized competence in international law. The composition of the Court also has to reflect the main forms of civilization and the principal legal systems of the world. Function Only States may apply to and appear before the Court. The States Members of the United Nations and States not party to the Court (under conditions laid down by the Security Council) are so entitled. The Court is competent to entertain a dispute only if the States concerned have accepted its jurisdiction in one or more of the following ways: (1) by the conclusion between them of a special agreement to submit the dispute to the Court; (2) by virtue of a jurisdictional clause, i.e., typically, when they are parties to a treaty containing a provision whereby, in the event of a disagreement over its interpretation or application, one of them may refer the dispute to the Court; (3) through the reciprocal effect of declarations made by them under the Statute whereby each has accepted the jurisdiction of the Court as compulsory in the event of a dispute with another State having made a similar declaration. In cases of doubt as to whether the Court has jurisdiction, it is the Court itself that decides. Contentious cases: The procedure (Statute of the Court, Chapter III Art. 43-60) followed by the Court in contentious cases is defined in its Statute, and in the Rules of Court adopted by it under the Statute. The proceedings include a written phase and an oral phase. After the oral proceedings, the Court deliberates in camera and then delivers its judgment at a public sitting. The judgment is final and without appeal. Should one of the States involved fail to comply, the other party may have recourse to the Security Council of the United Nations. Since 1946, the Court has delivered 69 judgments on disputes concerning inter alia land frontiers and

Lesson 2 / The Principal Organs of the United Nations


maritime boundaries, territorial sovereignty, the non-use of force, non-interference in the internal affairs of States, diplomatic relations, hostage-taking, the right of asylum, nationality, guardianship, rights of passage and economic rights. The Court decides in accordance with international treaties and conventions in force, international custom, general principles of law, and, as subsidiary means, judicial decisions and the teachings of the most highly qualified publicists. Advisory capacity: The advisory procedure (Statute of the Court, Chapter III) of the Court is open solely to international organizations. The only bodies at present authorized to request advisory opinions of the Court are the five (principal) organs of the United Nations and 16 specialized agencies (e.g., UNHCR) of the United Nations family. On receiving a request, the Court decides which States and organizations might provide useful information and gives them an opportunity of presenting written or oral statements. The Courts advisory procedure is otherwise modelled on that for contentious proceedings, and the sources of applicable law are the same. In principle, the Courts advisory opinions are consultative in character and are, therefore, not binding on the requesting bodies. Certain instruments or regulations can, however, provide in advance that the advisory opinion shall be binding. Since 1946, the Court has given 24 Advisory Opinions, concerning inter alia admission to United Nations membership, reparation for injuries suffered in the service of the United Nations, territorial status of South-West Africa (Namibia) and Western Sahara, judgments rendered by international administrative tribunals, expenses of certain United Nations operations, applicability of the United Nations Headquarters Agreement, the status of human rights rapporteurs, and the legality of the threat or use of nuclear weapons. (www.icj-cij.org/) 2.6 Secretariat and the Secretary-General Role and Function of the Secretariat The Secretariat is organized into 14 Departments and Offices. In addition to the Headquarters in New York, it maintains its presence in Geneva, Vienna, and Nairobi. While the central political activities of the United Nations are centered in New York, the United Nations Office in Geneva (UNOG) is the focal point of conference diplomacy and activities concerning human rights and disarmament. The United Nations Office in Vienna (UNOV) focuses on activities in the field of international drug-abuse control, crime prevention and criminal justice, peaceful use of outer space, and international trade law. The United Nations Office in Nairobi (UNON) is the headquarters for activities that concern the environment and human settlements. The Secretariat is comprised of the Secretary-General and other such staff, as the Organization requires. The Secretary-General is appointed for a period of five years by the General Assembly after recommendation from the Security Council and is the chief administrative officer of the Organization (Art. 97). The Secretariat itself consists of different organizational units necessary to carry out the day-to-day work of the Organization. Due to their mandates and sizes, they are organized as offices, departments, and offices of Special Representatives to the Secretary-General (other high level entities), which are each headed by an official accountable to the Secretary-General. From the New York Headquarters and from other places around the world, the staff serves the Organization by administering programmes and policies as decided by the five other principal organs (Art. 97-101).

Lesson 2 / The Principal Organs of the United Nations


The duties carried out by the Secretariat are as varied as the problems dealt with by the United Nations. These range from administering peacekeeping operations to mediating international disputes. Secretariat staff also survey economic and social trends and problems; prepare studies on subjects such as human rights and sustainable development; organize international conferences on issues of world-wide concern; monitor the extent to which the decisions of United Nations bodies are being carried out; interpret speeches and translate documents into the Organizations official languages; and conduct information programmes to acquaint the worlds communications media with the work of the United Nations. The main functions of the Secretariats fourteen Departments and Offices are as follows:
Executive Office of the Secretary-General (OSG): Composed by the SG senior advisers and provides overall guidelines to the Organization. Office of Internal Oversight Service (OIOS): Monitor, evaluate and audit the UN operations. Office of Legal Affairs (OLA): Provide the legal service to the Organization. Department of Political Affairs (DPA): Advice and support to the SG on all political matters and carries out among others activities related to the prevention, control and resolution of conflicts, peace-building and electoral assistance. Department for Disarmament Affairs (DDA): Promote the goals of disarmament and provides support for norm setting in this area. Department of Peacekeeping Operations (DPKO): Be responsible for planning, preparation, management and direction of the peacekeeping operations. Office for the Coordination of Humanitarian Affairs (OCHA): Strengthen the coordination among the UN entities that give assistance in response to emergencies. Department of Economic and Social Affairs (DESA): Generate/analyze relevant data, facilitate negotiations and advise, at the request, the translation of policy agreement into programmes at country level. Department of General Assembly Affairs and Conference Services (DGAACS): Provide technical and secretariat support to the GA as well as to intergovernmental/expert bodies meeting in Nw York. Also provide translation and publishing services. Department of Public Information (DPI): Inform globally about UN purposes and activities. Department of Management (DM): Provide to the Secretariat policy guidance and support concerning finance, human resources and support service. Office of the Iraq Programme: Manage the Oil-for-Food programme to Iraq. Office of the United Nations Security Coordinator (UNSECOORD): Act on behalf of the SG and the UN agencies, programmes and funds to ensure coherent response to emergency situations. Office for Drug Control and Crime Prevention (ODCCP): Enhance the UN capacity to address issues concerning drug control, crime prevention and international terrorism.

As of 2002 more than 7,000 men and women, under the regular budget, from some 170 countries make up the Secretariat staff world-wide. As international civil servants, they and the Secretary-General 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 Article 100 of the Charter, each Member State undertakes 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.

Lesson 2 / The Principal Organs of the United Nations


Role and Function of the Secretary-General The Secretary-General is described by the Charter as the chief administrative officer of the Organization (Art. 97). He is, of course, much more than that. Equal parts diplomat and activist, conciliator and provocateur, the Secretary-General stands before the world community as the very emblem of the United Nations. The task demands great vigor, sensitivity and imagination, to which the Secretary-General must add a tenacious sense of optimism--a belief that the ideals expressed in the Charter can be made a reality. The work of the Secretary-General involves a certain degree of inherent, creative tension that stems from the Charter's definition of the job. The Charter empowers him to bring to the attention of the Security Council any matter, which, in his opinion, threatens international peace and security. It also calls upon him to perform such other functions as are entrusted to him by the Security Council, the General Assembly and the other main United Nations organs (Art. 99). Thus, the Secretary-General functions as both spokesperson for the international community and servant of the Member States roles that would seem to guarantee some amount of friction. Far from constricting his work, however, these broad outlines grant the Secretary-General an extraordinary mandate for action. The Secretary-General is best known to the general public for using his stature and impartiality his good offices in the interests of preventive diplomacy. This refers to steps taken by the Secretary-General or his senior staff, publicly and in private, to prevent international disputes from arising, escalating or spreading. Indeed, as events and crises unfold across the globe, the Secretary-General's words and deeds can have profound impact.
Fig. 3: UN Secretary-General Ban Ki-moon

The 2001 Nobel Peace Prize was awarded to the United Nations and to Secretary-General Kofi Annan. The Nobel Committee cited the UNs efforts to bring a more peaceful world" and credited Secretary-General Annan with bringing new life to the organization. In response, the SecretaryGeneral stated, It honors the UN but also challenges us to do more and do better, not to rest on our laurels . . . It is a great responsibility at such a difficult moment but reinforces us in pursuing the search for peace. Reorganization and Reforms The Secretariat has undergone a considerable reorganization in order to streamline the organization and cut Fig. 4: Former UN the budget deficit. In 1997, the General Assembly adopted a Secretary-General reform package to that end. As a result, measures have been Kofi Annan taken to consolidate various programmes related to development, human rights, peacekeeping, humanitarian assistance and the fight against crime and drug trafficking. Since then, the UN has created a closer cooperation and better coherence

Lesson 2 / The Principal Organs of the United Nations


throughout the system. Within the Secretariat the establishment of a senior management group facilitates the day-by-day activites. Fruitful partnerships have been built with a wide range of non-State actors. In the field, the set-up of a unified country team has brought together the representatives of the Organizations multiple funds, programmes and specialized agencies and has led to a better transparency and coordination throughout the UN system. Signinficant improvements have also been made in order to deploy and manage complex peacekeeping and peace-building operations. For the biennium 2004-2005, the SecretaryGeneral has proposed further improvements: the capacity to assist individual countries in building strong human rights institutions will be strengthened; some departments and in particualar the Department of Puplic Information will be restructered and United Nations information centres will be rationalized around regional hubs; the management of the large number of trust funds will be improved, planning and coordination will be further enhanced, and the administration will be streamlined; and better service to the Member States will be administered. (www.un.org/documents/st.htm)

2.7 Peacebuilding Commission Special attention has to be given to the newly established Peacebuilding Commission, which was established by SC resolution 1645 in December 2005. The Commission is an advisory subsidiary organ of the General Assembly and the Security Council, the first such body of its kind. As such, the Commission will marshal resources at the disposal of the international community to advise and propose integrated strategies for post-conflict recovery, focusing attention on reconstruction, institution-building, and sustainable development in countries emerging from conflict. Although the General Assembly will have overall responsibility to review the work of the Peacebuilding Commission through debating its annual report, the Commission will have an important role in giving advice to the Security Council on the planning and commencement of peacebuilding activities.

Lesson 2 / The Principal Organs of the United Nations


Learning Questions Knowledge What is the major role of the General Assembly? Who are the Members of the General Assembly? What legal power does the Charter grant to the Security Council? How many Member States are represented in the Council? Who are the permanent members of the Security Council? What is the meaning of the concurring vote used in the Security Council? What is the responsibility of the Economic and Social Council? What is the role of the International Court of Justice in the United Nations? What are the major achievements of the Secretary-Generals reform programme?

Awareness What is the role of the General Assembly concerning international peace and security? What are the major responsibilities of the six Main Committees of the Assembly? How is the work of the General Assembly organized? What is the interrelationship between the General Assembly and the Security Council? What was the purpose of the veto power in the Security Council? What are the major responsibilities of the nine Commissions of the Economic and Social Council? What is the present responsibility of the Trusteeship Council? What is the purpose of the International Court of Justice? What are the main functions of DPA and DPKO?

Application During the same dinner (as in Lesson 1) you find yourself fiercely defending the Secretary-General (SG) and his role in the United Nations. After your five-minute statement you got your friends cheers and applause. Obviously you were successful, but what were your key points in describing the role of the SG?

Lesson 2 / The Principal Organs of the United Nations



1. The phrase . . . shall initiate studies and make recommendations for the purpose of international cooperation in the political field and in the economic and social fields. applies to: a. All the principal organs; b. The General Assembly; c. The Security Council and the Economic and Social Council; d. The Secretariat.

2. The General Assembly never holds sessions: a. Once each year; b. At the request from the Security Council; c. At the request of a Member State; d. At the request of a majority of Member States.

3. Article 42 applies to the: a. Security Councils (SC) right to maintain international peace and security; b. SCs right to settle disputes by peaceful means; c. SCs responsibility to restore peace; d. SCs right to authorize the use of force.

4. Which of the following statements is correct? a. The SC consists of five permanent members and 10 non-permanent members, and half of the 10 non-permanent members are selected each year by the General Assembly; b. The 10 non-permanent members are selected every second year by the General Assembly; c. The 10 non-permanent members are selected each year by the General Assembly; d. Half of the 10 non-permanent members are selected each year by the Security Council.

5. Substantive decisions of the SC are made by an affirmative vote of: a. Nine members of the SC; b. The permanent members and nine of the non-permanent members; c. All members of the SC; d. Nine members including the concurring vote of the permanent members.

Lesson 2 / The Principal Organs of the United Nations


6. Which of the following statements concerning the Economic and Social Council is false? a. The Council is authorized to make recommendations for the purpose of promoting human rights; b. Under the authority of the General Assembly, the Council has the responsibility to formulate and coordinate the global economic policy; c. Under the authority of the General Assembly, the Council has the responsibility for the overall guidance of the United Nations activities in economic and social fields; d. Both a. and b.

7. With the termination of the last Trusteeship Agreement (Trust Territory of the Pacific Islands) the Trusteeship Council was eliminated. a. True b. False

8. The principal judicial organ of the United Nations is: a. The Permanent Court of International Justice; b. The International Court of Justice; c. The Office of Legal Affairs; d. The International Law Commission.

9. The Court cannot: a. Settle in accordance with international law the legal disputes submitted to it by States; b. Advise the Secretariat and other organs of the United Nations on matters related to international, public, private and administrative laws; c. Give advisory opinions on legal questions referred to it by authorized international organs and agencies; d. Decide in accordance with international treaties and conventions in force, international customs and general principles of law.

10. The Secretary-General is: a. The Chief Executive Officer of the United Nations; b. The Chief Administrative Officer of the Organization; c. Appointed by the Security Council; d. Appointed by the Security Council after recommendation from the General Assembly.

Lesson 2 / The Principal Organs of the United Nations


LESSON 2 ANSWER KEY 1. 2. 3. 4. b. c. d. a. The General Assembly At the request of a Member State SCs right to authorize the use of force The SC consists of five permanent members and 10 non-permanent members, and half of the 10 non-permanent members are selected each year by the General Assembly Nine members including the concurring vote of the permanent members Under the authority of the General Assembly, the Council has the responsibility to formulate and coordinate the global economic policy False The International Court of Justice Advise the Secretariat and other organs of the United Nations on matters related to international, public, private and administrative laws The Chief Administrative Officer of the Organization

5. 6.

d. b.

7. 8. 9.

b. b. b.



Lesson 2 / The Principal Organs of the United Nations


This page intentionally left blank.


Learning Objectives Key questions Introduction 3.1 Political Context The Environment The Context 3.2 The Key Concepts of an Interrelated System with Various Mechanisms for Response The Interrelated System Response Mechanisms 3.3 Universal Principles Guiding Peacekeeping Operations Authorization Legitimacy Consent Impartiality and Neutrality Unity Use of Force Operational Principles 3.4 Organizational Structure and Main Functions Military Forces (Force Level Missions) Observer and Similar Missions Civilian Police 3.5 Types of Peace Operations Preventive Deployment Traditional Peacekeeping Humanitarian Assistance and Protection of Humanitarian Operations Implm. of Comprehensive Settlements Conflict Mitigation Enhanced Peacekeeping Peace Building 3.6 Planning and Preparation Principles Assessment The Planning Process Involvm. of Host and Contributing Countries Improvement of the Planning and Implementation Capacity 3.7 Management Responsibilities In the Secretariat In the Field 3.8 Peacekeeping Partnership Civilians in Peace Operations The Partnership Concept Definition Learning Questions Knowledge Awareness Application End-of-Lesson Quiz

Lesson 3 / The United Nations Role in Maintaining Peace and Security


LESSON 3 (Ref: Basic Facts about the UN; pages 67- 124, and Articles of the Charter) Learning Objectives The current political environment and the latent and existing threats to peace and stability are of serious concerns to the world. Within the last ten years we have seen various arrangements for meeting these threats, and for this purpose, the United Nations has developed an interrelated system that is both flexible and responsive. Still, security is as elusive as ever and requires constant attendance where traditional concepts must yield to a broader perception of peace and security. Since the purpose of this course is not to provide the students with perspectives but rather with a descriptive knowledge about the prevailing security system, this lesson gives information about how and with what means the United Nations responds to threats that affect the international peace and security.

Key questions to be considered by the student when studying Lesson 3: What is the interrelated system in the United Nations efforts to maintain peace and security? What is the meaning of the term collective security? What are the principles of peacekeeping? What types of Peace Operations exist? Who or what authorizes the use-of-force? Who has the overall responsibility of a mission in the field? What is Peacekeeping Partnership?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 3 / The United Nations Role in Maintaining Peace and Security


Introduction The maintenance of international peace and security is the central part of United Nations activities. Over the years, the Organization has developed a wide range of instruments, which altogether provide a coherent mechanism that responds well to the various security challenges the international community may encounter. Although peacekeeping is one of the means that has proved workable, it is only one fragment of what today is called peace operations. However, the international climate requires not only problem-solving measures, but also a variety of tools for promoting lasting peace and security. This lesson and the one that follows (Lesson 4) provide the student with an insight into the overall picture of the United Nations interrelated system that maintains peace and security. While Lesson 4 discusses the promoting tools, this lesson deals with what is commonly identified as peace operations and how these operations respond to the international communitys call for conflict management. 3.1 Political Context The Environment With the end of the Cold War came an altered political environment. Superpower rivalry ceased and the international community became eager to promote a new global security system based on equality, the individuals rights, and social and economic developments. But in spite of this change, violence still prevailed. The inter-state conflicts decreased, but instead the world witnessed a dramatic increase of intra-state conflicts. Out of the 110 conflicts between 1988 and 2002, only 10 % may be referred to as conflicts of interstate character and the rest as intra-state conflicts. Consequently, the international community, also transformed by geo-political, economic, technological and environmental changes, found itself more concerned with the major causes of systemic and intractable violent conflict such as ethnic, religious and socio-economic factors with less emphasis on preventing or containing conflicts between nations. In addition, the events of September 11, 2001, brought a new dimension to the political environment and the role of the military as the traditional guarantee of a prevailing security concept has been reconsidered. The Context This has resulted in a new political context that requires a broad and collaborative approach, which subsequently calls for new innovative notions of military and non-military security, along with the socio-economic development of nations and peoples involved. Although the military continues to play an important role, cooperative non-military methods in preventing conflicts, arms control, and disarmament, along with the establishment of usually accepted norms and values among civilian and military societies, become some of the driving forces in building confidence between nations and structures. However, the lessons learned from the past years have fostered a new era where human rights, interdependence, and globalisation are the foundation for the future challenges. The new global security is no longer limited to the questions of land, weapons and the culture of reaction. Instead, it emphasizes the culture of early prevention where issues such as the well-being of individuals and the social and economic development in and between States are the means of attending to the sources of conflicts. Healthy social conditions and distribution of wealth that in itself will strengthen the social and economic fabrics and generate further resources for a sustainable progress should promote the reinforcement of peace and stability.

Lesson 3 / The United Nations Role in Maintaining Peace and Security


Subsequently, peace and security and development can no longer be dealt with as separate issues. They are interrelated and must be addressed simultaneously. This, in turn, requires a culture of burden-sharing undertakings on several tracks that serve to broaden the instruments of conflict resolution and confidence building, as well as to provide opportunities to monitor manifest or latent conflicts. As a result, the United Nations is increasingly cooperating with regional and national organizations, institutions, NGOs and others involved in acting in defence of the common humanity. Unfortunately, the issues of international terrorism have brought a new dimension to peace and security where the concerns for human security have come to the forefront of attention. Instead of addressing the roots and causes, the ideas of pre-emptive intervention in order to eliminate potential threats as a mean for prevention has gained prominence. 3.2 The Key Concepts of an Interrelated System with Various Mechanisms for Response The Interrelated System The international community has frequently entered into discussions concerning the definition of peacekeeping at which peacekeeping was primarily considered a military endeavor, although civilian components were included. However, peacekeeping is currently much more complex and involves activities, which are usually just referred to as peacekeeping. Peacekeeping is considered to be not only the separation and observation of military forces, but also more of a wide range of activities that stretch preventive actions and conflict management to post-crisis activities of which peacekeeping is only one part. Recognizing the complexity of todays conflicts and the multi-dimensional approach needed to resolve such conflicts, the international community has gradually accepted some new definitions that more distinctly identify the main pillars in maintaining peace and security. Thus, it can be stated that all operations conducted under and/or in accordance with the United Nations Charter (with the purpose of maintaining or restoring peace) can be identified as peace operations. The term peace operations encompasses diplomatic activities in order to achieve peace (peacemaking), as well as post-crisis activities with the purpose to build a sustainable peace (peace building). The military involvement in these operations must always be considered as supporting activities, and, consequently, the military involvement within this context is called a peace support operation. Briefly, peacemaking, peace building and peace supports are the capstones of a peace operation. Since the definition is not fully recognized, this document still uses peacekeeping as a collective term. The United Nations has developed several instruments for that purpose, such as: preventive actions and peace making; peacekeeping; peace building; disarmament; sanctions; and peace enforcement. The first ones can be employed only with the consent of the parties to the conflict. Sanctions and enforcement, on the other hand, are coercive measures and thus, by definition, do not require the consent of the parties concerned. Disarmament can take place on an agreed-upon basis, or in the context of coercive action under Chapter VII. Collectively and under the term peace operations, all of these instruments, methods and operations present an inter-related system to prevent, manage and resolve conflicts at various levels. Although there are various definitions, the following may serve as guidance: Responsive Mechanisms Preventive action aims to prevent disputes from developing between parties, to prevent existing disputes from escalating into conflicts, and to limit the expansion of conflicts when

Lesson 3 / The United Nations Role in Maintaining Peace and Security


they occur. Preventive actions can be carried out as preventive diplomacy, deployment of troops, or combinations of both. Preventive action may also include the United Nations means to fight terrorism, since the Organization participates in the global efforts to: dissuade disaffected groups from embracing terrorism; deny groups or individuals the means to carry out acts of terrorism; and to sustain broad-based international cooperation in the struggle against terrorism. In the United Nations efforts to act against terrorism, the Organization also assists the Member States in proper legislation. Peacemaking is a diplomatic action to bring hostile parties to negotiate a settlement of their dispute through such peaceful means as those foreseen under Chapter VI and VIII (regional arrangements) of the United Nations Charter. As such, peacemaking is central to all peace processes and, in general, is conducted by the diplomatic community. Peacekeeping is a United Nations presence in the field (normally involving military and civilian personnel) with the consent of the conflicting parties. The purpose of peacekeeping is to implement or monitor the implementation of arrangements relating to the control of conflicts (cease-fire, separation of forces, etc.) and to resolve or to ensure the safe delivery of humanitarian relief. Peace building includes the identification and support of measures and structures, which promote peace and build trust and interaction among former conflicting parties, in order to avoid a relapse into conflict. As such, peace building serves as the critical linkage between the cease of the hostilities and the economic and social development. In consolidating peace United Nations agencies, governmental and non-governmental organizations play important roles. Disarmament refers primarily to the reduction and eventual elimination of weapons of mass destruction, such as nuclear, chemical and biological weapons. The new political realties have also led to limitations of various conventional armaments, such as small arms and the use of landmines. Disarmament also refers to part of a demobilization process often monitored by an international organization. Sanctions and embargoes are enforcement tools, which are used to bring economic pressure on a target State or entity to comply with the objectives set by the Security Council. The authority for enforcement is provided in Chapter VII of the United Nations Charter. Peace-enforcement, also provided in Chapter VII of the Charter, may be needed when all other efforts fail. It includes the use of armed force to maintain international peace and security in situations in which the Security Council has determined the existence of a threat to the peace, breach of the peace or act of aggression.

Figure 1: De-mobilization in Guatemala.

Peace Support Operations (PSO) is the term frequently used for operations that are primarily military. Since there is no clear United Nations definition of peace support operations yet, the definition here refers to those activities requiring the functions related to

Lesson 3 / The United Nations Role in Maintaining Peace and Security


potential use of force and, thus, includes all above-mentioned activities except peacemaking and peace building, which are more commonly provided by diplomats, political leaders, and other non-military personnel.

3.3 Universal Principles Guiding Peacekeeping Operations Although no peacekeeping doctrine exists, there are some accepted and universal principles of peacekeeping that apply to the entire structure of the operation, from the United Nations Headquarters in New York down to the smallest element of the mission, including the political, humanitarian and military components. It is essential that all these elements of a mission comprehend and comply with these principles, which should serve as both a guide and a common frame of reference for all participants in a mission. Authorization One of United Nations fundamental principles is the concept of collective security. The evolution of UN peacekeeping should be seen as an effort to make the vision of collective security a reality. Chapter VI of the Charter authorizes the use of peaceful measures by negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, resort to regional agencies or arrangements, or other peaceful means of their own choice. Chapter VII authorizes economic sanctions to prevent aggression and/or the use of armed force, if necessary, to maintain peace. However, peace-enforcement envisaged in this Chapter did not prove practicable and instead, the United Nations resorted in specific situations to an alternative method of maintaining international peace and security peacekeeping. Peacekeeping is somewhere between the diplomatic solutions discussed in Chapter VI and the military measures discussed in Chapter VII and is, therefore, described by the late SecretaryGeneral Dag Hammarskjld as falling under the non-existent Chapter "Six-and-a-Half" of the UN Charter. Although the term peacekeeping does not exist in the Charter, the establishment of a peace (keeping) operation through a Security Council Resolution provides the necessary legal authority. Legitimacy A peacekeeping mission derives its legitimacy from international support, adherence to statuary law, and conventions and the credibility of the mission. This is especially true since the mission is established and given its mandate by the Security Council, which by the Charter is responsible for the maintenance of international peace and security. Having the full support from the Security Council becomes more evident particularly when an operation encounters difficulties. The legitimacy is further enhanced by the multi-national composition of a mission, including personnel from a wide range of Member States. In addition, it is essential that the mission has a clear and achievable mandate and acts within international/national laws, conventions and rules provided in the mandate. Failure to do so could jeopardize the authority and affect the missions operational effectiveness. Even if the Security Council decides upon an operation, the last years have witnessed some unilateral or collective actions where the approval for such operations has been received retroactively. Consent In contrast with an enforcement operation, a peacekeeping operation is set up with the consent and cooperation of the main parties involved in the conflict. The consent is an inherent requirement not only for the establishment of the force but also for the direction of the force in implementing its mandate. In the mission area, the consent refers to the

Lesson 3 / The United Nations Role in Maintaining Peace and Security


acceptance of activities of the United Nations force by all recognized parties to the conflict (e.g., freedom of movement). As the complexity of a peacekeeping mission increases, universality of consent becomes less probable. Seeking and promoting consent is, therefore, an important activity in which all personnel can engage. Impartiality and Neutrality A United Nations force must be impartial in character. The force cannot take sides without being a part of the conflict it has been mandated to control or resolve. In the mission area, impartiality is based primarily on objective, even-handed, and consistent pursuit of the mandate regardless of provocations and challenges. Without impartiality there is little prospect of preserving the confidence and cooperation of conflicting parties. Therefore, peacekeepers should not take any action that would create an impression that the mission is in any way partial to any of the concerned parties. Proof that one or more parties are favoured over another in any way will result in loss of credibility and increased difficulties in executing operational tasks. However, efforts to maintain impartiality must not promote inaction or condone violations on the part of any faction. A careful distinction should be made in the students mind between impartiality and neutrality. Impartiality, as discussed above, refers to actions the equal treatment of both sides in a conflict. However, neutrality is a political or diplomatic position. Neutrality is a publicly-made statement of not favouring one side in a dispute, but impartiality involves the actual equal treatment of both sides. It is almost impossible to be seen as impartial in the absence of a statement of neutrality, but a nations statement of neutrality is not sufficient for its peacekeepers to be perceived as neutral. Unity A multi-dimensional operation involves a wide spectrum of civilian and military functions. Civilians and military personnel belong to various nationalities with their own culture, professional background, and perspectives of the operation. Regardless of this diversity, a peacekeeping force must act as an integrated unit and, thus, reflect the will of the international community as a whole if the operation is to be effective and accountable. Therefore, a unified command and knowledge of the mandate and the operational principles that must be reflected at every level of the force are the prerequisites for a successful operation. In light of the political objectives defined in the mandate, the head of the mission is responsible for establishing the unity and the inter-operability among the missions various components. Use of Force In peacekeeping operations, force will not be used to carry out the mandate. To use force would fall under Chapter VII of the United Nations Charter and would be considered as an enforcement action. However, non-use of force does not exclude defence of United Nations personnel and property or the use of armed forces in resisting armed attempts that prevent peacekeeping forces from discharging their duties and mandates. The use of defence force should be clearly defined in the rules of engagement (ROE), which clarifies the different levels of force that can be used in various circumstances. Operational Principles A peace operation is primarily a political mission, and its operational principles derive from the given mandate. Depending on the given mandate and the composition of the force (mission), the principles differ. Over the years, a range of basic operational principles

Lesson 3 / The United Nations Role in Maintaining Peace and Security


(activities) have been developed and may include, among other things: observation or supervision of the parties adherence to an agreement; interposition where the peacekeeping force is deployed between opposing elements; control measures such as patrols, checkpoints and observation posts; and mediation/negotiation (See Lesson 8). Common for all operations, however, are those that provide full transparency throughout the mission, especially a transparency that is consistent with the prevailing requirements for security. All personnel (and parties) should be fully aware of the motives, mission, and intentions of the operation, since incomplete or inaccurate communication will foster suspicion and undermine confidence and trust. To that effect, liaison is the physical mechanism that promotes transparency and ensures timely passage of information. In addition, transparency includes wearing the distinctive and easily recognizable United Nations insignia that enhances overt and visible operations.

3.4 Organizational Structure and Main Functions Military Forces (Force Level Missions) Peacekeeping has developed from what is sometimes called first-generation (traditional) to second-generation peacekeeping activities. The first generation of peacekeeping was military operations, where the maintenance of cease-fires and the separation of forces were the major objectives, for example, the operation in Gaza (19561967). Due to the complexity of the conflicts, the second generation of peacekeeping was born. These missions consisted of military and civilian components with mandates including: preventive deployment; implementation of comprehensive settlements; involvement in humanitarian assistance; and protection of humanitarian operations during continuing conflicts. Regardless of the type of mission, the military force is composed of headquarters, which plan and conduct the entire operation, units with the capacity to carry out operational activities, and logistic elements for transport, maintenance and supply. A Force Commander heads the military force. Observer and Similar Missions In addition to the force level missions, there are observer or verification missions, which sometimes operate in tandem with the force level missions. The Military Observer Missions emanate from the end of the 40s, with the preliminary tasks to supervise a cease-fire and/or an armistice agreement. The missions are composed of a small headquarters, headed by a Chief Military Observe (CMO), and a logistic element provides necessary operational support. In carrying out their tasks, the unarmed observers work in teams, which are normally deployed on both sides of a border or a cease-fire line. They observe and report any violation of a cease-fire or any other activities that are considered breaches of an agreement. The military observers have, in a number of operations, been able to promote consent and positive cooperation, not only between the United Nations and the conflicting parties, but also between the parties themselves. Not surprisingly, their tasks have gradually been expanded to include duties within the humanitarian, political, administrative and logistical areas. Their ability and general competence have proven that services of military observers quite often overlap in both military and civilian functions, and, therefore, they may be considered more or less as General Purpose Officers. With the expansion of United Nations peacekeeping, other types of observer missions were established, such as: civilian police monitor missions; geographical observers mission; verifiers; election monitors; election observers; and European Commission (EC) monitors.

Lesson 3 / The United Nations Role in Maintaining Peace and Security


In general, these missions only employ civilians, although some with military backgrounds, whose functional titles (such as supervisors, monitors and observers) indicate their level of responsibility. Among these new types of missions is the United Nations Monitoring, Verification and Inspection Commission (UNMOVIC), which is of special interest since it is empowered with a mandate to disarm a country (e.g., Iraq) of its weapons of mass destruction. Civilian Police In the beginning of the 1960s, one of the first civilian police missions was deployed in Cyprus as a complement to the already existing peacekeeping force (UNFICYP). Under the umbrella of the force, the mission had a weak mandate, and its usefulness was sometimes questioned. However, the experience gained became important and served as useful guidance when the concept of civilian police extended to other missions. The financial and political constraints on United Nations peacekeeping promoted an increased deployment of civilian police contingents, and particularly the huge missions in the beginning of the 1990s witnessed contingents of several hundreds of police officers. Like the Military Observer Missions, the Civilian Police is organized in a headquarters, supported by a logistic element, and works in teams a Police Commissioner heads the mission. Their "unarmed" presence and non-military appearance made them more politically acceptable than the uniformed soldiers previously assigned as military observes. The United Nations Civilian Police was instrumental, for example, in Haiti (MIPONUH), Croatia (UNCRO), and Bosnia and Herzegovina (UNMIBH). These UN Civilian Police had no actual law enforcement authority (except under certain circumstances), but instead were responsible for monitoring local police activities. In recent years, their duties have been further expanded to include training and assistance in the creation of reliable police forces in countries where law and order resources are not adequate. The operation in East Timor (UNMISET) is a good example of where the civilian police component currently consists of 650 police officers. In their specific role, the civilian police monitors have proven to be an excellent instrument in the peacekeeping environment. 3.5 Types of Peace Operations When conducting peacekeeping operations, the United Nations relies on activities that are consistent with the Charter, as well as principles and methods that have proven effective for past operations. These activities include (but are not limited to): (i) preventive deployment; (ii) traditional peacekeeping, such as the supervision of agreements and interposition; (iii) humanitarian assistance and protection of humanitarian operation; (iv) the implementation of comprehensive settlements; and (v) conflict mitigation. The activities generally include elements of peacemaking and peace building. They may be described as: Preventive Deployment Conflict prevention is normally a combination of early warning, preventive diplomacy and preventive deployment. Together, these may be regarded as confidence-building measures to maintain peace and security in an area. Identification of a conflict by early warning will allow more time for preventive diplomacy or military action. Preventive deployment may take place when one or more countries decide that a United Nations presence along a border can discourage hostilities. For example, the former Yugoslav Republic of Macedonia (FYROM) requested the presence of the United Nations on its side of the border, and the Security Council authorized the Secretary-General to establish the United Nations Preventive Deployment Force (UNPREDEP) in Macedonia (FYROM) a force comprised of

Lesson 3 / The United Nations Role in Maintaining Peace and Security


military, civilian and administrative personnel. However, the incentives in conflict prevention will be undone if the United Nation does not further develop its capacity to mitigate global threats, the use of weapons and, in particular, those involving weapons of mass destruction. Traditional Peacekeeping A traditional peacekeeping operation involves a neutral and lightly-armed force. It takes place with the consent of the parties. A cease-fire agreement is normally in place before deployment. The purpose with such operations is to monitor the cease-fires and, by their presence, enable combatants to pull back to a safe distance from each other. By monitoring and reporting on the parties adherence to commitments regarding, for example, a ceasefire, a demilitarised zone and areas of troop limitation, and by investigating complaints of violations, the operations constitute an important confidence-building measure. Thus, the mission helps to advocate and maintain peaceful conditions so that the conflicting Figure 2: UN Peacekeepers in the Middle East. parties can pursue a negotiated settlement. Observation, supervision and interposition are the most common types of traditional peacekeeping operations. Most of the earlier operations in the Middle East and the on-going UNFICYP in Cyprus and UNDOF at the Golan Heights are considered traditional peacekeeping operations. Humanitarian Assistance and Protection of Humanitarian Operations Volatile political situations and man-made disasters have often created dreadful circumstances for civilian populations. Although these problems are primarily the concern of other United Nations agencies, international or non-governmental relief organizations, it may require the involvement of a United Nations force, sometimes deployed under conditions of continuing warfare. The mandate is to try to stabilize a situation, protect the civilian population, and protect and assist the humanitarian agencies in providing humanitarian supply and refugee relief, while at the same time working with the concerned parties toward a negotiated settlement. Even though some of these operations are authorized under Chapter VII of the Charter, such as the use of force in order to ensure specified humanitarian objectives, they are also required to remain neutral and impartial between the warring parties. Examples of missions with significant humanitarian assistance responsibilities are ONUC (Congo), UNAMIR (Rwanda), and ONUMOZ (Mozambique). The present mission in the Democratic Republic of Congo (MONUC) acts under a similar mandate. (See also Lesson 4) Implementation of Comprehensive Settlements In the late 1980s, a new type of peacekeeping was introduced with the goal of assisting the parties to a conflict in implementing an already agreed-upon comprehensive settlement. These new peacekeeping tasks could involve a wide range of functions: monitoring a cease-fire; the demobilization of military units; assisting elections; rebuilding infrastructure; temporarily taking over some of the functions of a national government;

Lesson 3 / The United Nations Role in Maintaining Peace and Security


monitoring national civil police; and the repatriation and rehabilitation of refugees. The prime examples of multi-dimensional peacekeeping have been the operations in Namibia (UNTAG) and in Cambodia (UNTAC). Other similar operations were ONUMOZ (Mozambique) and UNAVEM II (Angola) but also SFOR in Bosnia and Herzegovina and recently KFOR in Kosovo, although neither are UN operations. The on-going operation in Sierra Leone (UNMASIL) has a similar mandate with the objectives to assist in the implementation of the disarmament, demobilization and reintegration. Conflict Mitigation These operations are mandated with an attempt to mitigate the effects of armed conflicts by delimiting the rules of an on-going war. The mandate authorizes the use of force, but only for limited and local purposes and not necessarily to bring a war to an end. Examples of such situations include the UN Mission in Bosnia and Herzegovina, (UNMIBH) or the UN Protection Force (UNPROFOR). Enhanced Peacekeeping Although the United Nations in recent years has improved its capacity for managing complex emergencies, the Organization is expected to muster the political will among the Member States and to find further innovations if it is to be prepared for the challenges of the new millennium. The lessons from the events of September 11, 2001, and the discouraging discussions foregoing the Iraqi War further underscore these challenges. Recognizing the political realities and the increase of potential or latent violence, a new generation of peacekeeping is considered to be more militarily active and more preventive. The new generation of peace operations will have the intent of preventing, restoring or maintaining peace by using two applications: (i) the use of positive incentives to induce, in the first instance, consent and cooperation with the peace operation and beyond that reconciliation and (ii) the threat of coercion to gain consent and cooperation show of a more credible force. In this respect, the most successful operation was applied by the United Nations Transitional Administration in Eastern Slovenia (UNTAES). Peace Building Briefly peace building refers to post-conflict activities. With the creation of a Peacebuilding Office within the Department of Political Affairs (DPA), the United Nations has established another mechanism dealing with peace in a broader context. The office aims to prevent the outbreak, the recurrence or continuation of armed conflicts. It handles intricate programmes and mechanisms concerning political, developmental, humanitarian and human right issues. Currently more than 13 peace building or political missions are set up worldwide. Most of them are set up in the aftermath of peacekeeping operations such as United Nations Political Office in Somalia (UNPOS) and United Nations Tajikistan Office of Peace-building (UNTOP). The new generation of peace operations will call on peacekeepers to be ready both in appearance and in reality to use force in order to prevent, dissuade, and persuade warring parties. Therefore, future peacekeepers must be more professional in carrying out a given mandate and also more capable of defending themselves, other mission components and the mandate. Even if the peacekeepers have the mandate for self-defence, this new environment may require more robust rules of engagement against those who, for example, seek to undermine a peace agreement by violence.

Lesson 3 / The United Nations Role in Maintaining Peace and Security


But of equal importance is the confrontation of the economic and social problems in the aftermath of a conflict. The necessity to strengthen legal institutions and to improve the respect for human rights and international humanitarian law are fundamental issues in a peace operation, as well as in the post-conflict environment. Future operations must also incorporate mechanisms dealing with demobilization, disarmament and reintegration (DD&R) in the longterm mission plan, in order to avoid former conflict-areas from falling back into chaos. The use of civilian police, other rule-of-law elements, human rights and other experts will be supplementary mechanisms to meet these demands. (www.un.org/Depts/dpko/dpko/home.shtml)

3.6 Planning and Preparation Principles The history of United Nations peacekeeping is replete with emergency responses to crises. Whereas ad hoc preparations were acceptable when the number and complexity of operations were limited, presently there is a more institutional approach to expedite the establishment of the multi-faceted operations. This requires cooperation of all concerned parties in implementing the mandate, effective management and timely advice by United Nations Headquarters, appropriate and unified command structure in the field, and adequate logistic and financial support. Peacekeeping operations do not rely exclusively on military action, but rather a corroboration of diplomatic, economic and humanitarian endeavors to pursue political objectives. Consequently, planning is a coherent effort in order to define and implement a given mandate and to integrate all tasks under one mandate. Assessment The effective execution of peacekeeping operations requires an assessment of the actual situation. This is achieved by the combined efforts of the various departments of the Secretariat and involves other actors within the United Nations system as well. Within the Secretariat, and apart from the Executive Office of the Secretary-General, the planning process encompasses substantial departments such as: the Department of Peacekeeping Operations; Department of Political Affairs; Office of Humanitarian Coordination; Department of Administration; Department of Public Information; and the Office of Legal Affairs. Their combined assessment through the Integrated Mission Task Force embraces a wide range of factors that serve to increase the effectiveness of the operation. In order to actualise the input of the planning processes, the Secretariat, as a rule, dispatches survey missions to the pre-designated mission area. The purpose of these fact-finding missions is to observe the conditions in the field, facilitate forthcoming liaisons, and recommend the nature of the overall operational activities, which all result in a planning concept for the operation. The concept will then constitute the size and type of operation, which can either be an observer mission consisting of unarmed officer (military or civilian police) observers, peacekeeping forces, a combined observer/force mission, or a multi-dimensional force. The Planning Process Traditionally, the proposed concept requires the consent of the parties to the conflict. When this is not the case, the complexity and comprehensiveness of the planning process increases dramatically and may involve other regional actors, particularly if the mission is going to operate under Chapter VII. Regardless of the type of operation, the proposed mandate for the operation must be adopted by the Security Council and with broad support from the international community. Even if no formal decision exists, a pre-planning process will commence before such decision in order to gain time. It may involve the assessment of

Lesson 3 / The United Nations Role in Maintaining Peace and Security


the actual situation in the area, likely available resources, and the pre-designation of a planning team. The actual planning starts when a decision is available. Transparency and cooperation among and between the Security Council, the Secretariat, and the concerned countries/parties are essential elements in this process. The Secretary-General continuously reports to the Security Council and coordinates with potential troop-contributors about the resources necessary to launch and implement the operation. Subject to the Councils approval, the Secretary-General must then make required arrangements that involve choosing the head of the mission and asking Member States to provide troops, police or other civilian personnel, supplies, equipment, and transportation, among other things. The existing list of key personnel and the stand-by arrangements concerning required equipment and troops has greatly facilitated these activities. In approving the Secretary-Generals report, the Council also decides the duration of the operation and how the operation is going to be financed. Based on the planning concept and the approval from the Security Council, the Secretariat, with the involvement of pre-designated key personnel, further develops a comprehensive plan that takes into account the allocation of troops, personnel equipment, the level of sustainability, and specifically all the functions to be performed in the mission. This integrated process, where all actors are gradually involved, provides the best conditions for a successful operation. The Involvement of Host and Contributing Countries The assurance of support from the contributing countries and the country whose territory is to be the operational theatre is essential. The contributing countries, and especially the troop-contributing ones, must assure the provision of manpower and equipment, and the host country must guarantee that they will make every effort to facilitate the deployment of the force/mission. Although the stand-by agreements do not guarantee unconditional contributions from the Member States for a specific operation, they do reflect potential contribution on a case-by-case basis. In the mission area (host country), it is mandatory that the mission enjoys the status, privilege and immunities of the United Nations as provided for in the Charter (Art. 105) and in the Convention on Privileges and Immunities of the United Nations. Therefore, the Secretary-General undertakes the conclusion of a status agreement with the host government(s) concerning the work of the operation the Status of Forces Agreement (SOFA). A similar agreement regulates the activities between the United Nations and troop-contributing countries the Model of Force Agreement (MOFA). (See Lesson 1) Improvement of the Planning and Implementation Capacity In 2000, the Secretary-General tasked an independent panel to study and make recommendations of the whole concept of future peace operations (Further referred to in Lesson 2). The panel was chaired by Algerias former Minister of Foreign Affairs, Lakhdar Brahimi, and the report came to be known as The Brahimi Report. The Brahimi Report recommended a series of recommendations that, to a large extent, has been implemented. The establishment of a mechanism for strengthening cooperation between the Council and troopcontributing countries has improved the transparency in the planning process. The Secretariat has expanded its resources for coping with the requirements of the planning, deployment and management of traditional and multi-dimensional operations where the establishment of the Integrated Mission Task Force is an essential part. Progress has also been achieved in implementing the rapid deployment concept, which includes, among other things, the strategic deployment stocks and the United Nations Logistics Base at Brindisi. Other improvements include a better utilization of civilians, as well as a better stand-by arrangement for all predesignated key personnel in tentative missions. Although the troop-contributing countries are

Lesson 3 / The United Nations Role in Maintaining Peace and Security


responsible for the training and preparation of their civilian and military personnel, the United Nations has established a well-functioning entity, which provides and supports the Member States in their preparations. (www.un.org/peace/reports/peace_operations/docs/recommended.htm)

3.7 Management Responsibilities The Security Council has the responsibility for the maintenance of peace and security and acts on behalf of all the Member States. In the Secretariat The Secretariat carries out decisions taken by the other principal organs (GA, SC, etc.), which, with regard to peacekeeping, entail planning, executive direction and logistical support. The Department of Peacekeeping Operations (DPKO) is to a great extent responsible for these activities. In the Field A peacekeeping operation is established following a resolution of the Security Council or, in exceptional cases, the General Assembly. The executive direction of an operation (Including political directives and operational control) extends from the Secretary-General to the Head of the Mission. Depending on the mission, overall command/management in the field is exercised by a Special Representative of the Secretary-General (SRSG), the Force Commander (FC), or a Chief Military Observer (CMO) appointed by the Secretary-General with the consent of the Security Council. The Head of the Mission is responsible to the Secretary-General and exercises partly political but fully operational control over the force (except for disciplinary questions, which remains a national responsibility). When a peacekeeping force performs non-military functions not limited to military tasks (multidimensional force), it normally requires civilian components in addition to military ones. In such cases, overall command in the field is vested by the SRSG to whom the heads of the various components report.


Special Representative of the Secretary-General
Human Rights Component

Deputy SRSG
Force Commander Head CivPol Component

Head Election Component

Chief Military Observer Chief Administrative Officer Head Humanitarian Component

Figure 3: Principal organization of a multi-dimensional mission. (UN DPKO Training and Evaluation Service)

Lesson 3 / The United Nations Role in Maintaining Peace and Security


3.8 Peacekeeping Partnership Civilians in Peace Operations In the early years of peacekeeping and particularly during the Cold War era, the civilians were mainly personnel from the United Nations Field Administration and Logistics Division (FALD). Their main responsibility was to provide all the administrative and logistic support, which was not directly provided by the operation-participating governments. At the end of the 80s and beginning of the 90s, the involvement of the civilians expanded greatly, particularly in the area where peacekeeping operations had to perform duties that were nonmilitary in nature. In missions such as those in Cambodia, the former Yugoslavia, Namibia, Somalia and others, the civilians, apart from their traditional support to the military forces, performed duties similar to those of a civilian society, as well as large and mandated humanitarian assistance programmes. The involvement of civilians not only changed the peacekeeping concept, but it also required new forms of cooperation between the military and civilian planners and managers, not only in terms of planning and implementation but also in a change of attitudes. The Partnership Concept The partnership concept was conceptualised as an interoperable function where the various actors and individuals, as well as organizations and institutes, must be aware of the characteristics and capabilities of each other. The term partnership applies to individuals and organizations that work together in order to improve the effectiveness of modern peacekeeping operations. It is now commonly accepted as the formal and informal link between the various players who have different roles in a multi-dimensional activity. Peacekeeping Partnership involves, among others, the military, humanitarian aid agencies, good governance officials, non-governmental organizations and civilian police. In fact, all those who are or will likely be involved in any operation of multi-dimensional character are part of the Peacekeeping Partnership. Through integrated planning, training exercises, seminars, workshops and other learning activities, ideas and opportunities are exchanged. Entities and individuals benefit from each other with the purpose of maximizing the efficiency of a field operation. Since the partnership is a kind of interchange of information, it extensively must affect the planning processes. Several organizations have come to recognize the importance of maintaining an awareness of others in partnership and have, therefore, established exchange or liaison programmes where staff personnel and officials are assigned for duty with other organizations. This is beneficial for both parties, as the arrangements allow an early joint awareness in both strategic and operational planning. (See Lesson 5) Definition The word Partnership has become a key word regardless of if it involves peacekeeping, other similar operations, or just an expression for a close and less formal cooperation. In Africa, as well as in many other places, there is a training programme for partnership. NATO has a Partnership for Peace (PfP) programme, where NATO goes beyond its traditional boundaries and involves its new democratic partners in the former Soviet bloc and some of Europe's neutral countries in order to enhance European security. More explicitly, the purpose is to provide a framework for enhanced political and military cooperation for joint multilateral activities, such as humanitarian assistance, peacekeeping, and crisis management and enables Partners to improve their interoperability with NATO. (See also: www.ciss.ca/ppc.htm or www.state.gov/www/regions/eur/nato_fs-pfp.html)

Lesson 3 / The United Nations Role in Maintaining Peace and Security


Learning Questions Knowledge What are the efforts of the interrelated system in the United Nations to maintain peace and security? What are the differences between peacekeeping and peace enforcement in terms of consent? What provides the legal authority for the implementation of a peacekeeping operation? What is the definition of peacekeeping? What is impartiality and why is it so important in a peace mission? What is collective security and what does it mean? Which Chapter of the Charter provides for the use of sanctions and embargoes? What constitutes the use of force in a peacekeeping mission? Who exercises the full responsibility of a multi-dimensional force in the field? Awareness How would you describe a preventive action? What political issues can be raised in using use of force? What are the similarities between peacemaking and peace building? What is the significance of traditional peacekeeping? How would you describe the differences between SOFA and MOFA? What could motivate the Security Council to mandate a peace enforcement operation? What is the definition of an observer mission? Which are the new and most significant elements in the planning and preparation of a peacekeeping operation? How would you describe Peacekeeping Partnership? Application Fortunately, you have been asked to attend a seminar at which the United Nations operations are discussed. The discussion evolves around peacekeeping soldiers and the possibility that they have to use their weapons. You have read the Introduction to the UN System Course and consider yourself to be reasonably well-informed on the topic. Consequently, you state that peacekeeping soldiers only use their weapons in self-defence. You are immediately questioned about the meaning of self-defence and what the implications are for a peacekeeping soldier. What is your answer?

Lesson 3 / The United Nations Role in Maintaining Peace and Security



1. Which of the following does not fit into the new political context? a. Individuals right; b. Arms control; c. Culture of reaction; d. Monitoring manifested conflicts.

2. Peace operations include: a. Peace making; b. Peace building; c. Peace support; d. All of the above.

3. Which Chapter of the Charter provides for the use of sanctions and embargoes? a. Chapter VI; b. Chapter VII; c. Chapter VIII; d. Chapter six-and-a-half. 4. Which of the following statements is the most correct one? a. Peacekeeping is a United Nations presence in the field with the consent of the conflicting parties; b. Peacekeeping does not require the consent of the parties concerned; c. Peacekeeping takes place on an agreed basis or in the context of coercive action under Chapter VII of the Charter; d. Preventive action aims to bring hostile parties to negotiate a settlement of their disputes.

5. What principle of peace enforcement is the most important one if the operation is to succeed? a. Clear definitions of the rules of engagement; b. Impartiality; c. Legitimacy; d. Authorization under Chapter VII.

6. Which of the following operations is characterized as traditional peacekeeping? a. ONUC (Congo); b. UNFICYP (Cyprus); c. UNTAG (Namibia); d. UNTAC (Cambodia).

Lesson 3 / The United Nations Role in Maintaining Peace and Security


7. Which of the following statements most correctly applies to peacekeeping operations? a. Use of force only in self-defence; b. Use of force only under Chapter VII; c. Use of force only in resisting armed attempts that prevent a peacekeeping force from discharging its duties and mandate; d. Non-use of force does not exclude defence of United Nations personnel and property.

8. Which of the following types of operations is/are considered second-generation peacekeeping? a. Preventive deployment; b. Protection of humanitarian operations; c. Multi-dimensional peacekeeping; d. All of the above.

9. Who exercises the full responsibility of a multi-dimensional operation in the field? a. The Secretary-General; b. The Special Representative of the Secretary-General; c. A Force Commander; d. None of the above.

10. Peacekeeping Partnership involves: a. All organizations involved in a peace operation in the field; b. Those who are or likely will be involved in any operation of multi-dimensional character; c. Members of NATOs Partnership for Peace programme; d. Both a. and c.

Lesson 3 / The United Nations Role in Maintaining Peace and Security



1. 2. 3. 4.

c. d. b. a.

Culture of reaction All of the above Chapter VII Peacekeeping is a United Nations presence in the field with the consent of the conflicting parties Legitimacy UNFICYP (Cyprus) Non-use of force does not exclude defence of United Nations personnel and property All of the above The Special Representative of the Secretary-General Those who are or likely will be involved in any operation of multidimensional character

5. 6. 7.

c. b. d.

8. 9. 10.

d. b. b.

Lesson 3 / The United Nations Role in Maintaining Peace and Security


This page intentionally left blank.

Learning Objectives Key Questions Introduction 4.1 The Development Concept The Interface between Development and the Maintenance of Peace and Security Strategy Implementation 4.2 The Interface between Disaster Relief and Development 4.3 Humanitarian Imperatives Disaster Relief and Humanitarian Operations The Humanitarian Dimension Reconciliation People-Centered Activities Roles of the UNVs 4.4 Distinctions/Similarities between Human Rights Law and International Humanitarian Law (IHL) 4.5 Human Rights (HR) and Principles for Protection of Human Rights Establishment Instruments Functions Human Rights and Development Human Rights and Peace Operations 4.6 Principles and Applications of International Humanitarian Law Law of Geneva (Geneva Conventions of 1949) Law of The Hague Summary of the Provisions of International Humanitarian Law Learning Questions Knowledge Awareness Application End-of-Lesson Quiz

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 56

LESSON 4 (Ref: Basic Facts about the UN; pages 127-241, and Articles of the Charter) Learning Objectives Lesson 4 is considered part of what is in this course called the operational framework. The reason is to emphasize that development and other related activities should be regarded as an integrated part of the United Nations main objective to maintain international peace and security. The development activities are the curative measures but with the objectives to address the root and causes as well. They are the major mechanism in promoting a lasting peace. Lesson 4 addresses some of the main features of the development concept in order to give an understanding of development as the major part of the long reconstruction process that commences at the end of an emergency. The chapters that deal with human rights and humanitarian law have been included because they are considered as the promoting elements in the reconstruction and democratisation process that follows an emergency. The main objective of Lesson 4 is to provide the student with an understanding of these basic principles.

Key questions to be considered by the student when studying Lesson 4: What is the development concept about? What is the relationship between Maintenance of Peace and Security and Development? What are the main features of the UNDPs work? What is the Interface between Disaster Relief and Development? What are the implications of humanitarian imperatives for peace operations? What is participatory development? What is reconciliation? What are the differences and similarities between human rights and humanitarian law? What are the implications of humanitarian law for the conduct of military operations? Whom does humanitarian law protect? What are the main instruments of human rights? What are the main features of the Universal Declaration of Human Rights?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 57

Introduction The reconstruction of a society is one of the most complex endeavours undertaken by the international community. It entails several phases and includes activities from disaster relief to development and reconciliation. The new political context requires a broad, collaborative, and humanitarian approach. Therefore, solutions and mandates, empowered to create confidence between and among conflicting parties through economic and social development, have become the most important and useful mechanisms to enhance international and regional security. Likewise, the protection and promotion of human rights is important and must be considered as part of the development concept as well as part of international security. Adherence to the International Bill of Human Rights is a necessary political condition for prosperous development, and, therefore, Human Rights should be thought of as a natural humanitarian/political bridge between security and development. Although security and development and the advancement of human rights are the fundamental capstones in the democratisation process, the process per se can never be fully achieved, particularly in war-torn societies, if the process does not include reconciliation.

Figure 1: Pounding swords into ploughshares. (Outside UN Headquarters)

4.1 The Development Concept The Interface between Development and the Maintenance of Peace and Security From a given perspective it may be stated that emergencies are the result of unresolved development problems. Economic or social injustice generates poverty, which can be the root cause for conflict and man-made disasters. Poverty creates conflicts over resources and can become a breeding ground for political crisis where the conditions are perceived incorrectly. Violence is always a potential outcome in the absence of a democratic system. Conflicts of ethnic and religious character have been witnessed in Central Africa, Europe, and elsewhere, compounded by social revolts where old links are still maintained with external forces, such as in Central America. These are examples of causes that have brought conflict and disaster to entire regions. Development has been the key to the prevention of conflicts since it brings necessary social and economic justice and establishes the capacity of building entities and democratic institutions. Strategy United Nations activities in the fields of peace and security are well known. Political crises, humanitarian emergencies, civil unrest, and other natural or man-made disasters easily get the interest of the world media. The United Nations is brought into action, and the world focuses on the Security Council and what kind of ease its decision may bring to suffering people. Of less media interest are the United Nations actions in the field of development in

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 58

spite of the fact that more than seventy percent of the Organizations budget is devoted to development. This media neglect leads to an absence of public awareness of the global impact the United Nations various programmes have on the world population. Often without attracting attention, the United Nations and its family of agencies are engaged in a vast array of work that touches every aspect of people's lives around the world. In the past and before the Post-Cold War era, development was conceptualised in a giving-and-receiving formula that subsequently created dependency among the beneficiaries. In the era of globalisation, that concept has changed. Today, development is neither a shortterm nor medium-term of engagement. Development is about improvement of human wellbeing and removal of poverty, diseases and ignorance, productive employment and to meet the priority needs of all people than can be sustained over future generations (Boutros Boutros-Ghali Agenda for Development). It is a strategic undertaking, and provides an integrated framework addressing the overriding policy objectives concerning social justice and economic progress including democratic, economic, social and human rights policies on a macro level. This holistic approach is considered more likely to result in progress, and international cooperation. Thus, development is a part of the social and economic transformation, which takes place globally. The United Nations serves as the centerpiece for consensus building in formulating and advocating policies and strategic goals. Implementation Through a series of International Development Decades, policies and goals for each decade are set, which provide the foundation for progress on all aspects of development. This, together with the former Secretary-General Boutros Boutros-Ghalis Agenda for Development, serves as a blueprint for addressing the global issue of economic and social development. The Economic and Social Council is the United Nations principal body in coordinating these activities. The Councils Department of Economic and Social Affairs is responsible for policy, analysis and coordination, among other things, and serves as the substantive element in formulating the global policy while the five Regional Commissions assist in formulating the regional policy in the regions of Asia, the Pacific, Africa, Latin America, the Caribbean and Europe. In the operational field, the United Nations Development Programme is the main coordinator of development assistance. The programme works worldwide and is represented in more than 130 countries, where it assists the countries in developing their own capacity to build sustainable human development. In addition, there are numerous governmental and nongovernmental bodies that are instrumental in implementing sustainable development. However, it is no secret that the development activities during the last decade have been extremely disappointing with poverty deepening and the environmental degradation worsening. Not surprisingly, the Johannesburg Summit (2002) stated the need for action and results instead of new strategies or political debates. Economic growth, social development, and environmental protection are the three main areas that will take sustainable development to the next level, where it will benefit more people and protect more of our environment. (Resources: Report from Johannesburg Summit) The UN system has devoted more attention and resources to the promotion of the development of human skills and potentials than any other external assistance effort. The system's annual disbursements, including loans and grants, amount to more than ten billion. The UN Development Programme (UNDP), in close cooperation with over 170 Member States and other UN agencies, designs and implements projects for agriculture, industry,

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 59

education, and the environment. It supports more than 5,000 projects with a budget of $1.1 billion (2002-2003). It is the largest multilateral source of grant development assistance. The World Bank, at the forefront in mobilizing support for developing countries worldwide, has as of March 2002, disbursed loans outstanding totalled at $120 billion. In addition, UNICEF spent more than one billion in 2001, primarily on immunization, health care, nutrition, and basic education in 138 countries. (For achievements, see www.un.org/Overview/achieve.html) The developing countries require assistance to strengthen their economies. The World Bank Group, with its market-promotional policies, plays an active role in lending money and providing technical assistance and policy advice. The group is comprised of the International Bank for Reconstruction and Development, the International Development Association, which provides credits to the poorest nations, and the International Finance Cooperation, which both give loans in order to finance the private sectors in the developing countries. Another financing institution is the International Monetary Fund (IMF). In accordance with the Charter, the IMF is supposed to be the multilateral instrument for coherent macro-economic policies designed to achieve the Charters economic and social goals. Even if the Fund does not play the central role as foreseen, it has a crucial responsibility in providing temporary credits to Member States experiencing balance-of-payments difficulties and financial support of economic adjustment programmes. Other institutions provide assistance, such as: the World Trade Organization, which has the responsibility of overseeing international trade; the United Nations Industrial Development Organization, which is mandated to promote industrial development and cooperation; the Food and Agricultural Organization (FAO), for rural development; the International Labor Organization (ILO); the World Health Organization (WHO); the United Nations Educational, Scientific and Cultural Organizations (UNESCO); and many others that are all part of the development framework. All of these organizations share a common goal to advance the Charters pledge to promote higher standards of living, full employment and conditions of economic and social progress and development. 4.2 The Interface between Disaster Relief and Development Societies affected by natural or man-made disasters need international assistance in order to recover and return to normal conditions. Therefore, it is necessary to understand that the transition from emergency to development requires a sound and comprehensive rehabilitation phase in order to minimize the probability of a reiteration of the emergency. In other words, there is a need for a concerted effort to eliminate the root causes. Subsequently, the rehabilitation phase requires a firm policy that links not only the rehabilitation, but also the relief activities to the future development activities. In theory, this is very clear, but in practice it is more difficult. Since relief activities focus on providing the basics for survival, such as food, water, shelter, medical supplies, and protection, it is essential to find the mechanisms and actors which promote conditions essential to restore this process towards development. The rehabilitation tools that bridge relief and development are sometimes difficult to obtain initially, but ought to include activities, such as conditions for security and stability, strengthening the social fabric, rebuilding damaged infrastructure, the promotion and protection of human rights, and the reintegration of displaced persons. Under these conditions, disparities within a nation, and the involvement of local, national, regional, and international actors can foster an atmosphere that can become highly sensitive.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 60

As indicated, the interface between disaster relief and development covers a wide range of activities some of them are far-reaching both in terms of scope and permanency, while others are more limited. Therefore, it is essential that field operators have an understanding of which policy will prevail in terms of rehabilitation and development. They must subsequently adopt approaches that include the consultation and participation by the local population and culture without weakening national or local authorities or other formal structures. 4.3 Humanitarian Imperatives Humanitarian imperatives can never be limited to just emergency operations. They must be considered as part of the overall strategy regardless of if it applies to emergencies or development. The humanitarian imperatives, which are not a part of the overriding political strategy, must concur within the political concept if a peace process is to be fully achieved. Human interaction, therefore, is a key concept if goals such as social welfare, justice, and peace are to be settled. Disaster Relief and Humanitarian Operations In the 60s, 70s and 80s, the international communitys response to various emergencies, such as disaster relief, was well established and focused on providing relief to Figure 2: Humanitarian populations suffering from natural disasters such as droughts Imperatives. Cyprus 1964. and flooding. Unfortunately, the aid or relief activities ceased when the most urgent requirements were met, and the opportunity to formulate a durable curative strategy (such as development) was often missing. The end of the Cold War saw other types of disasters, where man-made emergencies caused by injustice, ethnic/religious conflicts, and political power struggles became more frequent. These kinds of emergencies produced more uncontrollable conditions since they contained political violence, civil unrest, and breakdowns of democratic and even state institutions. All this changed the concept of disaster relief, and the world community recognized that the response to crisis in this new political environment was far more complex than in the past. Traditional disaster relief operations were combined with military units for the protection of humanitarian mandates, and even enforcement actions with the use of force became a reality. Development became an even more important part in the efforts to achieve a durable peace. Under these circumstances, the humanitarian consequences of sanctions or other enforcement activities must be contemplated. Unfortunately, economic sanctions may cause shortages of commodities of vital importance for the population in the long run, and the use of force, if excessively used, may affect the infrastructure and even cause fatalities. (The most criticized sanctions against Iraq may serve as an example.) Even though some of these operations were authorized under Chapter VII of the United Nations Charter, UN personnel are still required to remain neutral and impartial in their overall objectives. Under some circumstances, when the use of force became a necessity and was operationally performed, the United Nations was sometimes accused of being an aggressor, resulting in serious political and humanitarian consequences. As a result, some humanitarian organizations, particularly NGOs, became reluctant to cooperate since they believed that a possible linkage to the military or to United Nations policy might jeopardize their own independence and, even worse, the whole humanitarian mandate. Even if some reluctance still exists, the last years have witnessed clear improvements in the civil/military relationship.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 61

The Humanitarian Dimension The new or perhaps quite old pattern of conflicts and wars emerging towards the end of the 20th century challenged the international community intellectually, politically, and morally. Civil societies and governments increasingly conducted civil or intrastate wars in which civilians, civilian resources, social, economic, and cultural structures were targeted. Contemporary wars seem to be increasingly societal with violence directed at civil institutions. Under these conditions, the ordinary citizens suffered the most. Emergency assistance, followed by peace building, rehabilitation, reconstruction and other confidencebuilding measures are the pillars in the re-establishment of the normality lost in a society torn apart by war or similar emergencies. Development has been the curative strategy in the rebuilding efforts. Although the international community is able to ease the living conditions, as well as to bring peace and development to affected areas, it has been apparent that conditions other than the traditional political and socio-economic notions must be recognized if a durable peace is to be achieved. With the involvement of various components including the military, it is essential to keep the humanitarian imperatives in mind when these kinds of operations are implemented. As part of an overall strategy, humanitarian aid must be provided in light of political realities, and subsequently, aid activities must be integrated with and replaced by indigenous political, security, and humanitarian structures. Thus, the humanitarian dimension of political problems must be considered, and human needs must be considered and linked to the political solutions. In this perspective, the social and economic relationships must be understood as well. Apart from the strategic aspects, the new dimension of humanitarian aid also comprises a broader agenda. Assistance to create new institutions and capacity-building entities, as well as demining, demobilization, integration of refugees, monitoring of human rights issues, gender issues, and the need to strengthen the social fabric, promote burden sharing, all of which involve humanitarian actors. This demands a coherent view of humanitarian problems, as well as an operational coordination in the field where the analysis of the roots and causes must be linked to the treatment of symptoms as part of the development strategy. In order to meet these challenges, the Executive Committee on Humanitarian Affairs (ECHA) was created by the Secretary-General in the framework of the UN reform. With the aim of enhancing the coordination between UN agencies in various fields, the ECHA is composed of executives at the highest level who meet on a monthly basis in New York. Reconciliation The experiences from the last few decades of inter- and intrastate conflicts have indeed indicated that the human wounds from a conflict in which many have suffered can only be cured if preceded by a healing process and reconciliation. Such reconciliation may take different forms. While national reconciliation may refer to the reinstitution of psychological, cultural, economic, and political conditions, the human reconciliation may involve participatory dialogs between former adversaries and/or between brothers and enemies. Today, there is no normative system for the reconciliation processes. Governmental organizations are with a few exceptions not geared to handling these deeply human aspects of complex conflicts, and very little is understood about the process that has inspired people to go through genuine reconciliation and forgiveness. But even if the importance of the reconciliation process is accepted as a steppingstone in achieving sustainable peace and development, it is still an open question of how the international community can best implement reconciliation as an indisputable part of the peace process.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 62

People-Centered Activities Roles of the UNVs Recognizing these humanitarian perspectives, the UN has adopted a people-centered strategy that involves the local population and makes sure that projects and other similar activities are well anchored in that community. Development, humanitarian activities in a peace operation, and reconciliation require the involvement of local people. No project can be decided and implemented with just a top-down approach. In order to achieve full success and to bridge for a continuation within the concerned local community, it is essential that the local population be involved from the very outset of the project, which creates a more peoplecentered assumption of responsibility. Therefore, it is paramount that local needs and interests be well expressed in decisions as well as in subsequent implementation. But likewise, it is important that the project/activity makes use of local knowledge and skill. Even if this goes without saying, it has not always been implemented. The fact is that the project/activity requires a strategy that concerns approaches and methods in getting people involved in projects that effect their lives and living conditions. Consequently, the indigenous population must be engaged, encouraged, motivated, and also empowered if they are to fully participate in a project. Over the course of many years, the United Nations has played an increasing role in the promotion of this people-centered approach in which participatory development, gender, and human rights/international humanitarian law have been essential components. UNDP, in particular, has promoted these three particular areas, which are the foundation for social justice, human well-being, and peace.

4.4 Distinctions/Similarities between Human Rights Law and International Humanitarian Law (IHL) In general, International Humanitarian Law (IHL) applies to the prevailing conditions in war or similar circumstances, while Human Rights (HR) pertains to peaceful conditions. As such, they are complementary as they seek to protect individuals in different circumstances and in different ways. In the United Nations field operations, there is sometimes a misinterpretation about the applications of HR and IHL. Therefore, it is essential to clarify both the distinctions as well as the similarities between these two bodies of international law. The Human Rights Law is, on one hand, the inherent and fundamental right of all people. It guarantees rights and freedoms while ensuring every person can fully evolve in the society as well as protect himself/herself against every kind of abuse. These rights are linked to national laws and to the constitutions of States. The Human Rights Law also adheres to the international law of human rights (protection of human rights), which are the rules that States have agreed to observe with regards to rights and freedoms of individuals. International Humanitarian Law, on the other hand, is applicable in inter- or intrastate armed conflicts and provides: (i) the standards for protection of conflict victims (Law of Geneva); and (ii) rules related to means and methods of combat and conduct of hostilities (Law of The Hague). These two sets of laws have been merged in the two Protocols additional to the Geneva Convention, adopted in 1977 and sometimes known as the Law of War. Thus, it can be stated that the Human Rights Law is more applicable in times of peace and stability,

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 63

while International Humanitarian Law aims at safeguarding the fundamental rights of noncombatants and victims of armed conflicts. The Office of the United Nations High Commissioner for Human Rights (OHCHR) and the International Committee of the Red Cross (ICRC) are the two principal organizations responsible for the extent at which the HR and IHL are applicable, as well as which mechanisms can be used for the implementation of these two interconnected sets of law. In emergency operations the two organizations work in partnership with various civilian and military components. 4.5 Human Rights (HR) and Principles for Protection of Human Rights All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.
UNIVERSAL DECLARATION OF HUMAN RIGHTS (Art. 1), Adopted by General Assembly Resolution 217 A (III) of 10 December 1948.

Human rights are the only universal and overriding instruments that set out our rights as global citizens and individuals. The instruments consist of civilian and political rights, as well as economic, social and cultural rights, which are all based on respect, dignity and the worth of each individual. They are all interdependent, indivisible, and equally important. (www.unhcr.org) Establishment There is a renewed consciousness of the rights of every human being to decide and control his/her own destiny. Human Rights have become the universal principle that may even overrule strictly traditional notions of national sovereignty, particularly when the sovereignty no longer does justice to the aspirations of peoples in attaining their fundamental freedoms. The League of Nations, the predecessor to the UN, acknowledged human rights. When the Charter of the United Nations was drafted and ratified, it reaffirmed the Founders faith in human rights, and in 1946, the Commission on Human Rights was established under Economic and Social Council Resolution 9. Since then, a great number of various declarations, conventions and protocols have been adopted, which have progressively increased during the elapsed years. The development indicates the rising awareness of Human Rights as one of the most fundamental principles envisaged in the Charter of the United Nations. Today, the Human Rights instruments have a global impact not only on the individual human being, but also on a foundation of international peace and security and promotion of development. Instruments The Universal Declaration of Human Rights of 1948 sets out a list of basic rights a "common standard of achievement" for everyone in the world, whatever their race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status. Two instruments, both adopted in 1968, later followed the Declaration: The International Covenant on Economic, Social and Cultural Rights; and the International Covenant on Civil and Political Rights with corresponding Optional Protocol. The three together constitute what is called the International Bill of Human Rights. The last convent also provided the establishment of the Human Rights Committee. The close link to International Humanitarian Law was further underscored in 1977 by the Diplomatic Conference on the Reaffirmation and Development of International Humanitarian Law

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 64

applicable in Armed Conflicts, which adopted the Protocol additional to the Geneva Conventions of August 12, 1949, and relating to the Protection of Victims of NonInternational Armed Conflicts (Protocol II). For further information about all the various chronological events of human rights issues, visit www.unhcr.ch/chrono.htm. One of the most important events in the development of Human Rights was the World Conference on Human Rights in Vienna in 1993, at which the States were recommended to draw up an action plan in order to identify steps where the States would improve the promotion and protection of human rights the Vienna Declaration and Programme of Action. The comprehensiveness and complexity of human rights raised the demand for a mechanism empowered to promote and monitor human rights globally and independently. The Office of the United Nations High Commissioner for Human Rights (OHCHR) was created, which currently is the principal organization of human rights. The mandate of OHCHR is derived from the Charter (Art. 1, 13 and 15) and General Assembly resolution of December 1993. Functions Today, OHCHR channels its work concerning promotion and protection of HR through three branches, which are responsible for: (i) research and strategy development; (ii) technical assistance to countries; and (iii) support to the United Nations human rights bodies. Through the Technical Cooperation Programme, OHCHR assists States in building and strengthening national structures for the overall observance of human rights and maintenance of the rule of law. This is done through various approaches. At the institutional level there are treatymonitoring bodies which monitor implementation of the principal (six) treaties. At request, States may also be given assistance in the training (training courses) of armed forces, police forces, or the legal profession, as well as advisory service for the incorporation of international human rights norms and standards into the national legislation. Promotion and protection of HR can also be done through special rapporteurs or through the establishment of a long-term presence, along with a field presence, which may include monitoring components. But the most fundamental right is that anyone may bring a human rights problem to the attention of the United Nations, which is done by thousands of people every year. The reporting mechanisms are an essential part of the monitoring system. A report on a human rights violation must describe the facts, the purpose of the report, and the human rights that have been violated. Abusive language or insulting remarks about the concerned State is not tolerated, and the inclusion of any such language may cause the report to not be considered. Violations can be communicated from individuals or groups who claim to be victims of violations or from any person or group of people that have direct, reliable knowledge of violations. When non-governmental organizations (NGOs) present communications on violations, the conditions are that the NGO is acting in good faith in accordance with recognized principles of human rights, and that it has direct, reliable evidence of the situation it is describing. (OHCHR Fact Sheet 7, communication procedures) Human Rights and Development UNDP, as the major organization responsible for development, has put human rights into the context of development, thus recognizing the needs for a more explicit human rights link to the developmental concept. Human rights and sustainable human development are interdependent and mutually reinforcing. Development is unsustainable where the rule of law and equity do not

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 65

exist; where ethnic, religious or sexual discrimination are rampant; where there are restrictions on free speech, free association and the media; or where large numbers of people live in abject and degrading poverty. Similarly, human rights are enhanced when gender equity or poverty reduction programmes empower people to become aware of and claim their rights. (UNDP 1998) The UNDP statement further reinforces that human rights are the most universal documents to which the international community adheres. Even if the Commission of Human Rights was established under the ECOSOC and, thus, from the beginning more of an economic and social concern, further development has clearly indicated the importance of the human rights issue. Human Rights and Peace Operations OHCHRs support of human rights bodies has recently been expanded to include the whole United Nations system. In peacekeeping, within its area of responsibility, the Organization provides assistance in terms of human rights information, advisory service, legislative analysis and training. Recognizing the respect for human rights as a fundamental mechanism in promoting peace and security, the OHCHR and the United Nations Department of Peacekeeping Operations (DPKO) have a close cooperation. The establishment of an interdepartmental team that works on issues like planning, establishment, and institutional arrangements for human rights components of peacekeeping operations, as well as the training of staff personnel, increases the combined effectiveness of United Nations peacekeeping and human rights activities. The involvement in both development and peacekeeping provides a natural linkage to and the implementation of human rights. Several hundreds of military and civilian professionals have provided necessary information and knowledge to vulnerable populations and, thus, participated in establishing an understanding and respect for the rights of each individual and society.

Figure 3: A child's opinion.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 66

4.6 Principles and Applications of International Humanitarian Law (IHL) As previously stated, IHL is based on the Law of Geneva, more commonly known as the Geneva Conventions of 1949, and the Law of The Hague. The two sets of laws respectively deal with the (i) protections of persons who are not participating in the conflict (non-combatants) and (ii) limitation of methods and means of warfare. (See www.icrc.org) Law of Geneva (Geneva Conventions of 1949) The document is the principal instrument for the protection and aid to all victims of war and evolves around the four Geneva Conventions of 1949. They are: - First Convention, which protects the wounded and sick in armed forces in the field; - Second Convention, which protects the wounded, sick, and shipwrecked among armed forces at sea; - Third Convention, which protects prisoners of war; - Fourth Convention, which protects civilians. Each Convention of the Geneva Conventions is headed under three provisions: (i) the General Provisions that deal with the respect for the convention and their application in international conflict, followed by a number of articles with provisions about the duration of application, special agreement which Contracting Parties may conclude, the right of protected persons, duties of Protecting Powers, activities of the ICRC and the conciliation procedure between Contracting Parties; (ii) Repression of Breaches of the Conventions; and (iii) the Final Provisions which defines the procedures for the signature, ratification. Law of The Hague This body of law is based on two fundamental principles, namely, those of military necessity and those of humanity, which together mean that only those actions necessary for defeat of the opposing side are allowed, whereas those which uselessly cause suffering or loses are forbidden. Thus, the purpose of the law is to regulate the choice of the targets and the use of weapons. As such, the law regulates the conduct of hostilities on land, sea, and air and also sets the rules respecting the rights and duties of neutral powers as well as regulations on the use of specific weapons and ammunition. Of special interest is that the law binds individuals as well as states. Members of armed forces who are found guilty of committing or authorizing unlawful acts may be tried by legal bodies of their own state or, due to certain circumstances, by equivalent bodies of other states. The establishment of the two War Crimes Tribunals in former Yugoslavia and Rwanda are examples of this. Summary of the Provisions of International Humanitarian Law At present the two sets of laws (the Law of Geneva and the Law of The Hague) have been merged into two Protocols additional to the Geneva Conventions and adopted in 1977, whereby Protocol I strengthens the protection of victims of international armed conflicts, and Protocol II strengthens the protection of victims of non-international (internal) conflicts. The following seven points are a summary of the provisions of International Humanitarian Law. However, it must be clearly stated that the seven points do not have the force of an international legal instrument and is in no way intended to replace the treaties in force. It is designed to facilitate dissemination of international humanitarian law. (Understanding Humanitarian Law, International Committee of the Red Cross, Sept. 1983)

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 67

1. Persons hors de combat and those who do not take a direct part in hostilities are entitled to the respect of their lives and their moral and physical integrity. They shall, in all circumstances, be protected and treated in a humane way, without any adverse distinction. 2. It is forbidden to kill or injure an enemy who surrenders or who is hors de combat. 3. The wounded and sick shall be collected and cared for by the party to the conflict and who has them in its power. Protection also covers medical personnel, establishments, transports and equipment. The emblem of the Red Cross or the Red Crescent is the sign of such protection and must be respected. 4. Captured combatants and civilians under the authority of an adverse party are entitled to the respect for their lives, dignity, personal rights, and convictions. They shall be protected against all acts of violence and reprisals. They shall have the right to correspond with their families and to receive relief. 5. Everyone shall be entitled to benefit from fundamental judicial guarantees. No one shall be held responsible for an act he/she has not committed. No one shall be subjected to physical or mental torture, corporal punishment, or cruel and degrading treatment. 6. Parties to a conflict and members of their armed forces do not have an unlimited choice of methods and means of warfare. It is prohibited to employ weapons or methods of warfare of a nature to cause unnecessary losses or excessive suffering. 7. Parties to a conflict shall at all times distinguish between the civilian population and combatants in order to spare the civilian population and property. Neither the civilian population nor civilian persons shall be the objects of attack. Attacks shall be directed solely against military objectives. Thus, it may be said that the IHL and its application to the field is the guiding instrument for those concerned in a conflict or in a post-conflict area where certain rules have to apply. Aid workers and others working in (former) war zones must understand the principles of IHL in order to observe and report breaches of these principles. However, it must be understood that although IHL applies to international human rights standards, including but not always limited to humanitarian law, it also applies to situations of armed conflicts.

Figure 4: Civilians fleeing the war between Sudan and Ethiopia. UNHCR photo, S. Lahusen 1995.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 68

Learning Questions Knowledge Why should development be regarded as a tool to maintain international peace and security? What is the purpose of reconciliation? How can people-centered activities further strengthen development? What are the objectives and purposes of the Law of Geneva? What is the purpose of the Law of The Hague? What are the objectives and purposes of Human Rights? What are the preconditions for an individual to report on any human rights violation? What are the principal instruments of the International Humanitarian Law? What are the two most fundamental principles in limiting military warfare?

Awareness What is the essence of the strategic concept for development? What is your opinion on the World Bank and its support to the developing countries? How can humanitarian imperatives contribute to a peace process? How would you describe the differences between national and human reconciliation? How would you describe the link between a relief operation and development? How would you describe the differences and similarities between Human Rights and Humanitarian Law? Under what circumstances are the two sets of laws applicable?

Applications 1. As a teacher for your hometown college, you and your second-year students are discussing the United Nations role in maintaining peace and security. One of the students asks you why so much money is spent on peacekeeping and similar operations and less on development. How will you answer? 2. Recognizing the interest among the students, you would like to know their awareness and understanding of Human Rights. You decide to give a multiple-choice test. List five essential questions you think are the most appropriate.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 69


1. The best key interfacing element between the development and maintenance of peace and security is conflict prevention through, for example, the development of social and economic justice. a. True b. False

2. How much of the United Nations budget is devoted to development? a. 60% b. 70% c. 40% d. 20%

3. The United Nations Development Programme: a. Is the main coordinator of development assistance; b. Formulates the policy concerning development; c. Is the principal body for the environmental activities; d. Addresses the issues of economic and social development.

4. The description instrument for coherent macro-economic policies designed to achieve the Charters economic and social goals applies to: a. The World Bank Group; b. The World Trade Organization; c. The International Bank for Reconstruction and Development; d. The International Monetary Fund.

5. Why are the humanitarian imperatives so essential in the transition from emergency to development? a. Because it must be considered as a part of the overriding strategy; b. It must concur with the political concept; c. It is a capstone in achieving sustainable peace and development; d. It is a bridge for continuing work with local communities.

6. Which statement is correct? a. The HR is the fundamental rights of all people; b. The IHL provides the standards for conflict victims; c. The IHL relates to the means and methods of combat and conduct of hostilities; d. All of the above.

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 70

7. The principal organization responsible for HR is: a. OHCHR; b. UNHCR; c. ICRC; d. International Court of Justice (ICJ).

8. The International Bill of Human Rights consists of the International Covenant on Economic, Social and Culture Rights and the International Convent on Civil and Political Right. a. True b. False

9. The World Conference on Human Rights in Vienna was held in: a. 1993 b. 1977 c. 1946 d. 1968

10. A human rights problem can be brought to the attention of the United Nations by: a. Special rapporteurs; b. Anyone; c. States; d. Representatives of the UNHCHR (UN High Commissioner for Human Rights).

11. The Geneva Convention and the Law of The Hague deal, respectively, with: (i) protection of person who are participating in armed conflicts; and (ii) limitations of methods and means of warfare. a. True b. False

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 71

LESSON 4 ANSWER KEY 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. a. b. a. d. b. d. a. b. a. b. b. True 70% Is the main coordinator of development assistance International Monetary fund It must concur with the political concept All of the above OHCHR False 1993 Anyone False

Lesson 4 / The Roles of the UN in the Fields of Development and Related Humanitarian Actions 72

This page intentionally left blank.


Learning Objectives Key questions Introduction 5.1 Social and Cultural Environment Working Environment Local Environment Gender Issues 5.2 Mission Environment and Types of Missions General Conditions Missions and Mission Headquarters Military and Civilian Entities
5.3 Civilian and Military Cooperation (CIMIC)

Background Functions

5.4 The Security and Safety Environment General Conditions Security Provided by Military Organizations Provisions by Other Entities Learning Questions Knowledge Awareness Applications End-of-Lesson Quiz

Lesson 5 / The Environments


LESSON 5 Learning Objectives The political and operational context of an operation is essential to have a clear understanding of the working environment. In an emergency, the knowledge of the culture and local customs, as well as an awareness about the security, are prerequisites if the Field Operators (FOs) are going to be successful in their performances. Apart from the tasks given to the FO, they also may encounter significant difficulties if they do not fully understand the prevailing conditions. Lesson 5 provides the student with some background information that is necessary in order to fully appreciate the Lessons concerning Demands and Duties and Safety and Security.

Key questions to be considered by the student when studying Lesson 5: Why it is so important to understand the environment where your work is going to be carried out? What are the most significant elements you have to consider in the locale? What are the major obstacles, in terms of environmental issues, you may face in a mission? What are the major functions of a CIMIC office? What kind of security can a military force provide?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 5 / The Environments


Introduction The environment in which the field operator is going to work is complex. In particular, it concerns the local environment, with its specific habits and cultures and the mission itself as a multicultural society with representation from a great number of countries. Last but not least, the security environment with its own obligations and demands, to which the FOs have to be both responsive and attainable. A solid educational background and professional experience are the fundamental elements in recruitment and selection of personnel. Apart from these criteria the social competence to cope and deal with human nature should also be of concern. Behavioural principles, such as socializing, forming friendships, understanding and accepting new habits, and adjusting to others cultures are as important as education and working experience, and they are prerequisites if the work is to be successful. To this respect, confidence and accountability are the key words. Consequently, prospective Field Operators should make every effort to prepare for the assignment by making use of official reports, information about the mission, public libraries, and conversations with others who have experience in the specific area. In addition, a positive attitude, an open mind, and a fair sense of humour are valuable assets in daily work.

5.1 Social and Cultural Environment Working Environment Assignments within the United Nations system offer a variety of tasks. It may be duties in either a small office, at the countryside, or in a large office building in the capital. Whatever condition exists, the tasks are challenging. To work with a development project is normally a positive experience but a challenge as well. Although there is a favourable attitude among the locals, the FO will frequently find resources scarce, particularly in developing countries. The manpower itself is seldom an issue. However, the lack of technical skill, technical means, and sometimes also the absence of sufficient project funding are scarce. Ineffective bureaucracy, miscommunication or just insufficient planning might be reasons for these inadequacies. Discrepancies or weak relationships between locals and local institutions may negatively influence the work. In societies affected by war or similar events, the challenges are far more complex and difficult than in normal development processes. Shortages of human resources, destroyed infrastructures (roads, communications etc.), insecure environments, and political and military volatility produce a level of complexity that is not easy to cope with. The loss of trust, dignity and confidence, combined with the destruction of relationships or loss of relatives, may create an individual or collective trauma that can also, under these circumstances, cause a potential danger. All this will indeed broaden the agenda of the field operators. Local Environment Cultural shock is the natural response when an individual is taken from his/her own national and ethnic environment and placed in another. This can often result in feelings of discomfort or disorientation. Some people deal with the problem more effectively than others, and those who have the benefit of previous assignments will overcome the event more quickly than first-timers. The local environment is per se a potential dilemma if it is not seriously considered. The language problem, with no means of communication except through

Lesson 5 / The Environments


interpretation, may create a sense of isolationism. The food, the climate, and poor living conditions may increase the feeling of unpleasantness, which will be further aggravated by the absence of loved ones. The mission environment and/or the local culture and habits are other factors that will affect the field operator. These characteristics are extremely important and may become problematic issues if field operators work alone, independently and sometimes without sufficient guidance. Equally important is a careful assessment of the health environment. The living quarters, type of accommodation, medical facilities, availability of food, and quality of water have to be included in the overall assessment of the environment. Inadequate housing may cause health problems, and if little or no attention is paid to these matters, the field operators may encounter problems that may jeopardize further work. Even if the living quarters are of undesirable quality, they can be fully acceptable if well maintained, cleaned, and always kept neat and tidy. Temporarily employed local cleaners should always be carefully instructed in order to keep up with the required standards. Food and water should always be protected from flies and other insects, and the whole building should be disinfected frequently. To buy food at the local market is a pleasure, particularly if the FO has a genuine interest in cooking. Vegetables, fresh meat and fish are sometimes exposed to bacteria, and a familiarity with the market and the quality of the various products is a must before a shopping excursion. Even if a local cook is employed, that does not guarantee the quality of the food. The ability to digest the various local dishes should not be used as a sporting measure of the field operators adjustment to local conditions. Water is another problem. While developed countries may consume 200 liters per person per day, this is far from what may be acceptable in areas with scare sources of water. Field operators need to be observant. An excessive use of water in areas with a very limited quantity will be regarded as an offensive act. Water in tropical areas should be assumed as polluted or infested in one way or another until the quality is guaranteed. The absence of purification facilities, even in good hotels, may result in infected swimming pools and tap water and, thus, should not be considered as potable water. Even ice cubes should be regarded with suspicion. The use of bottled water, bottled soft drinks and, in the field, Figure 1: ACIF tubwell in Mynmar. A. Hollman, January 1997. boiled water is recommended. In this respect, personal hygiene should not be forgotten. A hot climate does not normally cause severe problems, but in combination with a high level of humidity, if one does not take care of their personal hygiene, they can expect to have a very unpleasant experience. Under these circumstances it is important for the FO to keep their personal hygiene on a high standard but also to advise others (mission personnel) who may be less attentive to a tidy appearance.

Lesson 5 / The Environments


The health environment includes the availability and quality of medical facilities. Infected syringes, needles, and/or other medical equipment may cause severe diseases, including deadly HIV infections. The FO must carefully assess the situation. In a wellestablished mission, this is not a matter of major concern, since the mission has probably established safe and reliable support from a local hospital or through its own medical unit. However, FOs deployed far from these facilities must ensure that they may receive medical treatment when and if necessary. Gender Issues Gender issues should be well respected in its cultural context. Social rules governing the relations between men and women often have different norms from one culture to the next, so what may be interpreted as innocent behaviour in one cultural context may be taken as an offence against the accepted norms in another. Personnel must never engage in or threaten to commit any act that could result in physical, sexual or psychological harm or suffering of women or children. Such acts include rape, sexual abuse, sexual harassment, intimidation, trafficking, and forced prostitution. Even if sexual conduct may be accepted at home, it may not be accepted in the mission or the mission area due to cultural differences. Neither field personnel nor the local population are to be viewed as objects to be trifled with. Therefore, personnel should not be involved in any sexual behaviour or relationships that may lessen the credibility of or bring reproach to the employing organization (e.g., the United Nations). They should not jeopardize the effectiveness of the organization, operation, or the work. The field operators personal behaviour, appearance and professional performance are the tools necessary to bring the project to a successful end. However, gender issues are much more than abuses, harassment, or trafficking. Gender in the political context includes the advancement of women, the recognition of the differences between men and women (as well as their different needs), womens self-reliance, and the promotion of social and economic equality. Briefly, women (as well as men) have to be fully recognized in their respective roles. In all United Nations programmes and activities gender issues are fully integrated, and the gender perspectives are a key element in most development aid activities. Gender Mainstreaming is nowadays a globally accepted strategy for promoting gender equality. The Security Council Resolution from 2000 (1325) further emphasizes the gender perspectives in peace support operations, as well as in all stages of a peace process.
Figure 2: Unification.

Lesson 5 / The Environments


5.2 Mission Environment and Types of Missions General Conditions The political, humanitarian and socio-economic dimensions of an emergency have dramatically increased the demands for other types of missions, which are more civilian in character. The emergency itself, the initial lack of coordination, the intensive media-watch, and the potential donors requests for immediate access and information create uncontestable demands to understand and coop with the situation to make necessary decisions. This requires not only knowledge of the UN system but also a good understanding of military systems (if employed), as well as knowledge of the capacities and mandates of various collaborating international governmental and non-governmental aid organizations. The size of the mission is dependent on the mandate and may consist of thousands of personnel or just a few. Various nationalities with different educations and/or ethnic backgrounds create a diversified atmosphere, which initially is a challenge in and of itself. The cultural and educational distinctions involve not only national habits and customs but also differences in values. Different behaviours may cause a mandate to be interpreted differently, and even the assessment of the current situation may cause discrepancies. Initial priority should be paid to the process of formulating some coherence about the mandate/task and to find some commonalties in a code-of-conduct. The language barrier may also cause some concerns not only in terms of understanding but also in terms of the value and interpretation of certain words or phrases. In a non-military mission, it might be easier for a civilian field operator to adopt himself or herself into the existing culture. But in the military, the civilian field operator may find a kind of camaraderie, which can be difficult to penetrate. The military vocabulary, performance, and uniformed appearance may also present some initial obstacles. Civil and military organizations are aware of this militarism and have established an agenda for civilian/military cooperation (CIMIC), in order to improve the relationship. Missions and Mission Headquarters The mission headquarters and its composition reflect the mandate. Components responsible for the various tasks as authorized by the mandate are generally under the authority of the Head of Mission. Such a mission headquarters is normally deployed in an urban area and most often in the capital, enabling coordination and a liaison with national officials. Large missions with an impact on the region have liaison offices established in the neighbouring countries. Sub-headquarters, offices, and sub-offices are located at other places in the country or in the mission area. Mission headquarters have a blend of civilian and military personnel, particularly when the mandate is geared to a complex emergency situation. As with all bureaucratic organization, the field operator will find difficulties in finding appropriate offices and persons to discuss and ventilate problems. Occasionally, the field operator may encounter problems that have come to be called mission culture. In complex operations, the military force will have its own headquarters. Mission personnel (mostly military personnel) from a variety of countries provide a kaleidoscope of ideas and approaches that may sometimes be difficult to grasp. In a headquarters of considerable size, often consisting of hundreds of soldiers, this fact is more obvious and further highlighted by the very distinct military behaviour and appearance. Military headquarters are typically well-structured organizations based on a hierarchical system with strict rules and regulations. All personnel are disciplined and trained under similar conditions, and all ranks are dressed in uniforms. Officers and soldiers behave in a certain way; they normally have a smart appearance, and their performance is both decisive and demanding.

Lesson 5 / The Environments


Personnel have a loyalty to their unit, task, and country, and within all ranks a strong military comradeship exists. In some cases, it can be difficult to understand and penetrate this corpe desprit. A force is organized into headquarters, operational units, and supporting elements. Headquarters consist of various sections and units structured in a similar way all over the world. Although headquarters are well-structured and easily recognized, the civilian field operator may experience difficulties in finding his/her way around this labyrinth of strange abbreviations such as G2, G3, Ops., Log., etc. How are they organized? Who is who? Who is the key person? Where to knock at the door and which door? All these are fundamental questions to be answered if the FO wants to understand and later use the system. It is of great advantage to learn the system as soon as possible. It will be appreciated by the military, and it will indeed facilitate the FOs in their forthcoming collaboration with the force. In an emergency operation with a multi-dimensional composition, this is of great importance since vital support and protection may be provided by the military. Military and Civilian Entities In addition to the force level missions, there are observers or verification missions (mission level), sometimes combined and/or under the command of a force level mission. The missions have headquarters, a small staff, operational units consisting of small teams of two or three unarmed observers, and a supporting element. These types of missions employ uniformed military professionals and civilian reserve officers who have been assigned tasks such as supervising a cease-fire and/or an armistice agreement, verifying the withdrawal of troops, demobilization (monitoring border areas) and a number of other tasks. As for the mission headquarters, these observers or civilian police missions have a headquarters reflecting the mandate. Headquarters, sub-offices and other elements are rather small, have a friendly atmosphere, but do not have the same supporting capacity as the military forces headquarters. Although the military observer missions have been rather successful, demands for non-military involvement were raised. As a result, the beginning of the 90s witnessed contingents of several hundreds of civilian police officers. Their "unarmed" presence and non-military appearance made them more politically acceptable than military observers. Their tasks are comprised primarily of monitoring/counselling local police activities regarding basic security and law-and-order (e.g., criminal investigation, arrest/detention and crowd control). In the last few years, their duties have been further expanded to include training and assistance in the creation of reliable police forces in countries where law and order resources were not adequate. (See also Lesson 3) With the expansion of United Nations field operations other types of missions, special purpose missions, were established such as: general monitoring missions; geographical observers mission (e.g., UNHCOI monitoring food distribution in Iraq), weapon destruction verifiers (UNSCOM later UNMOVIC in Iraq); election monitors; election observers; and EC monitors. In general, those missions only employ civilians, although some with a military background, whose functional titles, like supervisors, monitors and observers, indicate the level of responsibility. Such mission headquarters provide basic assistance in terms of administration, transportation, communication, and medical support and also provide some general information about their tasks. Other missions may lack a stringent structure and, thus, exclude personnel from any administrative or guiding support. Development projects are frequently sited far away, and personnel may be forced to rely on their own competence and innovations.

Lesson 5 / The Environments


Figure 3: Food distribution.

These projects may be managed by a UN agency, such as the UNDP or some other UN-related organization. However, they may also be autonomous under the chapeau of an international, national or non-governmental organization. Not seldom, several organizations are deployed at the same site. Frequent meetings are crucial and beneficial to make necessary coordinations or just to exchange information. This, together with socializing, creates a good working atmosphere and may ease the feeling of isolation. Likewise, it is important to involve the local actors, not only as professionals, but also as human beings. As for the mission headquarters, it is an advantage to understand and know who the key persons are and how they can be contacted.

5.3 Civilian and Military Cooperation (CIMIC) Background There are different interpretations of the terms disaster relief operation, humanitarian actions, and humanitarian assistance operations. In general, disaster relief operations aim at easing the living conditions for populations severely affected by a natural disaster, while humanitarian actions or humanitarian assistance are mandated due to man-made disasters caused by political and/or social or economic conflicts. If the distinction is accepted, it might be stated that relief operations are carried out under circumstances when the political and security environment is relatively stable, and the delivery of the necessary commodities such as food, water, shelter and medical supplies are primarily logistics operations. When it comes to humanitarian emergencies caused by volatile conflicts, the circumstances and the security environment are significantly different. The conditions are characterized by political

Lesson 5 / The Environments


instability, civil unrest, a non-secure environment, and perhaps violence. Consequently, these humanitarian actions or assistance operations must address both human suffering and the rights of civilians under international law to be protected from discrimination, violence, and other serious violations of human rights. Humanitarian action operations require both civilian and military elements. The civilians bring in necessary supplies through various non-governmental organizations and United Nations aid agencies, while the military elements assume the responsibility for transport, protection, and security. In the past, these circumstances have created a contrasting relationship between military and civilian humanitarian actors. The military traditionally has not wanted to be hampered with civilian tasks, and the civilians have not wanted Figure 4: CIMIC: A UNHCR worker from Rwanda and a UN involvement with the Peacekeeper from Ethiopia assist refugees from military because it might Zaire and Rwanda. H. Davies, August 1994. jeopardize their impartiality. In such cases, military and civilian personnel become involved on a level of rivalry including differing views over mandates and overall coordination. Using their initiative and organizational capacity, the military tends to seize the opportunity and take advantage of unforeseen circumstances without considering either the political consequences or the humanitarian imperatives. The civilians, uneasy about military ethics and culture, do not have the same homogenous structure as the military and have less success at rapid mobilization. Differences in attitude and approach to the conflict are also contrasting issues. Functions Because of these different views, it became necessary to find a mechanism that would improve interaction between civilians and the military. Today, there are a large number of activities that explain the background in political and strategic issues pertinent to effective humanitarian operations. They are all headed under the title Civilian and Military Cooperation (CIMIC). Through joint training courses, seminars, and workshops, civil and military participants become familiar with the nature of these operations, the different obligations and demands of the various actors, as well as the differences and similarities in mandates and terms of references. A number of governmental/non-governmental organizations and institutions run training courses where the CIMIC concept is the key issue. The establishment of a common code-of-conduct of civil/military relations will further enhance future cooperation. The generic establishment of a CIMIC office in the field mission headquarters is another important innovation.

Lesson 5 / The Environments


The office serves as the primary interface between the military and the humanitarian components and facilitates the coordination and cooperation among all the humanitarian actors. The office ensures that the civilmilitary operations activities are coordinated and linked to the operations overall objectives. It brings together military and civilian efforts, avoids duplications, and serves as a clearinghouse for all the intricate problems that can arise when dealing with humanitarian problems in a multi-dimensional operation a venue for sharing information concerning military issues and on-going humanitarian Figure 5: Civilian and military cooperation preparing for mass. programmes.

5.4 The Security and Safety Environment General Conditions Most emergency operations take place in areas affected by natural or man-made catastrophes. Even if the disaster itself, by its magnitude and nature, severely affects the living conditions of the local population, the catastrophe also causes the interruption of safe conditions. In emergencies caused by civil unrest or war, the inability of national (local) authorities to ensure security creates additional dangerous situations that may threaten the lives of United Nations personnel and others. Field workers operate in malign and explosive environments where exposure to ambushes, landmines, and the exchange of fire between warring parties are not uncommon events. The conditions may be further aggravated when relief workers (and others) have to work in isolated areas, far from normal infrastructure and sometimes under unbearable conditions. Basic medical facilities and means of transport are not always accessible, and knowledge about current security conditions is often hard to attain. The record of such situations indicates that life-threatening situations, sometimes fatal, have occurred with an alarming frequency in recent years.

Figure 6: War zone in Croatia.

Lesson 5 / The Environments


The United Nations has made substantial efforts to enhance the security for its field personnel. The establishment of the Office of United Nations Security Coordinator (UNSECCORD) was an urgently needed improvement. Through a security network, UNSECCORD closely monitors the prevailing security conditions, assesses the situation and actively coordinates the efforts to enhance the security. The effective provision of security depends on a wide range of factors. What is the level of threat? What kind of security is required? What is available? How can the security environment be enhanced? The United Nations, in combination with its agencies and NGOs, has utilized a number of instruments to provide security such as peacekeeping forces with protective mandates, military and civilian police of various types, local arrangements with warring parties, use of local police force, and various combinations. However, the complexity and comprehensiveness of most operations require that all humanitarian pursuits, when accepted by the parties concerned, are also part of confidence-building activities, which should, among other things, be considered as a means of enhancing the security environment. In the following sections, the most common organizational security structures are presented. It should be noted that most major organizations within the United Nations system have their own security organization with the ability to advise employed personnel on matters concerning security and safety. Security Provided by Military Organizations In addition to other peacekeeping activities, the military force is normally tasked to provide protection to UN field personnel. Such protection may include physical protection in case of life threats but also, in cooperation with the UNSECCORD, to coordinate other security activities such as advice, assessment, and evacuation of field personnel out of the mission area if needed. A military force is normally deployed all over the mission area. Through checkpoints, observation posts, patrols and an area-watch, the military will acquire very useful information about the prevailing situation. Through an excellent communication network, units and individuals are able to communicate and, thus, provide reports about changes or events of importance. Their transport capacity provides a high degree of mobility, and units and personnel can be transported from one place to another very rapidly. All units are armed and, in general, able to protect or rescue mission personnel when necessary. In highly volatile areas, transports can be escorted, and in case of hostilities, civilian field personnel may find themselves safer if accommodated in military camps. Supporting units include medical elements of various sizes and with medical facilities of high standards. Through organization and professional experience in the assessment of security conditions, the military is able to provide briefings about security and assist with movements or other activities in the mission area. In case of high levels of hostilities, the Head of Mission may decide to evacuate all personnel and initially all civilian personnel. If this occurs, the force is normally authorized to assume the full responsibility for the evacuation. Military Observer or Civilian Police Missions do not have the same capacity in terms of protection, transport or medical support. In terms of manpower, they are far behind a force, which affects the overall presence in a mission. On the other hand, they have superior knowledge about the general situation, and through local populations they know the security status. Since they are unarmed they are not able to provide physical protection, but through their professional education and training they are useful in the assessment of current situations and in advising on questions concerning safety and security. Their unarmed presence is generally not considered a threat to the conflicting parties and, thus, allows observers and

Lesson 5 / The Environments


civilian police to promote consent and positive cooperation not only between the United Nations and the conflicting parties, but also among the parties themselves. As a side effect, the security conditions have frequently been improved. Provisions by Other Entities Because the main purpose of security is to guarantee safe conditions for relief workers and others in carrying out their duties, other mechanisms have been utilized as well. In some cases, non-governmental organizations established liaisons and entered into security arrangements with the local warring factions. Accepted by the local parties, these forces have played a significant role, although not always with a positive result. Their main duties were to serve as bodyguards, escort convoys and personnel, and guard warehouses. They could be trusted as long as they were well paid. However, in volatile situations, such personnel may actually become a threat because of longstanding loyalties to their own factions. In some recent examples, the disadvantages have often prevailed over the advantages of utilizing local guards. Depending on the political situation, a better solution can be the use of local police entities belonging to a national police force. Depending on the situation, their loyalty always has to be considered. However, such arrangements may involve guarding UN storehouses and engaging in escort duties. The concept has in some missions proven to be useful. However, it requires an acceptance from other concerned relief organizations, and it should always be recognized and approved by the local security coordinator and/or by the United Nations (UNSECCORD). The use of private security organizations is a problematic issue in the international setting. Private security agencies have, on some rare occasions, been used for the physical protection of personnel involved in humanitarian assistance or development activities. As hired professionals with no stake in the project (or conflict) and with no political or social relations, their cooperation with local authorities will always be a weakness. In addition, the dividing line between hiring professional bodyguards and contracting security firms with considerable weapons capacity is rather thin; this is a risky business fraught with political danger for the international community in general and the United Nations in particular. Indeed, there are situations when special security attention is not necessary, such as when there are peaceful conditions, general stability, and an established national police force. But between violent and non-violent conditions, there is a gray zone that might be difficult to assess. In this zone, there may be situations in which the United Nations, agencies and nongovernmental organizations decide that special personnel for the provision of security are not needed. Although these conditions may exist, prudence suggests that danger lurks behind such a judgment. The situation may change or the assessment may turn out to be incorrect. Although there are and always will be operations or missions where the security conditions are acceptable, necessary assessments should be made by professionals with security knowledge and experience.

Lesson 5 / The Environments


Learning Questions Knowledge Why is it so important to understand and know the environment in which your work is going to be carried out? What does gender issues mean? What are the functions of the UNSECCORD? What do you consider as the most essential issues in assessing the health environment? What kind of security can be provided by military organizations? What is CIMIC?

Awareness What are the major issues to consider in what is called the Social and Cultural Environment? What are the differences between a mission headquarters and a force headquarters?

Applications At your college you become involved in discussions concerning sexual harassment and gender issues. One of the students, aware of your future assignment, asks you how this applies to the United Nations in general and to a peace (field) mission in particular. What is your answer?

Lesson 5 / The Environments



1. In societies affected by war, the environment most probably includes a(n): a. Ineffective bureaucracy; b. Lack of personnel resources; c. Lack of security; d. Both b. and c.

2. The living quarters, type of accommodation, and quality of water are all part of the: a. Mission environment; b. Health environment; c. Local environment; d. Force environment.

3. Gender issues are matters mostly concerning: a. The relations between men and women; b. Issues encompassing rape, sexual abuses, sexual harassment, intimidation, trafficking and forced prostitution; c. The advancement of women, womens self-reliance, and promotion of social and economic equality; d. All of the above.

4. A military force is structured in: a. Headquarters, sub-headquarters, offices and sub-offices; b. Headquarters, operational units and supporting elements; c. Staff units, operational units and supporting elements; d. All of the above.

5. Personnel assigned to tasks such as supervising a cease-fire and/or an armistice agreement are normally: a. Civilian Police; b. Civil Police; c. Military Observers; d. Civilian Personnel.

Lesson 5 / The Environments


6. What is the main purpose of a CIMIC office? a. To improve the interaction between the civilians and the military in an operation; b. To develop a code-of-conduct on civil-military relations in a humanitarian operation; c. To serve as the primary interface between the military and the humanitarian components, and to facilitate coordination and cooperation; d. To serve as a clearinghouse when dealing with humanitarian problems in a multi-dimensional operation.

7. If necessary, an evacuation of all civilians out of a peacekeeping mission area is normally executed by: a. UNSECCORD; b. The deployed peacekeeping force; c. The deployed peacekeeping force in coordination with UNSECCORD; d. Respective organization.

8. A military observer mission has a limited capacity to provide physical protection because: a. It is unarmed; b. It has a limitation in transport means; c. It has a lack of medical support; d. All of the above.

9. Local police belonging to national police forces may assist in: a. Providing security assessments; b. Providing security advice; c. Serving as bodyguards; d. Escort duties.

10. Who is responsible for the security matters in your mission (office/organization)? a. Your superior; b. The Head of the mission (office/organization); c. The local security coordinator; d. All of the above.

Lesson 5 / The Environments



1. 2. 3. 4. 5. 6.

d. b. d. b. c. c.

Both b. and c. Health environment All of the above Headquarters, operational units and supporting elements Military Observers To serve as the primary interface between the military and the humanitarian components, and to facilitate coordination and cooperation The deployed peacekeeping force All of the above Escort duties The local security coordinator

7. 8. 9. 10.

b. d. d. c.


Learning Objectives Key questions Introduction 6.1 Background 6.2 Obligations and Duties General Obligations General Duties and Demands 6.3 Cultural and Social Demands Behavioural Principles Code-of-Conduct 6.4 Personal Demands Expectations Fitness 6.5 Privileges and Immunities Learning Questions Knowledge Awareness Application End-of-Lesson Quiz Attached The Code-of-Conduct of the Blue Helmets

Lesson 6 / Principles, General Duties, and Responsibilities


LESSON 6 Learning Objectives The Lesson deals with some of the principles concerning the general duties and responsibilities, which should be kept in mind by civilians participating in any United Nations field missions. The Lesson should be seen as a logical follow-up to previous lessons. It is not the intention to provide a full description of what is expected of the professionals, experts, or volunteers working in the field, but rather a cohesive view of the forthcoming expectations. Detailed information about the actual mission is assumed to be provided through in-country briefing by appropriate organizations. This lesson will facilitate and establish an awareness of the general duties and demands and, thus, assist the newly arrived field operator in avoiding unexpected pitfalls and shortcomings during the first weeks of his/her assignment.

Key questions to be considered by the student when studying Lesson 6: What are the main objectives to keep in mind when working for the Untied Nations? What are the personal traits? What is expected from you as an affiliated of a United Nations organization? How would you describe the cultural and social demands? What are the differences between obligations and personal demands? What kind of personal requirements are expected of you? What is the rationale behind a code-of-conduct?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 6 / Principles, General Duties, and Responsibilities


Introduction UN field missions are composed of a variety of sub-units, which respond to specific tasks in specific areas. Typically, they are all multifaceted where politics, humanitarian intervention/assistance, and development are merged in a pattern not always easy to understand. In addition, there is the mixture of military personnel and civilians and where the civilian participation has considerably expanded in the last decade. The blend of civilians from various parts of the world, in combination with their multi-ethnic cultural background, is both a strength and a weakness. On the one hand, it is a political strength because it reflects the international communitys determination to manage and solve a problem. On the other hand, it is an operational weakness because of the civilians sometimes inadequate preparations that initially hamper an efficient implementation of a programme or an operation. Although the weakness is temporary, it is essential that this period be as short as possible. A good knowledge of the field operators forthcoming general duties and responsibilities is, therefore, a prerequisite prior to a future field assignment. 6.1 Background The history of humanity shows that individuals, societies, and nations have always assisted and helped each other in times of need and this tendency only increases during wars, catastrophes, and similar events. Thus, it has always been in the nature of the human being to bring help and support when so needed. The unbearable conditions during the Crimean War promoted the creation of the International Red Cross. The modern warfare during the 20th century spawned other similar organizations with a similar purpose to bring help to suffering populations. The end of the colonial system revealed other problems caused by the colonial legacy. The creation of new nation states became a slow process. The expected positive economic and social development sometimes turned into a negative trend, and dependency on international assistance sometimes became an unwanted result for many new nations. This, together with some severe droughts and subsequent famines, fostered the dramatic evolution of the nongovernmental organizations. All this affected United Nations as well and the Organization became more involved in the development of these new nations, but it also assumed more responsibilities for populations suffering from natural or man-made disasters. The end of the Cold War era increased the participation of the international community. The establishment of the peacekeeping instrument brought another dimension to the work carried out by civilians. The military Figure 1: A UNV assisting at a road environment and its culture differed construction site. from the civilian atmosphere and the civilian field operators were challenged by the military structure and its approach. The expansion of peacekeeping tools witnessed a multiplication of the operational demands that

Lesson 6 / Principles, General Duties, and Responsibilities


could not be met by the military alone; subsequently, civilian personnel were extensively recruited. The demands upon the United Nations work and its challenges in the field fostered a widespread sense of voluntarism. In 1970, the General Assembly created the United Nations Volunteers (UNV) programme to serve as an operational partner in development cooperation at the request of United Nations Member States. Since then, the UNV has become the United Nations major supplier of middle- and upper-level specialists. Today, tens of thousands of civilian and military professionals, experts, volunteers, and others work all over the globe under the chapeau of the United Nations. They come from different cultures and with different educational background but all with the same aim and purpose to meet the priority needs of all people that can be sustained over future generations. They have to serve at the best of their ability while adhering to some basic professional principles that include obligations and duties. 6.2 Obligations and Duties General Obligations While serving on a mission, a Field Operator will be responsible to the Head of Mission and, therefore, he/she should not seek or accept orders or instructions from any other authority. In order to maintain objectivity and efficiency in their performances, the field operator should keep in mind the best interests of the United Nations, the government, or the NGO they are serving. The field operator should have the ability to make the distinction between idealistic and realistic attitude and approaches to problems and be able to determine the best actual achievable, rather than desirable, course of action. The field operators are almost always part of a team and have to cooperate fully and assist in carrying out all operational activities. They have to not only demonstrate their commitment, dedication, and high motivation, but also to share the best of their professionalism and experience. It is also assumed that the operators have the ability to analyze a problem and inform the superiors or counterparts about the findings in a clear and factual manner. FOs must also be prepared to accept organizational and representative tasks in the performance of their duties. Duties will be carried out in an environment foreign to that of their home nation, usually encumbered by difficult living conditions, high stress situations, and foreign languages. As representatives of the United Nations, operators must ensure that they are capable of accomplishing the tasks required and that the performance will favourably reflect upon the United Nations and/or employing organization. That requires an FO who is physically fit, of sound character, mature in attitude and outlook, and possesses the appropriate professional and technical qualifications for the mission/work. In addition, it is expected that the FOs have a genuine interest and commitment to supporting the efforts of others in areas where requests are received. The FOs, as well as others working in an international environment, should display the following personality traits: Good judgement and accountability, supported by a common-sense approach; An objective approach to problem solving; The ability to discuss difficult situations without offending; A polite demeanour, combined with a firm, but flexible and honest approach; Considerable self-discipline and patience;

Lesson 6 / Principles, General Duties, and Responsibilities


A friendly, open approach and a ready sense of humour; An ability to influence others, engendered in imaginativeness and persuasiveness; Credibility as a leader; Mindful of the interests of the employing organization (United Nations); Comfortable in both working and social environments; Capable of understanding the organization and functional arrangements of the mission; Acts in the interest of other people or community he/she has to assist.

In a UN field mission, the FO must bear in mind that the job is one of numerous parts, even if they sometimes seem totally unrelated. An awareness that Non-Government Organizations, other United Nations civilians, and/or military components and humanitarian agencies have been working in the mission area long before the FO arrived, and accordingly have established long-standing contacts and liaisons, can be very useful to the newly-arrived FOs. Equally, the FOs are later expected to demonstrate their professionalism and experiences in helping and assisting new, incoming personnel. General Duties and Demands Depending on the level of seniority and professional experiences, the FOs may work at central positions or in the field but still addressing all the areas compounded in emergencies or development. In central positions, FOs must be prepared to carry out investigations and analyses, as well as to make recommendations from a more political/strategic level. They must be able to communicate not only using technical means, but also to formulate and clearly express their view of a certain issue in a clear, concise, and convincing language. They adapt themselves to the organizational environment and accept rules and procedures that are the practices of prevailing staff or departmental conditions, always keeping in mind the interest of the United Nations. As the head of an entity, the FO will need to provide leadership where the interest of employed personnel, the task, and available resources have to be managed as effectively as possible. Representation is another part of expected duties and should not be neglected since it, if well maintained, provides a favourable image of the mission. In the field, the FO will encounter the same demands although the tasks will become more challenging due to other living conditions and scarce administrative resources. In the areas of his/her professional capacities the FOs should be prepared to: Support, collaborate, encourage and motivate; Maintain an impartiality and objectivity; Establish and support partnerships and links between and among entities/communities; Work in a team, i.e. share and interact with others and build on the ideas of others when appropriate; Network and collaborate with other partners and counterparts; Adapt to different social, cultural and political circumstances; Figure 2: Hospital Work in the South Pacific. Promote gender equality.

Lesson 6 / Principles, General Duties, and Responsibilities


All FOs are recruited and selected on the basis of their experience and professionalism relevant to the assigned work. In spite of the fact that they have different professional backgrounds, cultures, social and educational experiences, they must all possess psychological stability and flexibility in order to withstand unexpected challenges. An innate level of mental stability, strengthened through training/preparation must be part of the FOs credentials. However, mental stability relies on factors that training alone cannot provide, no matter how extensive it may be. The existence of a family or loved ones, a healthy social life, a sound economy, and an absence of personal dilemmas are conditions that contribute to a good Field Operator. They are all factors that provide a psychological resiliency and firmness, which are indispensable when difficult conditions prevail.

6.3 Cultural and Social Demands Behavioural Principles Appearance and performance should reflect what is expected of United Nations personnel. FOs must display tolerance towards other cultures, some of which may differ in personal attributes and habits from their own. Appreciation of local customs and behavioural patterns is essential as well as to recognize the locals tasks and positions. Personal disapproval, disagreement, disappointment, anxiety, or irritation should be minimized so that such feelings do not prevent the FO from maintaining friendly and cooperative relationships with the people with whom they are working. On the other hand, the FO must understand the personal perception of respect that is important in many cultures. As mentioned in Lesson 5, many societies have strict rules concerning relationships between men and women, but there are also rules on how to pay attention to spiritual leaders, religious artifacts and places of worship. FOs working out of their home country must be aware that although their personal behaviour may be considered as normal in their own society, some of these habits may cause offence in other societies. For example, collecting souvenirs of religious artifacts is considered both sacrilegious and a criminal offence, and a seemingly simple gesture, such as patting a small child on the head, is considered highly offensive in some cultures. Most local elders will be happy to discuss their faith, customs and habits with interested foreigners as long as the approach is made in a respectful manner, and does not compromise the elders position in his society. Therefore, prospective FOs should make every effort to prepare for the assignment by making use of public documentation, written reports and conversations with others who previously served in the area. This will ensure that no one will accidentally cause offence. Thousands of people are deployed in various missions around the world. In each mission, small or large, the credibility depends not only on the ability to carry out the United Nations mandate, but also on the quality of behaviour demonstrated by each individual. Both the population of the hosting organization or country, as well as the international community, closely observes the conduct of the United Nations personnel, particularly in highly visible and problematic missions. Consequently, it is important that each person serving under the United Nations demonstrates extraordinary discretion, restraint, and sensitivity towards other cultures, so that their behaviour does not have a chance of reflecting a poor image of the Organization as a whole.

Lesson 6 / Principles, General Duties, and Responsibilities


Understanding the requirements, the expected performances, and appearances are crucial if the FO is to be successful in his/her duties. Not surprisingly, it is required that an FO should have good manners of which flexibility, sensitivity, and patience are the key issues. Additionally, the FOs must comprehend the overall guiding principles of a UN organization, such as impartiality, loyalty, integrity, and independence. These key words may be interpreted differently but, in general, the following applies: Impartiality is the foundation for the United Nations. Therefore, an FO should not favour any party over the other, but act as a bridge when disputes occur. Feelings and private opinions must be subordinated in order to achieve peace. Loyalty means that the FO must be loyal not only to the United Nations and its goals and principles, but also to the work and supervisors. Trust and confidence are critical issues in tense or difficult situations. Integrity is the foundation for credibility and authority. The FO must always avoid activities, which may reflect poorly on the FOs position or the United Nations, and, therefore, he/she must expect and accept special public and private constraints. Independence means, among other things, that the FO must refrain from all political activities and not seek or accept instruction from anyone outside the United Nations.

Besides following these guidelines, the FOs have to bring their own professionalism and experience. They need to accept the overall principles when working in the UN system, but they should always ensure that their own ideas are in accordance with the local people and, thus, share the ideas and opportunities with their counterparts. Code-of-Conduct The experiences have obliged most organizations to issue some sort of a code-ofconduct. The standard of a behavioural code is a sensitive topic, which is often emotionally charged since it tries to impose a certain behaviour on individuals with different educational and ethnic backgrounds. However, some type of standards of conduct is necessary with a view to conforming individuals to the specific requirements of the mission. Every peacekeeping operation has a code-of-conduct, which is adjusted sometimes to local demands or other special circumstances. The rules express in an explicit language what is expected by the military peacekeepers and, to a certain extent, they serve as guide to those civilians who would like to know what is and what is not acceptable. Compliance to the formal rules and regulations of the organization to which the FO belongs to is an additional demand. Failure to comply with these guidelines will result in consequences that may jeopardize the work of the mission and may also erode confidence and trust in the FO and/or in the United Nation itself. The rules can be found at the end of Lesson 6.

6.4 Personal Demands This lesson and the information provided by the organizations in the field are assumed to describe the duties and responsibilities in the field. However, some information is neither to be found in Lesson 6 nor provided in the in-country briefings. Irrespectively, the FO has the responsibility to obtain all additional information, not only about the working requirements,

Lesson 6 / Principles, General Duties, and Responsibilities


but also about what is expected by the FO as an individual and as a part of a team. Depending on the prevailing conditions, some issues may be more important than others. Expectations The overall guiding principle is the mandate. In a large mission the mandate may be a part of the UN resolution, but it can also be a part of a policy document issued by a government or non-governmental agency. Sometimes, particularly in small missions (a project with limited objectives), the mandate might be a project document. But even if it is just a project document, it falls under some overriding principles or policy decisions. The FO should acquaint himself or herself to the mandate and the expressed policies/principles by studying them and, thus, fully understanding and appreciating the overall goals of his/her forthcoming work. Even if all necessary information has been provided in terms of duties, expectations, and job descriptions, there will always be questions of personal or professional character. The FOs should never hesitate to ask any questions, regardless of if they think it is irrelevant. Questions and answers are essential parts of the human interaction and the means for sharing of ideas and opportunities. In asking his/her superiors or counterpart appropriate questions, both parties will obtain a clearer understanding and, thus, future misinterpretation will be avoided. The question of authority is another area of concern. What kind of decision can be taken, and on whose behalf? To overstep ones authority causes confusion, embarrassment, and may, if not properly handled, jeopardize the work itself. Therefore, the matter of authority is an issue to be discussed in connection with the job description and the areas of responsibilities.

Figure 3: Preparations before an election.

In the beginning of an assignment, it is a good idea to keep a low profile when discussing specific issues. Although the FO may have a profound knowledge in his/her professional area, it is better to listen, reflect, and make use of the information when the time is more appropriate. This does not mean that the FOs just have to sit there, accept what is being said, and not to respond to it. But it should be considered more of an exercise in recognizing that they, for the time being, have limited local experience that does not allow a correct assessment of the questions seen from the overall perspectives. It is better to bide ones time, reflect on what has been discussed, and respond later. Listen, learn, and wait is a common rule to all newly assigned personnel. Teamwork is crucially irrespective of where and how. FOs will work with a partner(s) from other countries (or counterparts from the local community) with other values and expectations. What are your expectations and what are the expectations of others? Knowing your partner(s) is the foundation for future cooperation. Being able to sit together and share information and ideas is an essential part of mutual trust and confidence. Likewise, it is beneficial to discuss how the work is to be carried out, what should be achieved, and how to

Lesson 6 / Principles, General Duties, and Responsibilities


find a joint solution. In dealing with local counterparts, their proposals and suggested solutions should be encouraged and supported as much as possible (if the ideas are achievable). All this sounds rather simple in theory but more difficult in practice. A positive chemistry between the working partners promotes ideas and opportunities, but when the chemistry does not exist, the situation becomes more problematic. Respect, understanding, appreciation, subordination, and listening combined with a good share of humour are useful tools in all working relationships. Teamwork is always a matter of give and take, and information-sharing and discussions are proved and workable tools.

Figure 4: Investigations at The State Prison.

Fitness As of the year 2002, more than 11,000 FOs out of a total number of 39,000 peacekeepers worked in emergency or similar operations where the working conditions were demanding and stressful. Consequently, physical fitness is an important requirement since the FO will perform duties in a foreign environment, sometimes encumbered by difficult living conditions, stress situations, or traumatic experiences. Considering the extraordinary circumstances of an emergency operation, it is understandable that good physical and mental fitness are almost a necessity in order to withstand the constraints and pressure that are a part of daily life. Thus, the FO is expected to be splendidly fit, no sickness, no allergies or other psychological or physical problems that may jeopardize his/her work, since any health problem may be difficult to cope with in areas with limited medical facilities. Of equal importance is the ability to confront intense or traumatic situations. Although it is beyond the scope of this course, in dealing with stress management it should be emphasized that knowledge in advance about the mission, such as living conditions, duration of the assignment, and nature of the mission, can reduce the factors that may contribute to emotional instability. A strong character, a well-rounded personality, and stable mental health are assets that are essential to a pleasurable experience in the field.

Lesson 6 / Principles, General Duties, and Responsibilities


6.5 Privileges and Immunities Depending on the given contract, FOs may enjoy the legal and international privileges and immunities defined in the Convention of Privileges and Immunities of the United Nations. These are defined under Article VI (Experts on Missions for the United Nations) of the Convention on Privileges and Immunities of the United Nations, which are usually adhered to by the governments in a mission area. Notwithstanding international acceptance of the philosophy of Article VI, FOs must comply with the actual country's laws and regulations. The Secretary General has the right and authority to waive the immunities and international privileges accorded to an FO in any case where, in his opinion, such immunities and privileges would impede the course of justice. In general, all personnel working under the United Nations umbrella are protected. However, there are differences when it comes to types of contract. While some personnel are entitled to an official Laissez-Passer, some others are not. In some cases, the employing organization issues an identity card, and in some cases, it will be issued from the United Nations Headquarters. In addition to the proper identification, all temporary employed personnel will be provided with some sort of terms of service normally contained in a Conditions-of-Service Agreement.

Lesson 6 / Principles, General Duties, and Responsibilities


Learning Questions Knowledge What is achieved by keeping in mind the best interests of the United Nations? What is the reason to keep a clear distinction between idealism and realism? What are the differences between obligations, duties, and responsibilities? What are the major differences between a UNV and an FO? What is the meaning of impartiality in reference to the FO work? What is the foundation for credibility and authority and why? What is the reason behind the demand that the FO must refrain from political activities? What is the rationale behind a code-of-conduct? In which document does an FO find his/her terms of service?

Awareness How would you explain the word integrity in reference to your assignment as an FO? How would you explain the rationale behind fitness? Lesson 6 deals, to a considerable extent, with the FOs duties, obligations, demands, and conduct. What do you think are the reasons behind this? What is expected of an FO in the areas of his/her professional capacity? What is your opinion concerning the FOs immunities? Application Some days prior to your departure, you are asked for an interview in the local radio station about your forthcoming service with the United Nations. Since the reporter knows you as an honest and always well-prepared college teacher, he would like you to answer some questions concerning the United Nations behavioural principles in the field. Easily done, you think, and make necessary preparations by using the Code-of-Conduct for the Blue Helmets. However, during the interview, which goes well, the reporter suddenly asks you why the United Nations has several and different codes-of-conduct, and why it is not possible to have one common code-of-conduct for all personnel working in the field. What is your answer?

Lesson 6 / Principles, General Duties, and Responsibilities



1. The blend of civilians from various parts of the world in a multi-dimensional operation is a strength because: a. It reflects the international communitys will to solve a problem; b. It provides necessary financial contributions; c. It provides necessary support to the military components; d. None of the above.

2. The General Assembly created the United Nations Volunteer Programme to: a. Promote youth participation in the United Nation development programme; b. Serve as an operational partner in development cooperation; c. Serve as the major supplier of middle and upper-level specialists; d. Provide technical assistance to skill-short governments.

3. In order to maintain their objectivity, the UN Field Operators (FO) should keep in mind the interest of: a. The United Nations; b. The government they are serving; c. The organization they are serving; d. All of the above.

4. Due to the wide range of tasks, the FO should display the following personal traits: a. Good judgement, accountability and a firm and persuasive performance; b. Good judgement and a documented ability to influence others; c. An open approach and a facility to fraternize with locals; d. An ability to influence others engendered in imaginativeness and persuasiveness.

5. In terms of general duties and demands, the FOs should be prepared: a. To adapt themselves to the local demands of the political environment; b. To adapt themselves to the organizational environment; c. To make recommendations only from the technical level; d. None of the above.

6. An FO must be prepared to accept representative tasks and responsibilities in the performance of their duties. a. True b. False

Lesson 6 / Principles, General Duties, and Responsibilities


7. An FO must adhere to the four overall guiding UN principles of impartiality, loyalty, integrity and independence at which loyalty stands for: a. Loyalty to the United Nations; b. Loyalty to the work; c. Loyalty to the supervisor; d. All of the above.

8. An FO should refrain from all political activities because: a. The FO may encounter difficulties in his/her personal performance; b. The FO may encounter difficulties in his/her professional performance; c. It may jeopardize his/her independence as a UN employee; d. Both a. and b.

9. A Code-of-Conduct is/are in general: a. A behavioural and commonly accepted code for all UN professionals; b. A code for civil servants; c. A code for United Nations peacekeepers; d. Guiding principles adhering to the general principles of culture as well as to the practices and behaviours as a member of a mission.

10. Physical fitness is necessary because of: a. Difficult living conditions; b. Constrains and pressure from daily life; c. The ability to confront intense and traumatic situations; d. All of the above.

Lesson 6 / Principles, General Duties, and Responsibilities


LESSON 6 ANSWER KEY 1. 2. 3. 4. a. b. d. d. It reflects the international communitys will to solve a problem Serve as an operational partner in development cooperation All of the above An ability to influence others engendered in imaginativeness and persuasiveness To adopt themselves to the organizational environment True All of the above It may jeopardize his/her independence as a UN employee Guiding principles adhering to the general principles of culture as well as to the practices and behaviours as a member of a mission All of the above

5. 6. 7. 8. 9.

b. a. d. c. d.



Lesson 6 / Principles, General Duties, and Responsibilities


Attachment to Lesson 6.3 The Code-of-Conduct of the Blue Helmets WE ARE UNITED NATIONS PEACEKEEPERS The United Nations Organization embodies the aspirations of all the people of the world for peace. In this context the United Nations Charter requires that all personnel must maintain the highest standards of integrity and conduct. We will comply with the Guidelines on International Humanitarian Law for Forces Undertaking United Nations Peacekeeping Operations and the applicable portions of the Universal Declaration of Human Rights as the fundamental basis of our standards. We, as peacekeepers, represent the United Nations and are present in the country to help it recover from the trauma of a conflict. As a result, we must consciously be prepared to accept special constraints in our public and private lives in order to do the work and to pursue the ideals of the United Nations Organization. We will be accorded certain privileges and immunities arranged through agreements negotiated between the United Nations and the host country solely for the purpose of discharging our peace-keeping duties. Expectations of the world community and the local population will be high and our actions, behaviour, and speech will be closely monitored. We will always: Conduct ourselves in a professional and disciplined manner, at all times; Dedicate ourselves to achieving the goals of the United Nations; Understand the mandate and mission and comply with their provisions; Respect the environment of the host country; Respect local customs and practices through awareness and respect for the culture, religion, traditions, and gender issues; Treat the inhabitants of the host country with respect, courtesy, and consideration; Act with impartiality, integrity, and tact; Support and aid the infirm, sick, and weak; Obey our United Nations superiors and respect the chain of command; Respect all other peace-keeping members of the mission regardless of status, rank, ethnic or national origin, race, gender, or creed; Support and encourage proper conduct among our fellow peace-keepers; Maintain proper dress and personal deportment at all times; Properly account for all money and property assigned to us as members of the mission; and Care for all United Nations equipment placed in our charge.

We will never: Bring discredit upon the United Nations, or our nations through improper personal conduct, failure to perform our duties or abuse of our positions as peace-keepers; Take any action that might jeopardize the mission; Abuse alcohol, use drugs, or traffic in drugs;

Lesson 6 / Principles, General Duties, and Responsibilities


Make unauthorized communications to external agencies, including unauthorized press statements; Improperly disclose or use information gained through our employment; Use unnecessary violence or threaten anyone in custody; Commit any act that could result in physical, sexual or psychological harm or suffering to members of the local population, especially women and children; Become involved in sexual liaisons which could affect our impartiality, or the well-being of others; Be abusive or uncivil to any member of the public; Willfully damage or misuse any United Nations property or equipment; Use a vehicle improperly or without authorization; Collect unauthorized souvenirs; Participate in any illegal activities, corrupt or improper practices; or Attempt to use our positions for personal advantage, to make false claims or accept benefits to which we are not entitled.

We realize that the consequences of failure to act within these guidelines may: Erode confidence and trust in the United Nations; Jeopardize the achievement of the mission; and Jeopardize our status and security as peacekeepers.
(Ref: United Nations Department of Peacekeeping Operations Training Unit, 1998)


Learning Objectives Key questions Introduction 7.1 The Principal Context Background Principles 7.2 Personal Safety Precautions Before Departure to the Mission As a Resident At Work 7.3 Travel General Rules Driving 7.4 Special Security Precautions Highjacking of a UN Vehicle Mine Awareness Snipers 7.5 First-Aid Accidents Weather Conditions Burns 7.6 Health Precautions General Rules Learning Questions Knowledge Awareness Applications End-of-Lesson Quiz

Lesson 7 / Safety and Security


LESSON 7 Learning Objectives Lesson 7 begins with the background and the principal context of what is commonly called Safety and Security, but the main part is about security precautions in the field. The lesson follows a logical pattern in dealing chronologically with the FOs preparation, travel to the mission area, arrival, precautions at home/office, and when in field. To some extent, it deals with first-aid and health precautions as well. Though this lesson offers some guidance, the responsibility of obtaining the necessary knowledge either prior to involvement in the mission area or in situ rests with the FO. The Lesson is based on the official booklet Security Awareness An Aide-Memoire, issued by the United Nations Security Coordination Office (UNSECCORD) in New York, the United Nations High Commissioner for Refugees, Geneva, as well as information provided in the UNITAR POCI course concerning United Nations Military Observer. Lesson 7 should be considered as a shortened and combined version of these first two ones, not a replacement of the official booklet issued to all UN personnel. Lesson 7 is written in order to provide security knowledge as early as possible and an understanding of the seriousness of the security.

Key questions to be considered by the student when studying Lesson 7: How many fatal accidents occurred during the period discussed? Why is driving one of the most dangerous activity in the field? What are the security precautions before departure? What are the precautions as a Resident (at home)? Under what circumstances are special security precautions needed? How do you prepare yourself to handle minor medical emergencies? Which UN office has overall security responsibility?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 7 / Safety and Security


Introduction Safety and security for United Nations personnel working in the field has become of a major concern. Hundreds of field workers (military and civilians) have lost their lives either due to hostile actions or through incidents of which car accidents were the main cause. Although the United Nations Security Coordinator (UNSECCORD) is responsible for policy and procedural matters, as well as to issue proper recommendations to ensure the safety and security in the field, the major responsibility lies upon each field operator. Consequently, acquaintance with the UN security plans should have the top priority as soon as the FO arrives to the mission. Negligence to comply or accept the security instructions/demands is not only a danger to the FO but may also impose a threat to the third party. A constant awareness of properly administrated precautions is an indispensable tool in order to ensure personal safety and security.

7.1 The Principal Context Background Complex political situations frequently cause civil unrest where violence and the use of arms create dangerous conditions for Field Operators. In recent years the situation has been further aggravated. In 1999, the Office of the United Nations Security Coordinator (UNSECCORD) recorded 292 violent security incidents against United Nations staff around the world, including violent robbery, physical assault, and rape. Detention and hostage-taking activities have reached new levels. Worst of all, between 1992 and 2002, 936 United Nations staff members sacrificed their lives in the service of peace. Total Fatalities for all UN Missions through May 1, 2003
Types Accident Hostile Act Illness Other

Total Number





Total: 1817

NOTE: Statistics based on available United Nations data covering the period 1948 through 2003. This data is still under review and may, therefore, contain omissions or errors. (Source DPKO, United Nation)

In order to cope with the situation, the General Assembly, in Resolution 54/192, requested the Secretary-General to take all the necessary measures to ensure that all United Nations personnel are informed about the relevant customs and traditions in the host country, the standards that the personnel are required to meet, and to receive adequate training in security, human rights, and humanitarian law. However, United Nations personnel includes not only military and police staff, but also the thousands of civilians who serve in peacekeeping, peacemaking, humanitarian, and development missions; and not only international staff, but also the locally recruited men and women without whom the United Nations simply could not fulfil the mandates given by the Member States. (Deputy United Nations Secretary-General Frechette, June 16, 2000)

Lesson 7 / Safety and Security


Principles Every FO should comply with the provided security and safety rules issued in the mission. However there are some principles guiding these rules: Adherence to the universal principle of impartiality.

Confidence building: A secure environment is dependent on confidence among the various actors in the mission area. Confidence-building measures are part of the physical protection of the field operator. Security consent: If possible and when convenient, the necessary security consent should be obtained from the national and local authorities. In an emergency area, consent includes acceptance of various aspects of UN activities, such as freedom of movement, use of communication means, employment of local staff, etc. Adherence to security measures in the mission area: The United Nations (UNSECCORD), in combination with UN agencies and NGOs, has made a number of recommendations including: improved training and information on safety and security; assessment of security conditions; local arrangements with warring parties; protection provided by peacekeeping forces; procedures for emergency evacuation; etc. The FO should adhere to established procedures and exercise common sense in case of an emergency.

Although these basic rules are commonly recognized and accepted, they are not always acknowledged particularly in an emergency area with a great number of governmental, nongovernmental, and other organizations. For various reasons, some organizations do not accept to be under the UN umbrella, which may cause a danger situation in times of emergency. Such situations may be further aggravated when entities have not announced their presence to the UN Security Coordinator in the field. Although done with the best of intentions, their unknown presence causes considerable problems and may jeopardize any ordered emergency evacuations.

7.2 Personal Safety Precautions FOs are to be cognizant of their responsibilities in respect to personal security. The nature of duties indicates a necessity for greater security awareness than would be the case in most FOs country of origin. There are many reasons why an individual FO could be the target of a violent action, crime, or even a simple robbery: nationality, the nature of duties, appearance, fancy luggage, gender (especially if a woman), colour, race, or simply if you happen to be, at that particular moment, the most suitable target. Therefore, the FO should always be aware and suspicious, calm, and always know what they are doing and where they are going. Be confident, but if you feel uncomfortable at a location, just leave. The following serves as guidance indicating chronologically the various precautions to be taken before departure in the mission area and what actions may be necessary when something unexpected occurs. Before Departure to the Mission Preparation before departure must never be overlooked. Timely and relevant information will enable FOs to better cope with actual issues involving their new assignment and particularly during the very first weeks. Meticulous preparation may save your life.

Lesson 7 / Safety and Security


Preparation should also include your family and loved ones. By informing family members of what can be expected (duties, living conditions, length of your absence, and channels open for communication), the emotional stress will be reduced before the FOs departure as well as during the first weeks in the mission. Preparations may include the following: Make sure you are in good physical and mental condition. Never leave your home or loved ones with personal or socio-economic problems unsolved. Prepare yourself by studying the country and particularly the cultural aspects of the country/area in which you are going to work. Study and familiarize yourself with the mission in which you will operate. (The mandate and operational tasks). Make sure you understand what is expected of you as a professional. Be prepared for your living conditions in poor areas. Make sure that you have proper insurance if an accident occurs and that you know your blood type. Make sure you have appropriate clothing, other necessities, such as a battery-powered flashlight or torch, pocket-knife, pocket dictionary and a small supply of medical or prescription drugs for emergencies (headache, upset stomach, antiseptics for scratches, etc.). Preparation immediately before departure: Before departure let someone know your travel itinerary and where you can be reached. Ensure that addresses and phone numbers of the mission (organization) are correct and can be easily attained. Make sure you are met on arrival. Make sure that you have a small amount of local currency but never carry large amounts of money. Check visas (if required) and other travel documents. Upon arrival: Stay alert. Watch luggage and briefcases and keep your travel documents and money/travellers cheques safe. Make sure that the person designated to meet you has proper identification. If no one is there to pick you up, you may be forced to take a taxi. Ask the information desk at the airport about reasonable taxi fare to your final destination (hotel, etc.). Check the fare with the driver before entering the cab and make sure the cab is an authorized taxi. As a woman, particularly if you arrive late in the evening, it might be better to use one of the hotel shuttles and, when arriving to the hotel, make further arrangements. Your accommodations: If you have to make your own arrangements concerning hotels, it is always recommended to use a reputable hotel. In general, these hotels have proper security and will save you from unexpected surprises when it comes to food, drinking water, ice, etc. If you are going to stay in an apartment, small house, etc., you should ensure that it is located in an area that has been declared safe. To return home in broad daylight is one thing, but to do the same in late evenings and alone is another thing.

Lesson 7 / Safety and Security


Wherever you stay check the following: That windows and doors can be properly locked with a key or by other means (i.e., a chair). If possible, never be accommodated on the ground floor, which provides easy entrance from outside. Make sure you are familiar with the escape route in case of fire or other incidents. Ensure the telephone is working and communicate immediately to persons concerned. If someone knocks at your door, do not open it before the person is identified. The environment: It is necessary and an important safety measure that you become acquainted with your neighbourhood. Check where to find the nearest shops, police station, and hospitals. Check to see where the embassy of your nation is located, or if you are staying in a remote area far from the capital, get appropriate addresses and phone numbers. Check and be acquainted with the nearest route to friends or others you trust or to a recognized safe area (e.g., a UN compound, site, or headquarters). As a Resident At home: If you are supposed to stay for a longer period, you must ensure that (visiting) members of your family are well aware of the various security precautions. Also, servants (temporary as well) must be instructed on some of these issues. You must always be on your guard and make sure that all precautions are part of your daily routine. Ensure that you feel comfortable in your residence and its close surroundings. Doors and windows and locks must be solid. Doors and windows on the ground floor should have outside bars. Safety chains, peephole, intercom to the main entrance and outside lightning are also important considerations. Make sure there is restricted access to keys and that your doors are always locked, even when you are at home. If you lose a key, make sure that all locks are replaced. Use blinders or curtains at night. Install telephones or have access to mobile phones. Always keep a short list of emergency telephone numbers close to your telephone (which should be known to the servants as well). Servants must be vetted.

Perpetrators may first call you by phone or try to enter through the door. Therefore, you should be very strict in giving out your number and pay extra attention to knocks at your door. Never tell a stranger that you are alone and never open the door without identifying the visitor. Always be cautious if giving out business cards with your resident address and phone numbers. Walking, using public transportation or taxis: When walking or using public transportation, you should not run the risk of being a target by wearing expensive clothing or jewellery. Remember that when walking to and from official business meetings, smart suits and nice briefcases will catch the immediate attention

Lesson 7 / Safety and Security


of unwanted elements, particularly in areas with poor policing and/or known as unsafe. Avoid any unnecessary robbery by using authorized taxis or private cars. Always be aware of pickpockets. They exist all over the world and appear particularly in crowds. Keep your wallet or money/credit cards, etc., under clothing and never in your briefcase. Avoid walking alone at night and never enter isolated areas by yourself. Always be alert and watch your surroundings, especially when you get off a bus or leave a subway station. If followed across the street or when entering a shop and worse comes to worse, draw attention to yourself. If dropped off at home, ask the driver to wait until you have opened your front door. Cash machines are rather common, and their locations are considered to be high-risk areas. Be extremely cautious when using your bank or credit card. If possible, use bank cashiers or cash machines inside the bank. Never accept a ride from a stranger. When in a taxi, keep the doors locked and windows rolled up all the way. Do not drive alone. Be extra cautious if the taxi is stopped, never open the door or roll down the windows, wait until you know for sure the purpose of the interruption. In general, always stay a step ahead by considering what might happen and how should you react. At Work The United Nations has a well-functioning security system. The United Nations Security Coordinator (UNSECCORD) in New York performs system-wide coordination. The Agency Headquarters (in Geneva, Rome, and Vienna) coordinates the activities within their respective organizations and the Country Designated Official has responsibility pertaining to the country where the FO operates. Field Security officers or area Coordinators are available and responsible in the field. The last level is you, the FO. Unfortunately, experience indicates that the last link in the chain can sometimes be the weakest. You must always adhere to the safety and security instructions given by the designated security focal point and you must always ensure you have the latest information. Familiarize yourself with the daily routines of your duty station (office, location). As for your responsibility as a resident, you should check doors, windows, escape routes and take note of standard security procedures and participate in basic fire drills and security and first-aid training. Documents used in your daily work and of a sensitive nature must be locked away when not in use. Check the availability and location of fire fighting equipment and medical or first-aid kits. Always be aware of the risks associated with sabotage and bomb threats and always ask the designated focal point for information and advice. Be aware that radios and telephones are not secure means of communication, and, thus, exercise extra precaution. As a general rule, sensitive information should be coded for transmission. Take notes of evacuation plans.

When moving outside your duty station (location), there are some rules you should follow. In general the rules always apply to wherever you are.

Lesson 7 / Safety and Security


Always inform whom-it-may-concern when and where you are going. Always remain on guard against extremists and always exercise caution when in unfamiliar surroundings. Never pretend to be any kind of expert who could be useful for extreme political factions. Each FO will receive a specific Identification Card (ID) to ensure verifiable and accurate identification as a member of the relevant UN organization. The ID must always be carried and be presented whenever demanded. Photography is a point of concern, so taking pictures of military installations, equipment, personnel, or any other sensitive area or object is not recommended. Avoid any political behaviour and speech that would draw unfavourable attention to the mission, or to the UN as a whole.

7.3 Travel The FOs may do some travelling but they should be aware that fifty percent of all security incidents occur during travels. Therefore, the FO should avoid any unnecessary travelling and always make sure that the travel is permitted and along routes that have been declared safe. Although the following rules are for travel taking place over longer distances, the FO should also adopt the below indicated rules for shorter travel when appropriate. General Rules Assure yourself that the car is adequately equipped with a jack, spare tire, extra jerry can for gasoline, water, and a first-aid kit. Check the security conditions of the route before travelling. Carry maps and a compass if the area is unfamiliar. Inform concerned offices about your itinerary. If you have access to a radio, stay in regular radio contact. If radio (mobile telephones) are not available, establish some sort of communication plan such as points of communication or just simply a plan to report when you have arrived. Avoid travelling alone and in the dark. Never resist if the car is stopped. Always park the vehicle in a secure area and in a way so you can easily escape. Never carry unauthorized passengers. Keep a proper speed. Driving The need to drive a car either as part of official duties or for other reasons might be hazardous. Therefore, bear in mind that a large number of casualties in field operations are caused by traffic accidents or driving under off-road conditions. The traffic pattern, the roads, and the terrain are often very different conditions than FOs are accustomed to. This calls for extra caution particularly since most accidents are due to high speed and unskilled drivers. Be extra cautious when driving through populated areas. Children might be out playing and are unpredictable in their movements. Slow down and give them enough room to move out of the way. On the road, speed is a crucial factor in difficult weather conditions and should always be lower than that of regular weather conditions. In winter conditions, always keep a safe distance behind other vehicles and keep a closer watch than usual on other cars, motorcyclists, and bicyclists. Bear in mind the particular characteristics of different weather

Lesson 7 / Safety and Security


conditions. On icy roads, it is essential to do everything more carefully than normal. Slow down as soon as you are aware of ice, steer gently to avoid harsh turns, keep in the highest gear you can, and, if you have to brake, use short, even applications on the brake pedal, not heavy sustained pressure. Rain, at any time during the year, makes roads perilous. However, in winter conditions the effects of rain on visibility are much worse, especially when there is heavy spray from other vehicles. Thus, switch on dipped headlights (not high beams) to see and be seen. Slow down and watch for large pools of water in heavy storms. Hitting these at high speed can cause even the most experienced drivers to loose control of the vehicle, either by swerving as only one front wheel is impacted by the water, or by hydroplaning as multiple wheels skim on the water and momentarily loose contact with the road surface. At night, rain worsens the glare from headlights, so it is vital to reduce speed in such conditions. Stopping distances are much greater on wet roads so allow plenty of room between you and the vehicle in front of you.

Figure 1: Slow but safe. Finnish UN Peacekeepers in Cyprus.

Driving in the desert requires a competent driver able to read the terrain and find the most appropriate ways of getting from one destination to another, thus avoiding loose sand and invisible sand dunes. Knowledge about the area is a necessity and the use of a guide is strongly recommended. To get lost in the desert is a dangerous adventure. Vehicles should be equipped with extra water bottles, jerry cans for gasoline, and shovels. Long-bodied vehicles are preferred compared to short-bodied ones, as they have a tendency to get stuck in the sand. If you do get stuck in the sand, try to get out using the same tracks.

Lesson 7 / Safety and Security


In general, the following may apply: Adjust your speed to the prevailing conditions. Drive near the centre of the road. Wear seat belts. Make sure you can operate all of the features of the car (switching from two to four wheel drive, anti-spin control, use of winch, etc.). Be familiar with the routes and if your safety is in danger, vary the route. Memorize safe locations in case of emergencies. Report departure and arrival. If you have a vehicle breakdown, report it to offices concerned, and evaluate the security situation. In non-secure areas with checkpoints and similar stops, drive very slowly on approach, stop if requested and show ID card, do not resist vehicle search but protest. If you encounter a hold-up or hijacking situation stop the vehicle and remain calm. Always cooperate and be compliant to the demand. (Also see below) If you are followed drive to a busy street or to a police station or another recognized safe place.

7.4 Special Security Precautions Highjacking of a UN Vehicle The highjacking of a vehicle can take place anywhere in the world, especially in areas where law enforcement is ineffective. Events have demonstrated that UN personnel (or others as well) are potential targets of vehicle highjacking. The guidelines shown below have been developed over the years as the most effective ways to deal with vehicle highjacking and to save the life of the highjacked individual by not seeking a confrontation. If involved in a hijacking situation, stay calm, do not provoke or antagonize the abductors, try to negotiate, do whatever you are forced to do. Watch your body language, move slowly, and try to defuse the situation. Appear to be innocent; do not try to save anything but your life. Never try to hide anything or to throw away vehicle keys or obliterate any property.

Cooperate with hijackers and make no attempt to flee. Hijackers should be told that they have taken an FO who is in their country in the service of the United Nations and who has no malice towards them. If the hijackers insist on stealing the vehicle, you may request to remove all personal belongings from the vehicle. If two vehicles are involved, the rear vehicle should not attempt to render assistance but should, if possible, retire to a safe distance, inform the office (HQ) of the situation, and be prepared to render assistance when the hijackers have left. It is imperative that the FO be familiar with the security arrangements of the working place (duty station) or the mission area. Such arrangements include standard procedures in case of highjacking, as mentioned above. In a UN mission the reaction can only be efficient if it is initiated by a timely and accurate message, if possible passed by the potential victim if the situation allows, or by a witness to the incident. This will be given absolute priority by any mission office or headquarters.

Lesson 7 / Safety and Security


If the FO is detained, there is no reason to conceal anything from the abductors; make it clear that you are a member of the UN, a peaceful organization and explain the mandate of the mission. Do not fear any later disapproval or punishment because of saying something you were forced to. Under these circumstances, your first task is to survive and come out of the situation with as little difficulty as possible. Keep calm, obey orders and never argue. Try to rest and keep yourself physically and mentally active. Be aware that everything will be done to save your life. Trust in the efforts of UN and all other nations involved to achieve your release. Never do anything that could undermine the fact that you are a UN-member. Avoid any resistance that could be misinterpreted by your detainees.

Mine Awareness An FO frequently works in a conflict area or in the vicinity of former battlefields. A profound knowledge of the mine situation and other types of battlefield debris is a necessity before entering such areas. Situations may also occur where some elements of the conflicting parties are engaged in operations using not only mines but also other explosive devices directed against each other or UN personnel. Avoid these areas. If offroute movements are inevitable, walk or drive on stony ground, where mines or munitions would be hard to conceal. Recognition of devices/mines in use and where such threat exists is a must for all UN personnel and others concerned. The following can serve as general guidance:

Figure 2: A landmine.

Where to expect mines: In exits from roads and in damaged roads (placed to delay repair). Bottlenecks, edges, and forks in roads and tracks. Anywhere in unpaved tracks. Around abandoned houses and equipment. As booby traps in houses or buildings: doors, drawers, toilets. In diversions around obstacles. Near springs, drinking places, shade, or anywhere people are likely to be attracted.

Lesson 7 / Safety and Security


Movement in mined areas: Be alert in looking for signs of mines (objects which can be natural or artificial and look out of place in surrounds). Be wary of moving over obvious and easy ground and do not walk on road verges. If caught in a mined or trapped area on foot, make for the nearest safe area (hard road or recent vehicle tracks). If in a vehicle which is halted in a minefield, withdraw by using the preceding vehicle tracks until clear. Mark and report findings. Precautions for Drivers: Vary routes in and out to avoid roadside bombs. Drive in the center of the road, clear of verges and avoid turns on roads. Avoid excessive speed. Stay on the road at halts. Snipers In battle zones or other areas with a high level of violence, snipers are a genuine threat. If possible, avoid these areas. If not, pay attention to all unexpected movements and use common sense. In buildings: As a general rule, personnel should not stand by open windows and never leave the curtains/blinds open at night when lights are on in occupied rooms. However, should the FOs be subjected to sniper fire, they are to take cover immediately. If near a window, they should move to a position where they have a substantial wall between themselves and the direction from which the gunfire was heard. When in vehicles: Personnel should not remain stationary for longer than necessary when travelling. Should personnel be subjected to sniper fire while stationary, they should exit the area immediately. If the sniper fire prevents the personnel from escape using the vehicle, they should exit the vehicle and take cover. If possible, they should call (radio/mobile) for assistance. Should personnel receive sniper fire while moving in a vehicle, they should speed up to the safest possible speed and exit the area immediately. 7.5 First-Aid The FOs find themselves far from medical facilities in time of need. Thus, everyone must be prepared to handle minor medical emergencies and know the steps to be taken at any location in order to obtain additional medical support. The FOs should ensure that they are familiar with the instructions of Emergency First-Aid and how to act in case of an emergency before any assignment to the field. Therefore, this part of Lesson 7 will only briefly deal with this very important matter.

Lesson 7 / Safety and Security


Accidents In case of an accident, bring the patient to a safe place. Be aware that the accident may have caused a major injury, such as a broken neck. Stay calm, and act decisively with care. Ask, look, listen, think, and assess carefully: Is he/she breathing and is the air passage clear? Assure respiration by tilting the head and lifting the chin. Check the condition. How does he/she react? (conscious and alert, drowsy, unconscious) In case of suffocation, give mouth-to-mouth resuscitation. How is the pulse? Is the victim bleeding? Give first-aid treatment if needed. Check for any immobilized limbs. Treat for shock. If the patient is pale, cold, and/or weak, let him/her rest, have fluids, and be covered by blankets. Move out of danger and then call for assistance (medics). Gently assess the nature of the injuries/illness and administer the necessary care. Position the patient appropriately and reassure the patient. Never leave an unconscious or severely injured patient unattended. Call for help or get somebody to call an ambulance, an appropriate medical clinic, or the office of the mission. Take whatever steps are necessary and in accordance with the Emergency First-Aid instructions. If possible, organize and manage the site until help arrives. Weather Conditions If you encounter heat exhaustion, you may recognize the symptoms, such as exhaustion, headache, pains in the back or limbs, mental confusion, and fainting. Cramps, abdominal pains, vomiting, collapse, and deep unconsciousness are indicators of severe exhaustion. Treat the patient for shock. Relieve hotness and sweating by any means. Long cold drinks with one teaspoon of salt or sugar per liter. Cold wind and wet clothing may lead to a lowering of the body temperature and the dangerous state of hypothermia. In this case, the patient may move into lethargy, stumble, fall and later experience uncontrollable shivering and failure of vision Prevent further loss of body heat and move to shelter. Provide hot drinks and sugar. Burns For minor burns, wash the area and apply a clean sterile bandage. For severe burns, cover the burned area and never pull away sticking clothing, cover burned faces, or use ointments. If possible, cool the burned area and treat the patient for shock.

7.6 Health Precautions General Rules Maintaining good personal hygiene is easy under normal conditions. It may be more problematic under stress or when extreme weather conditions reduce the working capacity. Bad hygiene may further aggravate an already severe situation. Most FOs are aware of these facts but should anyhow pay attention to the realities and take necessary precautions.

Lesson 7 / Safety and Security


Consumption of food, liquor, and soft drinks is a common problem, and temporary sickness is frequent. The following may serve as a general guide: Avoid local liquors and excessive consumption of alcohol. If you are not accustomed to spicy and highly seasoned foods, you should only eat them in moderation. Raw vegetables, salads, cold sauces (gravies), and dairy products should be avoided unless their source or origin can be verified. You should avoid fruits unless the outer skin is unbroken and can be removed prior to consumption. Use only canned or boiled milk, and, similarly, ensure water purification tablets are used, or that water is boiled prior to consumption. Water should be kept at the boiling temperature for at least ten minutes. Well-cooked foods are normally safe to eat, but let your common sense be the guide. Be aware that a vast majority of people who have the Human Immunodeficiency Virus (HIV) contracted it by having sexual intercourse with someone who was already infected. But HIV can also be transmitted by infected blood or blood products (as in blood transfusions), the use of drugs through contaminated needles, or any needles used for tattooing. Treat minor injuries or scratches immediately. Sometimes you may have headaches. Remember that headaches in hot climates may be caused by the lack of salt. Ensure that you have a normal salt intake either through the food provided or through salt tablets. Be aware of snakes and other unwelcome inhabitants.

Field operators are sometimes confronted with an inordinate amount of stressful situations that are potentially harmful if not managed properly. Knowing what can be expected, such as the nature of the task and mission, duration of the assignment, living and working conditions, and means for communication with loved ones can greatly reduce the physical and emotional demands that contribute to stress. FOs exposed to a traumatic experience should seek professional treatment as soon as possible. Unfortunately, accidents occur, and everyone who has witnessed or experienced an accident is always affected. The immediate and most effective treatment is based on communication on an emotional level. Talks and discussions can be part of such treatment and should focus on the present and be confidential, supportive, and educational. Nevertheless, professional assistance should always be considered.

Lesson 7 / Safety and Security


Learning Questions Knowledge What kinds of preparations are necessary before departure to the mission area? What, in your opinion, are the most important security precautions when you are at home (as a resident in the mission area)? What are the rules you have to follow when moving outside your office (duty station, location)? What are the basic rules if you become involved in a hijack situation? What are the basic rules if you are detained? What is mine-awareness and where can you expect to find mines? How do you protect yourself when travelling in a car and exposed to sniper fire? What are the seven points in emergency first-aid? What are the symptoms of heat exhaustion?

Awareness What are the reasons why you may be a target of a violent action, crime, or robbery? Why do you have to report your departure and arrival when travelling? Why should doors be kept locked and windows rolled up when you travel by car? Why should you be restrictive in giving out your phone number? Why is the United Nations so concerned about safety and security?

Applications You have just arrived at your new duty station (location) and have the first informal discussion with your partners from another UN agency. The issue of security is discussed, and it seems that your partners are not particularly concerned. When you stress the importance of safety and security and the necessity to read the security instructions, they answer, Dont worry! But, just give us five reasons why we need to read it! How would you answer?

Lesson 7 / Safety and Security



1. Around 50 percent of all security accidents occur during travels. a. True b. False

2. Which one of the four principles listed below do you judge, upon arrival to a new locale, as the most important one? a. Impartiality; b. Confidence building; c. Security consent; d. Adherence to security measures in the mission area.

3. Make sure that you understand what is expected of you as a professional applies to safety precautions: a. Upon arrival; b. At the office; c. Before departure to the Mission; d. At work.

4. Staying at a reputable hotel is recommended because: a. They normally have proper security; b. The food and drinking water is supposed to be safe; c. It is more safe in terms of transport and communication; d. It is more comfortable.

5. To avoid unnecessary robbery or pick pocketing: a. Never wear expensive clothing; b. Always keep your wallet in the briefcase; c. Always use the first available taxi; d. When in the taxi keep the doors locked and windows rolled up all the way.

6. When travelling make sure that (chose the most important one): a. Your family is informed about your itinerary; b. Your office is informed about your itinerary; c. Concerned offices are informed about your itinerary; d. You report to your office when you have arrived.

Lesson 7 / Safety and Security


7. If you, when travelling by car, encounter a hold-up or hijacking situation: a. Speed up and drive through as fast as possible; b. Turn around and go back; c. Stop the car and roll up the windows; d. Stop the car and cooperate.

8. Where might you expect to find mines? a. In paved tracks; b. Around houses and equipment; c. Bottlenecks, edges and forks in roads and tracks; d. Both b. and c.


Exhaustion, headache, and pains in the back or limbs may be symptoms of: a. Heat exhaustion; b. Shock caused by injures; c. Lack of salt; d. Excessive consumption of alcohol.

10. HIV may be contracted through: a. Sexual intercourse; b. Blood products; c. Contaminated needles; d. All of the above.

Lesson 7 / Safety and Security


LESSON 7 ANSWER KEY 1. 2. 3. 4. 5. a. d. c. a. d. True Adherence to security measures in the mission area Before departure to the Mission They normally have proper security When in the taxi keep the doors locked and windows rolled up all the way Concerned offices are informed about your itinerary Stop the car and cooperate Both b. and c. Heat exhaustion All of the above

6. 7. 8. 9. 10.

c. d. d. a. d.


Learning Objectives Key Questions Introduction 8.1 Participatory Methods 8.2 Projects and Project Control Project Development Management 8.3 Monitoring International Humanitarian Law (IHL) and Human Rights (HR) Humanitarian Assistance Election Confidence Building 8.4 Liaison and Information 8.5 Negotiation Purpose Preparation Conduct 8.7 Written Communications and Reports Types of Written Communication Examples of Letters E-mail 8.8 Communication with the Media General Advice Rules in Dealing with the Media Learning Questions Knowledge Awareness Applications End-of-Lesson Quiz 8.6 Mediation Preparation and Conduct Use of Interpreters

Lesson 8 / The Available Tools


LESSON 8 Learning Objectives Previous lessons have given the student an awareness and certain knowledge of United Nations guiding principles seen from both the institutional and operational perspectives. Other lessons have focused on the working environment and where the student should have been familiarized with the problems and practicalities he/she may face in the field. Subsequently, the following lessons deal with how and in what way the field operator can utilize the various available mechanisms and entities that have proven useful in the accomplishment of the work. While the next lesson provides information of other organizations usually present in the field, this lesson discuss some of the most promoting tools which have proven to be essential for a professional fulfilment of a task. Even if the student obtains any knowledge, it should be emphasized that the necessary skills can only be achieved through personal and practical experiences.

Key questions to be considered by the student when studying Lesson 8: What is the purpose of participatory methods? What is the purpose of the liaison system? What is the purpose of information? What are the major differences between negotiation and mediation? What is the purpose of preparation before negotiation? Which are the six phases in developing a project? What should be considered in the evaluation of a project? What is to be included in all written communication? In what way can the media be used as a promotional factor in an emergency operation?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 8 / The Available Tools


Introduction Most of the United Nations missions have a humanitarian and/or political dimension where human interaction and contacts are the principal instruments. Success will be hard to achieve without an effective and practical use of these communicative mechanisms. Thus, the basic elements of interpersonal communications are: making contacts, talking to people, and being concerned, human behaviours normally exercised at home. These same activities provide a favourable atmosphere in the field. If these conditions prevail, they will greatly facilitate the FOs work, regardless whether it concerns reaching a cease-fire agreement or implementing a project. However, getting there requires a certain technique that depends on the task and the available resources. There are several (working) tools or methods that are at the FOs disposal, although not all of them are mentioned below. Generally, they may be defined as the promoting mechanisms between a given task, available resources, and the accomplishment.

8.1 Participatory Methods The motivation and inducement of other people is a functional strategy in programme development. The Participatory Development Programme (PDP), as developed by the UN Development Programme (UNDP), is a powerful and useful tool. Although, there is no specific formulation of the programme objectives, they aim at better efficiency/effectiveness, and they encourage and empower the local population in assuming responsibility for various projects. The basic principle is to get local people involved in a project to such an extent that they, for obvious reasons, will take over the responsibilities of the project. Over time, experience indicates that the local involvement, compared with the top-down strategy, is even more effective, as it gives confidence in local societies and an increasing contribution to their own standard of living. The purpose and practical adherence to these people-centered activities are expressed in United Nations Volunteer Handbook, 2000. Briefly they state:
The primacy of people: whatever the purpose or ultimate goal of the project or programme, peoples interests, their needs and their wishes must be allowed to underpin the key decisions and actions relating to the project. Peoples contribution: peoples knowledge and skills must be seen as a potentially positive contribution to the project - a project which does not seek to make use of local knowledge and skills may not only be less effective but will also be squandering a useful resource. Peoples participation must empower women: participatory development should seek to improve gender inequalities through providing a means by which women can take part in decision-making. Autonomy as opposed to control: as far as it is realistic to do so, seek to invest as much responsibility as possible for the project with the local people and, thus, avoid having absolute control in the hands of project staff. Local actions as opposed to local responses: encouraging local people to make decisions and to take action within the broad parameters of the project, as opposed to merely responding passively to initiatives proposed by others. Allow for some flexibility in project direction: promoting peoples participation will mean that, as far as it is reasonably possible, the project should be allowed to develop in accordance with the abilities of local people to play an increasing role and to begin to assume some responsibility.

UNDP and other organizations have developed a range of similar methods all under Participatory Development Programme (PDP). Some of the most commonly used methods

Lesson 8 / The Available Tools


include: Rapid Rural Appraisal (RRA); Participatory Rural Appraisal (PRA); Stakeholder Analysis; Gender Analysis; Participatory Action Research (PAR); and Objective Oriented Project Planning (ZOPP). Depending on the circumstances, the actual project and its contextual involvement in the principal development programme, these methods are useful tools in the practical implementation of projects.

8.2 Projects and Project Control Several thousands of field workers worldwide (operators) are involved in the technical implementation of projects that are frequently associated with a national development programme. Those international and/or national FOs who work under such conditions will probably face a wide range of tasks that entail everything from planning to evaluating. Depending on the FOs level of professionalism and experience, he/she may be responsible for certain parts of the project or even have to assume the full responsibility. In any case, management and management control are Figure 1: An infant being weighed at a UNICEF-supported important tools. clinic. Jilib, Somalia - April 1993, UN 159828 M. Grant. Project management is usually divided in different phases, sometimes overlapping but with their own distinctive objectives. The following is not comprehensive but provides an overview of the various steps that may be used in the field. Project Development Usually a project encompasses six phases: project identification, project justification, project description, implementation of the project, follow-up, and evaluation. The justification is probably the most important of the six phases since it provides the background and motivation for further actions. It should refer to a feasibility study the project identification. Including the project justification, the phases are: Project identification is the very first phase of a project. It might be an incident, a point made in a discussion, or any other events that foster the first embryo of a future project. The idea is only valid when it has been put into a context and identified either as a need or as a solution to a problem. Thereafter, the idea must be refined and clearly described. Project justification, which is the next step, must answer the most fundamental questions about the aim and purpose of the project: (i) Who is affected? (ii) What is the problem? (iii) How can it be solved? (iv) What are reasonable resources to be used? The questions must be carefully analyzed and should result in a project description, which should be brief, well structured, and succinct. Completed analysis should be summarized and

Lesson 8 / The Available Tools


technical information attached as appendixes. The project justification is the first formal step and, if approved, will authorize the development of the detailed description of the project. The project description should give the necessary (i) background to why the project is needed, previous experiences in this field, and a clear account of its objectives and affected target group(s). (ii) Is the project technically feasible and what kind of resources are available or must be procured? (iii) Organization of the project and its future integration in the community or in the country must be defined and projected. (iv) Estimated costs covering both up-front investments and on-going operational costs must be identified and financial resources explained from where and how. Financial requirements must match expected effectiveness and eventual profitability. (v) Timetable and a plan for implementation must be included. An approved project description is a necessity for requested financial resources. A formal agreement must precede the implementation phase. The implementation plan should include a course of action, periodic budgets, budget allocation, time for reports on the status of the project, and a statement of accounts, obligations (of the parties) and an evaluation plan. References should be made on specific collaboration and coordination with others. The follow-up process should be comprised of not only the control of the economic activities such as disbursements and the use of available assets, but also control of the physical activities. Physical activity follow-up is preferably fulfilled through visits to the actual site(s), comparisons between the implementation plan and the actual status of the project, comparison between orders, and deliveries, as well as through frequent follow-up meetings. The project evaluation assesses whether the achievements match the objectives as stated in the project description and justify the resources used. The analysis should be based on either an appraisal of the quantitative or qualitative accomplishments or as a combination of both.

Management It is recommended that a flow chart be developed to follow a project and ensure effective management. The chart will provide the project manager with an overview of the project and will facilitate the control of the various phases of the project, use of resources, etc. Such a chart should be developed at the very beginning of the project or whenever necessary. Almost all organizations have their own guidelines for projects and project management. FOs who are likely to be involved in project activities must be sure to acquire relevant information in situ. The identification and acquisition of funding can often be as difficult as the planning and management of a project. A project may be financed through domestic financial resources or through international resources such as trade, foreign direct investment, and other private flows. Support can also be provided by international financial cooperation for development, including official development assistance. Wherever the funding comes from, it is of utmost importance to ensure that a written commitment exists and that the money flows to the project in accordance with standard and accepted procedures.

Lesson 8 / The Available Tools


8.3 Monitoring FOs may be involved in monitoring political tasks such as cease-fire agreements, election monitoring, or humanitarian assistance. Careful but not abusive supervision, observation, information-gathering and reporting are the most important tools but may also include more complex activities, such as the inspection and verification of troop withdrawal. For the purpose of this section, they are all titled monitoring. Depending on her/his previous experiences, the FO will work in different areas and must accordingly ensure that he/she knows and understands the mandate of the mission and the nature of the assigned tasks. The FOs should aim to preserve and demonstrate objectiveness wherever possible and not display any signs of favouritism. The monitoring duties may encompass a wide range of tasks of which the following may serve as examples: International Humanitarian Law (IHL) and Human Rights (HR) IHL deals with the protection of soldiers, sailors, civilians, POWs, and cultural heritage during times of armed conflict. Human Rights are more general and not limited to times of armed conflict. The level of the FOs involvement will depend on previous experience. He/she may operate/monitor independently or assist others in the field or in an administrative entity. Irrespective of level and responsibility, all investigations to verify alleged violence against human rights is meticulous work and must be carried out with great sensitiveness. Humanitarian Assistance In the field of humanitarian work, the FOs may cooperate with the humanitarian organizations already working in the area. The work varies greatly. It might be monitoring the delivery of commodities, food distribution, health programmes, educational tasks, or administrative work or assessment of a certain situation. The FO may also monitor the evacuation of refugees and the wounded from the disaster zones. By working in the humanitarian field, the FO must ensure that the humanitarian imperatives are fully considered. Election If the FO has election-related experience, he/she may be involved in four major areas: registration; election campaigning; voting procedures; and counting. In monitoring an election, the FO should always keep a low profile in order not to jeopardize their positions of impartiality. They must be familiar with the specific duties and follow the guidelines for the rules of conduct of an electoral monitor and never interfere if they are assigned to monitor the voting process.

Figure 2: Somalis walking towards a UN-supported feeding center operated by the International Association Against Hunger, an Italian non-governmental organization. Badera, Somalia April 1993. UN 159849 M. Grant.

Lesson 8 / The Available Tools


Figure 3: An electoral worker explains voting procedures to a voter at the mobile polling station in the Ovitoto Reserve, Okahanja, Namibia, UN 157116 M. Grant - November 1989.

Confidence Building It is a demanding task to monitor and report the situation of an economy, social life, and infrastructure and try to develop ideas for reconstruction. Project development and project management can be part of confidence building activities. Accordingly, the FO will help parties to become more ready and able to deal with each other productively, helping them to evaluate their alternatives to cooperation, understand interests, develop creative options, and build working relationships.

8.4 Liaison and Information To liaise means to communicate. To work as a liaison officer means that the FO serves as a communicator between various actors. Thus, liaison is an inter-communicative means with the purpose to promote transparency between local/national authorities, parties (to a conflict) and other organizations concerned. FOs should consider liaison as a structural link between their own organization and others through which discussions of mutual problems can take place a kind of a working relationship that provides good information about actual problems. The liaison system in a multi-dimensional operation is crucial since it provides timely passage of information between all factions concerned, such as the civil population; humanitarian actors; concerned authorities; and militia. The requirement for liaison will increase in proportion to the complexity of the political environment. Information passed through the liaison system is essential since it produces and disseminates updated assessments of the progress of the work/mission and other notable events. In a non-secure environment, the information and liaison system can also serve as a means to provide timely information about the prevailing security condition in the mission area. The liaison system is accessible since it systematically channels information that helps the FO in his/her daily work.

Lesson 8 / The Available Tools


In the past, information-gathering has been almost avoided in the UN system. There is a simple reason for this reluctance: information was apprehended as a type of intelligence and linked to the military system, where intelligence activities have another purpose with its own distinction and interpretation of the word intelligence. Information-gathering under the conditions the civilian FO is working is different. It means that the field operator in an emergency area, which is affected, for example, by a severe drought, must ensure that the planned delivery of correctly composed food commodities reach the most affected people at an appropriate place and time. In order to ensure these requirements, the FO should gather information as a means to make the correct decision. However, information could also be interpreted as essential knowledge in order to make correct assessments of the local conditions, resources, etc., prior to decisions about a project. Such information-gathering might be more complicated since questions will be raised concerning local infrastructures, political elements, composition of the local societies, and more. Nevertheless, all information gathering requires the FO to deal with responsible people, officials, and other authorities. In doing so, he/she should have an open mind, honesty, and absolute trust. The following points, although sourced from a military authority, provide an excellent example of the most important questions the FO may use when involved in circumstances such as those previously described. Doing this within an established liaison system is of great advantage, particularly as a means to get an overall picture of the prevailing situation. Examples of questions to be answered (Applied to a refugee situation):
Where are the refugees originally from? What is the size of the original population? What is the size of the area and population that the village services in the surrounding countryside? What is the size of the refugee population? Why did they come here? What is the relationship of the village with the surrounding villages? Are they related? Do they support each other? Are they hostile toward each other? Is any portion of the village population discriminated against? What is the food and water status of the village? Where do they get their food? What other means of subsistence is available? Are the villagers farmers or herders? What is the status of their crops/herds? What is the quality of the water source? What is the medical status of the village? What services are available in the village? What is the location of the nearest medical facility? Is there evidence of illness and/or starvation? What portion of the population is affected? What is the death rate? What diseases are reported in the village? What civilian organizations exist in the village? Who are their leaders? What civil/military organizations exist in the village? Who are their leaders? What organization/leadership element does the general population seem to support or trust the most? Which organization seems to have the most control in the village? What UN relief agencies operate in the village? Who are their representatives? What services do they provide? What portion of the population do they service? Do they have an outreach programme for the surrounding countryside? What is the security situation in the village? What element(s) is the source of the problems? What types and quantities of weapons are in the village? What are the locations of the minefields? What commercial or business activities are present in the village? What services or products do they produce? What are the groups in the village that are in the most need? What are their numbers? Where did they come from? How long have they been there? What are their specific needs? What civic employment projects would the village leaders like to see started?

Lesson 8 / The Available Tools


Determine the number of families in the village. What are their names (family)? How many in each family? What food items are available in the local market? What is the cost of these items? Are relief supplies being sold in the market? If so, what items, what is their source, and what is the price? What skilled labor or services are available in the village (non-HRA)? What is the size of any transient population in the village? Where did they come from and how long have they been there?

(Source: US Army Center for Lessons Learned Sample Peacekeeping Operations Intelligence Checklist) The new information technology has brought another dimension to the management of the United Nations field missions. The new technology offers opportunities for a better interoperability as it provides an effective sharing of information among the various elements in a field mission. The possibilities to monitor operationally-sensitive areas is explored and will probably be of great advantage in order to enhance the capacity of the peacekeeping operations. However, while the technique is new, the methods are the same. In the aftermath of the war between Egypt and Israel (1972), the Sinai Field Mission (SFM) was given the task to monitor the sensitive Mittla Pass in the Sinai desert. By using highly sensitive sensors, a small civilian contingent was engaged in a early warning system which worked satisfactory for six years until 1979. Aerial surveillance was used over the Golan Heights (Israel/Syria) in the 1970s, and classical intelligence activities were carried out during the United Nations operation in Congo (ONUC) in the 1960s.

8.5 Negotiation Purpose Negotiation is the most common procedure within a mission in order to settle a dispute or reach an agreement. Negotiation refers to a direct dialogue with one or more counterparts or parties. Negotiation can take place as a means to increase the number of workers or to secure the safe passage of a relief convoy, for example. Mediation is similar to negotiation but in mediation there is a go-between responsibility for facilitating communications between the parties. The ultimate aim of negotiation and mediation is to reach an agreement to which all concerned have freely concurred. In negotiations particularly, the role of the negotiator can be very decisive. While he/she has no authority to enforce a solution, he/she can and should use persuasion in assisting the disputing parties to arrive at a negotiated settlement. Careful planning and preparation will help the FO to accomplish this task. It is beyond the scope of this lesson to deal with all aspects of negotiation. However, in negotiation processes, whether conducted at a working or policy level, a successful outcome is dependent on the chemistry between the negotiators. Their expected professional and positive performance should aim at the establishment of mutual trust and confidence. The following general advice is useful in the art of negotiation. Your own party should consist of at least two people and never outnumber the opposing group. Maintain dignity and politeness during dealings with other people. Remain respectful towards all with whom you are dealing.

Lesson 8 / The Available Tools


Remember to pay social compliments to hosts and representatives involved in the negotiations. Always arrange prior to the next meeting: the location, time, attendees, content/subject matter to be discussed; the nature of documentation (i.e., agenda and "minutes" to record what was discussed and, hopefully, agreed).

Preparation Since the basic purpose of negotiation is to achieve something or to resolve a dispute, the negotiation has to be well prepared. The definition and identification of the problem is part of the preparation. What is the problem/task? Has it been discussed before? Why should it be discussed at this time? What is the background/history? What is the current situation? Obtain all possible information about the issue and outline the options for a settlement. Read previous reports on the matter. What was the conclusion and how does it relate to previous or future arrangements? Who were the persons involved: name, rank, personality, authority, and attitudes? What are your options, limitations, frame, mandate, etc.? When and where will the negotiation take place? Establish an agenda for the meeting.

When the problem has been properly identified, the practicalities have to be discussed. If there will be a delegation, who is the head? Who will do the talking? Who will take notes? Decide on the role of the interpreter. How many of you will attend the meeting and, thus, avoiding any overrepresentation? When all preparations and practical arrangements are completed, ensure that your party arrives in due time.

Be aware that the parties concerned have a stake and share in the settlement of the dispute, and that a positive or negative outcome may not by itself represent the end. The opening talks should include an introduction of the (your) team and the presentation of the agenda (if not submitted in advance). Some introductory small talk may be useful and polite and gives all an opportunity to assess the atmosphere and the mood of the attendants. If possible, let the counterpart start, listen, and do not interrupt; be patient and start to agree on the agenda subjects. If incorrect information is given, settle the facts (supported by evidence) but do not argue. It is essential to state your opinion (facts only). If differences occur, note the opinion of your counterpart and highlight the most essential point. In some cases the task may include conveying complaints. Ensure that the complaint is clear in all its details, and preferably confirmed in writing. If necessary, declare that the issue will be reconsidered after due investigation. Make no promises or admissions, unless the situation or your mandate clearly permits you to do so. Do not reveal anything about one party that could be exploited by the other party. To be impartial and correct is always an advantage. Be restrained if one of the parties makes negative comments about the organization you represent. Try to make everybody accept the mandate and the solution it promotes by making careful reminders about agreements, actual arrangements, and past practices. Complete the negotiation by repeating what has been agreed upon, if possible have it confirmed in writing. Agree upon a time and place for further negotiations and conclude the discussion with some final and polite phrases, etc.

Lesson 8 / The Available Tools


The report of the meeting and the follow up are important. Prepare a short verbal briefing for your superior/headquarters, and write a detailed report containing, facts, conclusions, recommendations and further arrangements. 8.6 Mediation Mediation is a more complex and comprehensive activity. As a mediator, you carry more responsibility since you, as a neutral third party, have to serve as facilitator to encourage communication and seek agreement (go-between for the parties). This requires meticulous preparations, particularly concerning the agenda and pre-accepted subjects for the meeting. Although mediation includes the same pattern and formalities as for negotiation, the following points should be considered. Preparation and Conduct Meet the parties separately before the meeting and identify the problem areas. Coordinate with the parties and make an approved agenda and distribute it before the meeting. Discuss the hard subjects with those concerned and consider possible solutions to the main issue. Propose and decide a meeting place. Discuss and establish the conditions for the meeting, for example, number of participants, use of interpreters, communications, seating, separate rooms for informal settings, etc. When the UN is involved in mediation, the parties may sometimes require the UN to chair the meeting. A chairperson may conduct the meeting as follows: Start the meeting by reading the agreed agenda. If there has been a previous meeting, give the status of what has been implemented. Present possible options which have previously been separately discussed with the parties and make every effort to find a common ground for solutions. Appear neutral and observe objectivity. Try to balance the outcome (one for you and one for you). The conclusion must be agreed upon and clearly documented. If nothing has been agreed upon, ensure that the parties can meet again never close the door.

Use of Interpreters In mediations (as for negotiations) interpreters are frequently needed. They are often recruited from the local population and paid a salary in accordance with a (UN) contract. A good interpreter is an asset in all negotiations/mediations not only that he or she will know the local language but also they will know the customs and habits of the country as well. However, one has to be careful not to discuss sensitive matters directly with interpreters, which may have an impact on the situation per se, considering their loyalty, which not always rests with the employing organization. An interpreter should be required to interpret with the greatest of accuracy, not add anything or try to explain a subject and never participate in the discussions. He/she must have a non-visible attitude and be as impartial as possible. In an interpreted discussion, the principals should speak directly to their counterparts and not to the interpreter.

Lesson 8 / The Available Tools


8.7 Written Communications and Reports Types of Written Communication FOs working in larger operations or missions will sooner or later face the demands of written communication, particularly if the FO is involved in any kind of administrative work. Types of communications are official communications such as formal or informal letters (coded cables), memoranda, and facsimile (fax). Non-official communications usually take the form of a note or a transmittal form. Memos, draft reports, or official letters have to be understandable, accessible, and readable and simplicity in language and structure is a principal rule. Written communication always includes formalities such as addressee, sender, date, and file reference. When required, a security classification is also included. The distribution list should be carefully considered. Who really needs the document? The subject must be clearly defined and the purpose of the message easy to identify. If an answer is required, it should be indicated either in the beginning or at the end of the message. An official report, for example, from a project or travel, is required to be well structured. An executive summary at the beginning, including background and a summary of the recommendations, is highly recommended since such a summary provides the reader with the first insights into the subject. The terms of reference, and purpose of the study or visit must be mentioned. The document should end with a conclusion, which may partly be used in the executive summary. Examples of Letters Official Letters and what is called an Inter Office Memos are the two most common types of letters. (Examples are at the end of this lesson) E-mail Electronic mail, or e-mail, is by far the fastest and most accessible way to communicate. The FO should, however, be aware of the systems limitations. Since the normal administrative filter is deleted and messages not distributed in accordance with established staff procedures, frequent users of e-mail cannot expect the same accuracy in handling and response as for formal hard copies. E-mail messages should, therefore, be considered more or less as an informal telephone messages to a mailbox (voice mail). 8.8 Communication with the Media General Advice Media is always a reality, although not always physically present. When spectacular and/or dramatic events occur, the media cover is intensive, and if not properly handled, may cause embarrassment and even jeopardize the work of the mission. Correct information without any political statements but with indisputable facts is usually beneficial to all missions/operations. As a matter of fact, missions frequently utilize the media as a means to inform the public about current activities or about the mission itself. For example, the Namibia operation (UNTAG) used the media in order to inform the local populations about the purpose of the mission, the operational activities, and what could be expected in the near future. In general, the media should be considered as an asset, but the FOs should recognize the sensitiveness of dealing with them and should be well aquatinted with the missions media policy.

Lesson 8 / The Available Tools


Rules in Dealing with the Media FOs should be aware that the media seldom consider you as (UN) representative, sometimes with the prefix senior regardless of your position. Therefore, the FO should: Never give formal interviews without prior approval from a superior or the spokesman of the mission. Always note and report the presence of the news media even if media representatives present themselves as accredited in order to validate their own presence. Discuss only factual matters that are relevant to your work, and refer all other questions to the mission-designated spokesman. Never mislead, take sides, or speculate, and do not provide personal opinions. A helpful, honest, and positive performance is an asset.

Example 1.

An Official Letter is normally used between two organizations. Ref.: UN Editorial Manual, ST/DCS/2.

Copy _____ of _____Copies Address of Sender ________________________________________________ Reference ___________ Addressees SUBJECT _____________________________________________ References A................................................................ B................................................................ 1................................................................................................................................ ............................................................................................................................ 2....................................................................................... a.............................................................................................. b........................................................................................ (1).............................................. (a)....................................... i..................................... ii................................ SIGNATURE BLOCK Annexes Enclosures Copies


Lesson 8 / The Available Tools


Example 2. Inter Office Memo is used for internal correspondence within a mission or a HQ. It is designed to save time and may be handwritten. Ref.: UN Editorial Manual ST/DCS/2.
Letterhead of the Mission or Office



DATE: __________________ REF: __________________

THROUGH: ..................................... FROM: .............................................

SUBJECT _____________________________________________ 1..................................................................................................... .............................................................. 2...................................................................................... ...................................................................................... a. b. 3..................................................................................................... Copy to:................................. .................................

NOTE: (a) The interoffice memo will normally be written on the headed notepaper of the particular mission involved. (b) Unlike the other formats, these headings will be part of the notepaper. (c) Normal paragraphing. (d) No signature block. Normally the sender will sign after his/her typed name.

Lesson 8 / The Available Tools


Learning Questions Knowledge What are the participatory methods? Which points have to be included in a justification of a project? What is an evaluation? What is a liaison? Why is information so necessary in an emergency operation? What is the purpose of negotiation? What is mediation?

Awareness How would you describe a flow chart? Why is it so important to make careful preparations before a negotiation? You will serve as a third party in a mediation process. What does this mean? Why cant an interpreter participate in discussions? What are the main points you have to consider in dealing with the media?

Applications You have been in the mission area for several months and consider yourself a veteran with lots of experience. Your chief is very appreciative and you are given more responsibilities. One day he enters your office and asks you to prepare a negotiation concerning the water purification project your office is developing. Hi, we need to go ahead with this water stuff and particularly to discuss the location of the plant. You know that the locals are rather hesitant to the site we have proposed. Prepare a memo with some points discussing how we can identify the problem and get the local people involved. Later we can put in the hard stuff (facts). Send the memo to my office by this afternoon at the latest! How would you proceed, and what will be in the memo?

Lesson 8 / The Available Tools



1. The overall reasons for participatory development are: a. To make the implementation of programmes/projects more effective; b. As a means of empowering people; c. As a promotion of peoples participation; d. Both a. and b.

2. Project justification: a. Is when the project described in some brief but substantial terms and then conceptualised; b. Is the first formal step; c. Is necessary for requested financial resources; d. Includes a course of action.

3. Monitoring encompasses: a. Observation, information-gathering, and reporting; b. Assistance and advising; c. Observation and supervision; d. Supervision, information-gathering, and reporting.

4. Liaison means: a. To serve as a communicator between various actors; b. The structural link between other organizations; c. To provide timely passage of information between conflicting parties; d. All of the above.

5. Information should be obtained through the liaison system. The purpose of information gathering is: a. To ensure the timely delivery of food in terms of areas affected by drought; b. To facilitate correct decision-making; c. To understand the security environment; d. All of the above.

6. Negotiation is: a. A direct dialog with one or more counterparts; b. Facilitating the dialog between other parties; c. Neither a. nor b. d. Both a. and b.

Lesson 8 / The Available Tools


7. When the ultimate aim is to reach an agreement in which all concerned parties have freely concurred, this is called: a. Negotiation; b. Mediation; c. Persuasion; d. Both a. and b.

8. In the preparation before a negotiation: a. Read all the reports and obtain other useful information concerning the matters; b. Only view some of the most important reports in order to retain an open mind and attitude; c. Never set up limitations and options since you act as a third party; d. In order to save time, go straight to the points after the meeting is declared opened.

9. As a mediator, it is necessary to: a. To serve as a communicator; b. To serve as an interpreter; c. To serve as a facilitator; d. All of the above.

10. In discussions with media representatives: a. Discuss only facts and make all efforts to be as correct as possible; b. Discuss only facts that are of your own responsibility and refer other questions to persons you may find appropriate; c. Discuss only factual matters and refer other questions to a designated spokesman; d. Refer all questions to a designated spokesman.

Lesson 8 / The Available Tools



1. 2. 3. 4. 5. 6. 7. 8.

d. b. a. a. d. a. d. a.

Both a. and b. Is the first formal step Observation, information-gathering, and reporting To serve as a communicator between various actors All of the above A direct dialog with one or more counterparts Both a. and b. Read all the reports and obtain other useful information concerning the matters To serve as a facilitator Discuss only factual matters and refer other questions to a designated spokesman

9. 10.

c. c.


Learning Objectives Key Questions Introduction 9.1 The Need for Proper Identification 9.2 UN Programmes and Funds 9.3 UN Specialized Agencies 9.4 International Organizations with Member States 9.5 Non-Governmental International Organizations 9.6 International Governmental Organizations 9.7 Non-Governmental Organizations Learning Questions Knowledge Awareness Applications End-of-Lesson Quiz

Lesson 9 / The Partners


LESSON 9 Learning Objectives A large number of organizations are participating in an emergency operation. Those organizations represent the international community either as part of the UN system, as governmental, or as non-governmental organizations. Some of them may be small in size and with limited mandates, while others are large and with a substantial impact on an operation. On the grounds of practical reasons, it is not possible to list all organizations that may participate in United Nations field activities; therefore, the compilation below can only represent a small portion of all organizations that might be present in the field. The selection is based on the authors own experience. Except for two organizations, which deal with training within the UN system, all others are frequently involved in UN field activities. The objective of Lesson 9 is to acquaint the FO with some of the organizations that he/she will most likely encounter while on a field assignment.

Key questions to be considered by the student when studying Lesson 9: What is the definition of a non-governmental organization? What is the coordinating body of humanitarian emergencies within the UN system? What is the overall objective of UNICEF? Which organization is the UNs main coordinator in terms of development? What is OHCHR? What is UNHCR? In what way does UNESCO contribute to the universal respect for justice of others and human rights? What are the overriding objectives of the WTO? What is the main objective of ICRC? In what way are non-governmental organizations linked to the UN system?

Please visit http://www.unitarpoci.org/courseactivity.php to hear an audio introduction to this lesson by course author LCOL Christian Hrleman.

Lesson 9 / The Partners


Introduction The number of organizations involved in UN operations has dramatically increased. For instance, in 1997 (two years after the signing of the Peace Accord), Guatemala hosted approximately 700 different aid organizations working in the country. The experiences are the same where similar conditions prevail. The difficulties to identify and put a label on most of these entities are obvious although there are some prevalent definitions. The term International Organizations may be interpreted as organizations and procedures that require a framework of cooperation between states. Non-governmental organizations (also referred to as non-government organizations) are organizations founded and governed by citizens without any formal governmental representation. Although these two definitions seem to be rather straight forward, there are some objections to such definitions as to limits concerning governmental vis--vis non-governmental organizations. The picture may be further confused with the use of the terms international governmental organizations and non-governmental international organizations. The United Nations has an official classification, which lists organizations as either part of the UN system or as those outside of the system, where distinctions are made between different types of organizations. It is beyond the scope and purpose of this lesson to strictly define and follow the official classification system. There are too many contradictions and the definitions are not always clear why it is not possible to strictly adhere to the systems nomenclature. Instead, and at the authors own discretion, the lesson will provide a compilation of organizations that are useful to be aware of.

9.1 The Need for Proper Identification To work with internal and external partners at all levels requires not only a basic knowledge of involved organizations, but also an awareness of their respective tasks and mandates in their work in a specific mission. In most missions, the central leadership is assumed by the concerned government (or sometimes by the United Nations). The role of the governments (or the United Nations) has to be clearly understood, since future coordination depends on their expressed policy and assumed leadership. Besides the governments, there are other major actors, which may have overriding responsibilities in certain fields. In large-scale operations, it is essential to identify those that have the overall responsibilities or would like to assume such a leading role. For instance, the UNDP Representative has frequently been given the overall coordinating development responsibility, while UNHCR takes the lead concerning refugees and WHO what concerns immunization programmes. As for the major agencies and organizations, it is necessary to know the mandates of the various NGOs. In general, their activities encompass programs in democratisation, food support, health, rebuilding the infrastructure, and education. Some of the major NGOs may also have been given a leading role in one of the humanitarian assistance programs. The FO should always try to identify the various organizations responsibilities, capacity, and ability. Informal and formal coordination is a key mechanism in order to follow up the (security) situation, measure expected achievements, or to adjust plans in accordance with new directives and conditions. Although informal contacts provide useful information, it is obvious that without a formal coordination mechanism very little will be achieved. Formal coordination is set up in different levels. In the central level, the government (or United Nations) normally establishes one single coordination authority, which may be mandated as a

Lesson 9 / The Partners


commission, committee, or as an operation center, at which all the major actors of the mission are represented. This central authority should also be represented at the site level where similar coordination mechanism should be organized. The CIMIC concept, as previously described, is an example on a site level placed coordination mechanism. In addition, other informal or formal coordination entities, on a lower level, may also be set up. As a rule, coordination takes place at formal regular meetings where the progress of the operation is reviewed, giving the opportunity to identify incoming organizations in order to facilitate their integration and adoption of the missions objectives and standards. The FO must obtain information about newly arrived organizations and, in particular, if cooperation and/or coordination is required. What is their mandate, do they have sufficient capacity, the level of professional standard, how do they coordinate their activities with other organizations, and how can the FO assist and/or make best use of their ability in order to achieve the missions overall objectives, are some of the questions to be asked. The following information is either quoted from the described organizations web sites or from the United Nations Handbook of 2002. Sources are clearly indicated for each organization with the web address at the end of each organizations description.

9.2 UN Programmes and Funds

(Extracts from United Nations Handbook of 2002: the author has rephrased some of the extracts)

The Secretariat, as part of the United Nations Headquarters, has several departments and offices directly involved in field activities, including the entities concerned with humanitarian operations and development: The Department of Peacekeeping Operations DPKO DPKO is part of the Secretariat. In coordination with other substantial departments, it is responsible for planning, preparation and direction of the United Nations field operations. As such, it provides the overall guidance in terms of coordination and policy. It also assists in the provision of substantive services to the Security Council and the General Assembly. Office of the Coordinator of Humanitarian Assistance OCHA OCHA is also part of the Secretariat. The Offices functions are focused on three core areas: (a) policy development and coordination functions in support of the Secretary-General, ensuring that all humanitarian issues, including those which fall between gaps in existing mandates of agencies, such as protection and assistance for internally displaced persons, are addressed; (b) advocacy of humanitarian issues with political organs, notably the Security Council; and (c) coordination of humanitarian emergency response, by ensuring that an appropriate response mechanism is established, through Inter-Agency Standing Committee (IASC) consultations on the ground. OCHA discharges its coordination function primarily through the IASC, which is chaired by the Emergency Relief Coordinator (ERC), with the participation of all humanitarian partners, including the Red Cross Movement and NGOs. IASC ensures inter-agency decision-making in response to complex emergencies, including needs assessments, consolidated appeals, field coordination arrangements and the development of humanitarian policies. The Headquarters staff is located in New York and Geneva. Internet: www.reliefweb.int/ocha

Lesson 9 / The Partners


The United Nations Disaster Assessment and Coordination UNDAC UNDAC team is a stand-by team of disaster management professionals who are nominated and funded by member governments, OCHA, UNDP, and operational humanitarian United Nations Agencies such as WFP, UNICEF, and WHO. Upon request of a disaster-stricken country, the UNDAC team can be deployed within hours to carry out rapid assessment of priority needs and to support national Authorities and the United Nations Resident Coordinator to coordinate international relief on-site. Members of the UNDAC team are permanently on stand-by to deploy to relief missions following disasters and humanitarian emergencies anywhere in the world. The UNDAC team is responsible for providing first-hand information on the disaster situation and priority needs of the victims to the international community through OCHA. Internet: www.reliefweb.int/undac United Nations Office for Project Service UNOPS UNOPS provides services for the management of multidisciplinary programmes that do not fall within the purview of any UN specialized agency. In the area of democratisation and governance, UNOPS is providing services valued at more than US$100 million for over 300 projects and programmes funded by UNDP, UN system agencies, and other multilateral and bilateral partners. UNOPS offers the international community a broad range of services, from overall project management to the provision of single inputs. In responding flexibly to its clients' demands, UNOPS tailors its services to their particular needs, applies methods for attaining cost-effective results, and mobilizes diverse implementing partners. Headquarters are located in New York, as well as other offices located in Abidjan, Kuala Lumpur, San Salvador, Copenhagen, Geneva, Nairobi, Rome and Tokyo. Internet: www.unops.org United Nations Childrens Fund UNICEF Established to provide emergency assistance to children in war-ravaged countries. UNICEF is also in charge of aiding the developing countries and the development of permanent child health and welfare services. The organization is also mandated to advocate for the protection of childrens right to help meet their basic needs and to expand their opportunities to reach their full potential. UNICEF reports to the general assembly through the ECOSOC. The resources come from voluntary contribution and were $968 million as of 1999. The Headquarters is located in New York. Internet: www.unicef.org United Nations Development Programme UNDP UNDP administers and coordinates most of the technical assistance provided through the UN system. The mission is to help countries in their effort to achieve sustainable human development by assisting them to build their capacity to design and carry out development programmes in poverty eradication, employment creation and sustainable livelihoods, the empowerment of women and the protection and generation of the environment, giving first priority to poverty eradication. Special attention is paid to the needs of the least developed countries. The resources come primarily from voluntary contribution. In 1998, UNDP established an annual target of $1.1 billion in core resources through co-financing arrangements, including cost-sharing and trust fund contributions that for 1998 were actually $1.5 billion. The Headquarters is located in New York. Internet: www.undp.org

Lesson 9 / The Partners


United Nations Environment Programme UNEP The mission of UNEP is to provide leadership and encourage partnership in caring for the environment by inspiring, informing, and enabling nations and people to improve their quality of life without compromising that of future generations. The UNEP shall also be the leading global environmental authority that sets the global environmental agenda, promotes the coherent implementation of the environmental dimension of sustainable development within the UN system, and serves as an authoritative advocate for the global environment. The governing Council reports to the General assembly through ECOSOC. The Headquarters is in Nairobi. Internet: www.unep.org United Nations International Drug Control Programme UNDCP UNDCP serves as the worldwide center of expertise and information on international drug control and as the focal point of promoting the observance of the United Nations Decade against Drug Abuse. UNDCP is an integral part of the Office for Drug Control and Crime Prevention together with the Center for International Crime Prevention. Their Headquarters is in Vienna. Internet: www.odccp.org United Nations Population Fund UNFPA UNFPA provides assistance in the field of populations of developing countries, countries with economies in transition and other countries, at their request, to help them address reproductive health and population issues, as well as raise awareness of these issues in all countries. The three main areas are: to help ensure universal access to reproductive health, including family planning and sexual health; to support population and development strategies that enable capacity-building in population programming; and to promote awareness of population and development issues. The UNFPA Headquarters is in New York. Internet: www.unfpa.org World Food Programme WFP WFP is the food aid organization of the UN system. The WFP not only provides food aid primarily to low income, food-deficit countries, but also assists in the implementation of economic and social development projects and meet the relief needs of victims of natural and other disasters. The programme also administers the International emergency food reserve with a minimum target of 500,000 tons of cereals. The Board reports to ECOSOC and the FAO Council. All contributions are on voluntary basis. The WFP Headquarters is in Rome. Internet: www.wfp.org Office of the United Nations High Commissioner for Human Rights OHCHR The Office is to promote and protect the effective enjoyment by all of all civil, cultural, economic, political, and social rights, including the right to development. The High Commissioner also functions as the UN official with responsibility for UN human rights activities. He or she acts under the direction of the Secretary-General and within the framework of the overall competence, authority and decisions of the general assembly, ECOSOC and the Commission of Human Rights. Their Office is in Geneva. Internet: www.ohchr.org

Lesson 9 / The Partners


Office of the United Nations High Commissioner for Refugees UNHCR The work of the UNHCR is humanitarian and non-political. Its principal functions are to provide international protection to refugees, seek durable solutions to their plight, and furnish them with material assistance. Protection involves preventing refoulement and forcibly seeking durable solutions to refugees problems. UNHCR attempts to help those who wish to go home and tries to assist them to reintegrate into their home communities. Where this is not feasible, it works to help them in countries of asylum or, failing that, to resettle them in other countries. Material assistance is provided in the form of food, shelter, medical aid, education, and other social services. UNHCR reports to the General Assembly through ECOSOC. Their Headquarters is in Geneva. Internet: www.unhcr.org United Nations Institute for Training and Research UNITAR The major objective of UNITAR is to enhance the effectiveness of the United Nations in achieving its major objectives, in particular the maintenance of international peace and security and the promotion of economic and social development. The institute is to provide training to persons, particularly from developing countries, for assignments with UN or specialized agencies and for assignments in their national services that are connected with the work of UN Headquarters in Geneva. The course you are reading is produced by the United Nations Institute for Training and Research Programme of Correspondence Instruction (UNITAR POCI). Internet: www.unitar.org and www.unitarpoci.org Military, Civil Defence and Logistics Section MCDLS MCDLS has two components: the Military and Civil Defence Unit (MCDU) and the Logistics Support Unit (LSU). MCDU was established by a decision of the IASC in 1995 to ensure the most efficient use of military and civil defence assets in support of humanitarian operations. The MCDU serves as the UN focal point for governments, international organizations, and military and civil defence establishments for the employment of these assets in humanitarian situations and coordinates their mobilization when needed. MCDU conducts the UN's CivilMilitary Coordination (UN-CMCoord) courses, and coordinates UN agency participation in major exercises with humanitarian scenarios. The unit also maintains the UN's Central Register a database of non-commercial governmental and other resources which may be available for humanitarian use. These resources include a wide range of equipment and supplies (food/shelter/water capabilities, transportation assets, medical care), expert teams, and disaster response contacts. LSU is responsible for the management of OCHA's stockpile of emergency relief items stored at the UN Humanitarian Response Depot (UNHRD) in Brindisi, Italy. These goods are basic non-food, non-medical disaster relief and survival items, donated by various governments, which can be immediately dispatched to affected areas. The OCHA stockpile includes such items as tents, blankets, water supply and purification equipment, and electricity-generating equipment. Internet: www.reliefweb.int/mcdls/index.html

Lesson 9 / The Partners


The United Nations Relief and Works Agency for Palestine Refugees in the Near East UNRWA The organization provides education, health, relief, and social services to 3.7 million registered Palestine refugees in Jordan, Lebanon, the Syrian Arab Republic, the West Bank, and the Gaza Strip. Since its establishment, the Agency has delivered its services both in times of relative calmness and open conflict. It has fed, housed, and clothed tens of thousands of fleeing refugees and at the same time educated and given health care to hundreds of thousands of young refugees. Internet: www.un.org/unrwa United Nations Staff College UNSC UNSC is the pre-eminent training and learning arm of the UN system of organizations which serves the system by being a leading catalyst for sharing knowledge and practice worldwide. The objectives are to promote high standards of leadership and management for the UN of the 21st century. The goal is to foster, through shared learning and developing key competencies, a cohesive and effective management system across the United Nations. All UN personnel are eligible to participate in Staff College training and learning programmes. Internet: www.itcilo.it/unscp.

9.3 UN Specialized Agencies International Labor Organization ILO ILO seeks to improve working and living conditions through the adoption of international labor conventions and recommendations setting minimum standards in such fields as wages, hours of work, conditions of employment, and social security. It also conducts research and technical cooperation activities, including vocational training and management development, with an aim to promote democracy and human rights, alleviate unemployment and poverty and protect working people. The ILO Headquarters is in Geneva. Internet: www.ilo.org Food and Agriculture Organization FAO The organization is established for the purpose of raising levels of nutrition and standards of living of the people under their respective jurisdictions; securing improvements in the efficiency of the production and distribution of all food and agriculture products; bettering the conditions of rural populations; and thus, contributing toward an expanding world economy and ensuring humanitys freedom from hunger. The Headquarters is in Rome. Internet: www.fao.org United Nations Educational, Scientific and Cultural Organization UNESCO The purpose of UNESCO is to contribute to peace and security by promoting collaboration among the nations through education, science, and culture in order to further universal respect for justice, the rule of law, and for the human rights and fundamental freedom which are affirmed for the people of the world, without distinction of race, sex, language, or religion. The Headquarters is in Paris. Internet: www.unesco.org

Lesson 9 / The Partners


World Health Organization WHO The main objective is the attainment by all people of the highest possible level of health as defined in the WHO Constitution as a state of complete physical, mental and social well-being and not merely the absence of diseases or infirmity. WHO also promotes conventions, agreements, regulations, and makes recommendations about international nomenclature of diseases, causes of death, and public health practices. It develops and promotes international standards concerning food and biological, pharmaceutical, and similar substances. The Headquarters is located in Geneva. Internet: www.who.ch

9.4 International Organizations with Member States European Union EU The European Union is built on an institutional system which is the only one of its kind in the world. The Member States delegate sovereignty for certain matters to independent institutions, which represent the interests of the Union as a whole, its member countries, and its citizens. The Commission traditionally upholds the interests of the Union as a whole, while each national government is represented within the Council, and the European Parliament is directly elected by citizens. Democracy and the rule of law are, therefore, the cornerstones of the structure. This institutional triangle is flanked by two other institutions: the Court of Justice and the Court of Auditors. A further five bodies make the system complete. Internet: www.europa.eu.int The Directorate General for Development/EU DG Development The directorate contributes to the formulation, by the Commissioner for Development and Humanitarian Aid, of the Communitys development cooperation policy for all developing countries and Overseas Countries and Territories (OCTs). In addition, DG Development directly manages and coordinates Community relations with the 71 African, Caribbean and Pacific states (ACP) and the 20 OCTs. In pursuing its mission, DG Development is closely co-operating with other Commission services, in particular the Humanitarian Aid Office (ECHO), the External Relations DG, and the Common Service for External Relations (SCR). The objective of Community development cooperation policy is to foster sustainable development designed to eradicate poverty in developing countries and to integrate them into the world economy. This can only be achieved by pursuing policies that promote the consolidation of democracy, the rule of law, good governance, and the respect for human rights. Putting equity at the center of its policies, the Directorate General for Development gives priority to defending the interests of the most disadvantaged developing countries and the poorest sections of the population in economically more advanced developing countries. Internet: www.europa.eu.int/comm/dgs/development/index_sv.htm Humanitarian Aid Office ECHO/EU The European Unions mandate to the European Union Humanitarian Office (ECHO) is to provide emergency assistance and relief to the victims of natural disasters or armed conflict outside the European Union. The aid is intended to go directly to those in distress, irrespective of race, religion, or political convictions. ECHOs task is to ensure goods and services get to crisis zones fast. Goods may include essential supplies, specific foodstuffs, medical equipment, medicines, and fuel. Services may include medical teams, water purification teams, and logistical support. Goods and services reach disaster areas via ECHO partners. Internet: www.europa.eu.int/comm/dgs/humanitarian_aid/index_en.htm

Lesson 9 / The Partners


Organisation for Economic Cooperation and Development OECD The OECD groups 29 member countries in an organisation that, most importantly, provides governments a setting in which to discuss, develop and perfect economic and social policy. They compare experiences; seek answers to common problems; and work to co-ordinate domestic and international policies that increasingly, in today's globalised world, must form a web of even practice across nations. Their exchanges may lead to agreements to act in a formal way - for example, by establishing legally-binding codes for free-flow of capital and services, agreements to crack down on bribery or to end subsidies for shipbuilding. But more often, their discussion makes for better-informed work within their own governments on the spectrum of public policy and clarifies the impact of national policies on the international community. And it offers a chance to reflect and exchange perspectives with other countries similar to their own. Internet: www.oecd.org Organization for Security and Cooperation in Europe OSCE The Organization for Security and Cooperation in Europe is a regional security organization whose 55 participating States are from Europe, Central Asia, and North America. The OSCE has been established as a primary instrument for early warning, conflict prevention, crisis management, and post-conflict rehabilitation under Chapter VIII of the Charter of the United Nations. The OSCE approach to security is comprehensive and co-operative. It addresses a wide range of security-related issues, including arms control, preventive diplomacy, confidence and security-building measures, human rights, election monitoring, and economic and environmental security. All OSCE participating States have equal status, and decisions are based on consensus. Internet: www.osce.org The International Organization for Migration IOM IOM is committed to the principle that humane and orderly migration benefits migrants and society. As an intergovernmental body, IOM acts with its partners in the international community to assist in meeting the operational challenges of migration, to advance understanding of migration issues, encourage social and economic development through migration and uphold the human dignity and well-being of migrants. IOM helps States and individuals to solve migration problems through three types of programmes: The Humanitarian Migration Programme provides migration assistance to persons fleeing conflict situations, to refugees being resettled in third countries or repatriated, to stranded individuals and unsuccessful asylum seekers returning home, to internally and externally displaced persons, to other persons compelled to leave their homelands, to individuals seeking to reunite with their families and to migrants involved in regular migration. The Migration for Development Programme provides skilled manpower to States, taking into account national development priorities as well as the needs and concerns of receiving communities, and fostering a reverse brain drain. The Technical Cooperation Programme offers advisory services on migration to governments, intergovernmental agencies, non-governmental organizations and others. Internet: www.iom.int

Lesson 9 / The Partners


World Trade Organization (WTO) The World Trade Organization (WTO) is the only global international organization dealing with the rules of trade between nations. At its heart are the WTO agreements, negotiated and signed by the bulk of the worlds trading nations and ratified in their parliaments. The goal is to help producers of goods and services, exporters, and importers conduct their business. The WTOs overriding objective is to help trade flow smoothly, freely, fairly, and predictably. It does this by: administering trade agreements; acting as a forum for trade negotiations; settling trade disputes; reviewing national trade policies; assisting developing countries in trade policy issues, through technical assistance and training programmes; and cooperating with other international organizations. The WTO has more than 130 members, accounting for over 90% of world trade. Over 30 others are negotiating membership. Decisions are made by the entire membership. This is typically by consensus. Internet: www.wto.org

9.5 Non-Governmental International Organizations Amnesty International Amnesty International is a worldwide campaigning movement that works to promote all the human rights enshrined in the Universal Declaration of Human Rights and other international standards. In particular, Amnesty International campaigns to free all prisoners of conscience; ensure fair and prompt trials for political prisoners; abolish the death penalty, torture and other cruel treatment of prisoners; end political killings and disappearances; and oppose human rights abuses by opposition groups. Amnesty International has around a million members and supporters in 162 countries and territories. Activities range from public demonstrations to letter-writing, from human rights education to fundraising concerts, from individual appeals on a particular case, to global campaigns on a particular issue. Amnesty International is impartial and independent of any government, political persuasion or religious creed. Amnesty International is financed largely by subscriptions and donations from its worldwide membership. Its headquarters is located in London. Internet: www.amnesty.org The International Committee of the Red Cross ICRC The ICRC's mission: The International Committee of the Red Cross (ICRC) is an impartial, neutral, and independent organization whose exclusively humanitarian mission is to protect the lives and dignity of victims of war and internal violence and to provide them with assistance. It directs and coordinates the international relief activities conducted by the Movement in situations of conflict. It also endeavours to prevent suffering by promoting and strengthening humanitarian law and universal humanitarian principles. Established in 1863, the ICRC is at the origin of the International Red Cross and Red Crescent Movement. The ICRC is a product of private initiative. Through the many tasks assigned to it by the Geneva Conventions and the Additional Protocols, however, it has acquired international stature. The tasks in question concern the protection of war victims. Its mandate enables it to take up issues with States and parties to conflict by opening delegations and dispatching

Lesson 9 / The Partners


delegates. The dialogue that the ICRC maintains with authorities exercising control over war victims in no way affects the status of those authorities and cannot be interpreted as a form of recognition. The international dimension of the ICRC is confirmed by the headquarters agreements it has concluded with more than 50 States. These agreements, which are subject to international law, specify the ICRC's legal status on the territory of States in which it exercises its humanitarian activities. They recognize it as an international legal entity and grant it the privileges and immunities normally enjoyed by intergovernmental organizations. These include immunity from legal process, which protects it from administrative and judicial proceedings, and inviolability of its premises, archives and other documents. ICRC delegates enjoy a status similar to that of officials of intergovernmental organizations. Such privileges and immunities are indispensable for the ICRC because they guarantee two conditions essential to its action, namely neutrality and independence. Being nongovernmental by nature and membership, it stands apart from both the United Nations system and other non-governmental humanitarian organizations (NGOs). On 19 March 1993 the ICRC signed a headquarters agreement with Switzerland which recognizes the institution's international legal personality and confirms its independence vis-vis the Swiss authorities. Internet: www.icrc.org The International Federation of the Red Cross and Red Crescent Societies IFRC IFRC is an international humanitarian organization with a unique worldwide network. The IFRC exists to improve the situation of the world's most vulnerable people. It provides assistance without discrimination as to nationality, race, religious beliefs, class, or political opinions. The IFRC, founded in 1919, has a presence in almost every country in the world today through its national Red Cross and Red Crescent societies. The Federation provides humanitarian relief to people affected by disasters or other emergencies and development assistance to empower vulnerable people to become more self-sufficient. The IFRC's strength lies in the global network of National Societies with its delegations strategically located to support Red Cross and Red Crescent activities in various regions. Internet: www.ifrc.org

Lesson 9 / The Partners


9.6 International Governmental Organizations Several countries have international development agencies, which promote development and provide assistance to developing countries. Most often the areas of the agencies committed to internationally agreed objectives such as e.g. reduce the proportion of people living in extreme poverty and/or ensuring health care and/or access primary education. The agencies work in cooperation with other governments and multilateral institutions with similar objectives, with the civil societies, academic communities and with appropriate nongovernmental organizations. There are a number of these agencies around the globe representing many different nations. While not all of the IGOs will be discussed in detail here, one can serve as a typical example of those generally found in the developed countries. International IDEA Created in 1995, the International Institute for Democracy and Electoral Assistance (IDEA) is an intergovernmental organization that seeks to nurture and support sustainable democracy world-wide. Global in membership and independent of specific national interests, IDEA works with both new and long-established democracies, helping to develop the institutions and culture of democracy. It operates at international, regional and national level, working in partnership with a range of institutions. Internet: www.idea.int Swiss Humanitarian Aid Unit SHA SHA (former Swiss Disaster Relief Unit) is a militia corps with a pool of at least 700 people ready for duty and who are divided up into professional groups according to their knowledge and abilities. The SHA is one of the Swiss government's humanitarian aid instruments which is available for direct actions and supports international organizations with its specialists ("secondment"). Internet: www.deza.ch/index.php?navID=21070&langID=1 US AID US AID is the principal U.S. agency to extend assistance to countries recovering from disaster, trying to escape poverty, and engaging in democratic reforms. It is an independent federal government agency that receives overall foreign policy guidance from the Secretary of State. The agency works in six principal areas crucial to achieving both sustainable development and advancing U.S. foreign policy objectives: economic growth and agricultural development; population, health and nutrition; environment; democracy and governance; education and training; and humanitarian assistance. US AID provides assistance in four regions of the world: Sub-Saharan Africa; Asia and the Near East; Latin America and the Caribbean; and Europe and Eurasia. With headquarters in Washington, D.C., US AID's strength is its field offices around the world. They work in close partnership with private voluntary organizations, indigenous organizations, universities, American businesses, international agencies, other governments, and other U.S. Government agencies. US AID has working relationships with more that 3,500 American companies and over 300 U.S.-based private voluntary organizations. Internet: www.usaid.gov

Lesson 9 / The Partners


Other organizations with similar structures and objectives are: Australia (AUSAID): www.ausaid.gov.au Canada (CIDA/ACDI): www.acdi-cida.gc.ca/index.htm Caribbean (CDERA): www.cdera.org Denmark (DANIDA): www.um.dk/danida Finland (Finnida): http://global.finland.fi France (AfD): www.afd.fr Germany (GTZ): www.gtz.de Iceland: http://brunnur.stjr.is/interpro/utanr/thssi.nsf/pages/iceida Japan (JICA): www.jica.go.jp Nederlnderna (DGIS): www.minbuza.nl Norway (NORAD): www.norad.no Sweden (Sida): www.sida.org Switzerland (CDC): www.deza.ch United Kingdom (DFID): www.dfid.gov.uk

9.7 Non-Governmental Organizations More than 1,500 non-governmental organizations have consultative status with the United Nations (ECOSOC). Save the Children Fund (Extracts from Homepage) Save the Children was founded on 19th May 1919. Working in over 100 countries across the globe and comprising 29 organizations, Save the Children is the largest independent movement for children. Save the Children's programmes bring relief to millions of children and deliver immediate but sustainable results. They are enormously well respected and are often followed as examples by other development organizations. Internet: www.savethechildren.net Lutheran World Federation LWF The Lutheran World Federation (LWF) is a global communion of Christian churches in the Lutheran tradition. Founded in 1947, the LWF now has 131 member churches in 72 countries representing 59.5 million of the world's 63 million Lutherans. The location of the LWF secretariat in the Ecumenical Center in Geneva, Switzerland, facilitates close cooperation with the World Council of Churches, other Christian World Communions as well as international secular organizations. The LWF acts on behalf of its member churches in areas of common interest such as ecumenical relations, theology, humanitarian assistance, human rights, communication, and the various aspects of mission and development work. Internet: www.lutheranworld.org Catholic Relief Service CRS (Extracts from Homepage) The Catholic Bishops of the United States, in order to assist the poor and disadvantaged outside the country founded Catholic Relief Services in 1943. Catholic Relief Services gives assistance based on need, regardless of creed, race, or nationality to people in more than 80 countries around the world. The core of their work is to honour the dignity of the human person, and to work for a world in which all flourish in accordance with that dignity. The headquarters is located in Baltimore. Internet: www.catholicrelief.org

Lesson 9 / The Partners


Mdecins Sans Frontires MSF Doctors Without Borders, also known as Mdecins Sans Frontires (MSF), is the world's largest independent international medical relief agency aiding victims of armed conflict, epidemics, and natural and man-made disasters, and others who lack health care due to geographic remoteness or ethnic marginalization. The organization operates independently of all governments, institutions, political, economic, or religious influences. It depends on volunteer health professionals in fulfilling its mission. Largely supported by private donors, the organization is able to maintain great flexibility and total independence in its choice of operations. Doctors Without Borders was established in 1971 by a group of physicians determined to offer emergency assistance wherever wars and man-made disasters occur. Its guiding principles are laid down in a charter to which all members of the organization subscribe. In accordance with universal medical ethics and the right to humanitarian assistance, Doctors Without Borders observes strict impartiality and demands full and unhindered freedom in performing its functions. Doctors Without Borders has a wide range of expertise and proven techniques and strategies of intervention. The organization is able to effectively pool the logistics and human resources necessary to provide rapid and efficient aid. When medical assistance is not enough to save lives, Doctors Without Borders will speak out against human rights abuses and violations of humanitarian law that its teams witness in the course of providing medical relief. Doctors Without Borders is an international organization, with offices in 18 countries. It sends more than 2,000 volunteers, of more than 45 nationalities, to some 80 countries annually. Internet: www.doctorswithoutborders.org Cooperative for Assistanse and Relief Everywhere CARE (Extracts from the Homepage) CARE is one of the world's largest private non-profit international relief and development organizations. Founded in the aftermath of World War II, CARE has become a leader in sustainable development and emergency aid, reaching tens of millions of people each year in more than 60 countries in Africa, Asia, Europe, and Latin America. CARE reaches out to people whose lives are devastated by humanitarian emergencies, or who are struggling each day in poor communities to survive and improve their lives. The organization focuses its approach on the family and community levels. This means that every family should have: food; health care; a place to live; education; a safe and healthy environment; and the ability to participate in decisions affecting their family, community and country. CARE's programmes seek to help poor families obtain this security. The CARE International Secretariat, located in Brussels, Belgium, is the central hub of the CARE family. The Secretariat coordinates the efforts of 10 national members in North America, Europe, Japan and Australia. Internet: www.care.org Oxfam (Extracts from Oxfam Homepage) Oxfam International, founded in 1995, is an international group of 11 autonomous nongovernment organizations. Member organizations are of diverse cultures, history, and language, but share the commitment of working for an end to the waste and injustice of poverty, both in longer-term development work and in times of urgent humanitarian need. The individual Oxfams work in different ways but have a common purpose: addressing the

Lesson 9 / The Partners


structural causes of poverty and related injustices. The Oxfams work primarily through local organizations in more than 100 countries. The Oxfam International Secretariat is a small team of staff, which coordinates communication and cooperation between 11 members from its base in Oxford, UK. The Washington Advocacy Office, set up in 1995 with a staff of four, lobbies the World Bank, the International Monetary Fund, and the United Nations on issues agreed on by the 11 members. Internet: www.oxfam.org Caritas (Extracts From Caritas Homepage) Caritas Internationalis is an international confederation of Catholic organizations, mandated by their respective Episcopal conferences. All Member Organizations seek to contribute to the socio-pastoral mission of the Church through the spreading of solidarity and social justice. This is done without regard to creed, race, gender, or ethnicity. Within this context, Caritas Internationalis commits itself to: Provide a forum for dialogue and exchange among member organizations to share ideas, learn from each other and support each others efforts; Help member organizations build their own capacity in order to serve the poor and marginalized more effectively; Act as a voice or advocate for the cause of the poor and enabling the poor to be their own advocates; Facilitate cooperation within and beyond the Caritas Confederation. Internet: www.caritas.org InterAction InterAction, a membership association of US private voluntary organizations, exists to enhance the effectiveness and professional capacities of its members engaged in international humanitarian efforts. Further, InterAction exists to foster partnership, collaboration, leadership and the power of this community to speak as one voice as it strives to achieve a world of self-reliance, justice and peace. To realize this mission, InterAction works to enhance the identity, autonomy, credibility and diverse perspectives of each member agency, provides a broad based, participatory forum for professional consultation, coordination and concerted action and fosters the effectiveness and recognition of the community both, professionally and publicly. In addition, it sets a standard of the highest ethics in carrying out the mission. InterAction is committed to advocating and fostering human dignity and development. It strives for world justice through programmes of economic and social development, relief and reconstruction and tries to ameliorate the plight of refugees and migrants through relief, protection, settlement in place, voluntary repatriation or settlement in a third country. Its final aim is to help people to help themselves. Internet: www.interaction.org

Lesson 9 / The Partners


Learning Questions Knowledge What is the role of OCHA? What is the role of UNDP? Which two organizations are assumed to have the major responsibilities for children? Which organization has the major responsibility in providing international protection to refugees? Which organization is mainly dealing with international humanitarian law? Who is the UN official with responsibility for human rights? What is the WTO and what is the main purpose of the organization? What have CARE, Oxfam and Caritas in common?

Awareness What is your opinion on the relationship between IFRC and ICRC? What are the distinctions between the two major organizations dealing with children? What, in your opinion, are the interests in common for the non-governmental organizations mentioned in this lesson? How do you identify an international organization? How do you identify any non-governmental organizations?

Applications You are asked to make a presentation on the ICRC. Although you are well aware of the mandates and structures of the organization, you would like to be more specific concerning the organizations unique position in the international community. What are the points you would like to emphasize?

Lesson 9 / The Partners



1. The term International Organizations as commonly defined and accepted refers to: a. Organizations founded by other international organizations; b. Organizations which are part of the international system; c. Organizations that require a framework of cooperation and where these organizations are the foundation of the international system; d. Organizations founded by citizens.

2. Which one of the following provides services for the management of multidisciplinary programmes that do not fall within the purview of any UN specialized agency? a. UNDP; b. UNEP; c. UNOPS; d. UNDCP.

3. UNFPA provides: a. Leadership in the field of populations of developing counties; b. Assistance in the field of food and agriculture of developing countries; c. Assistance in the field of populations of the developing countries; d. Service as an authority on the global population agenda.

4. The task of UNDP is to: a. Help countries in their effort to achieve sustainable human development; b. Assist in the implementation of economic and social development; c. Provide governments a setting in which to discuss, develop, and perfect economic and social policy; d. All of the above.

5. The pre-eminent learning arm of the UN system of organizations is: a. UNSC; b. UNITAR; c. ILO; d. UNESCO. 6. The leading agency/organization concerning refugees is: a. UNHCR; b. ICRC; c. UNICEF; d. OHCHR.

Lesson 9 / The Partners


7. UNICEF stands for: a. United Nations Childrens Fund; b. United Nations International Childrens Funds; c. United Nations Childrens Emergency Funds; d. United Nations Childrens International Fund.

8. Which statement applies to the role of the WTO? a. Acting as one of the forums for trade organizations; b. WTO has more than 90 members accounting for over 30 % of world trade; c. WTO is the only international organization dealing with the rules of trade between nations; d. All of the above.

9. Which of the following is a non-governmental organization? a. UNICEF; b. Save the Children Fund; c. US AID; d. ICRC.

10. Which organization stands apart from both the UN system and other non-governmental humanitarian organizations? a. MSF; b. CRS; c. ICRC; d. WHO.

Lesson 9 / The Partners





Organizations that require a framework of cooperation and where these organizations are the foundation of the international system UNOPS Assistance in the field of populations of the developing countries Help countries in their effort to achieve sustainable human development UNSC UNHCR United Nations Childrens Fund WTO is the only international organization dealing with the rules of trade between nations Save the Children Fund ICRC

2. 3. 4. 5. 6. 7. 8.

c. c. a. a. a. a. c.

9. 10.

b. c.

Lesson 9 / The Partners


This page intentionally left blank.

End-of-Course Examination


End-of-Course Examination
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 UNITAR course.

Read each question carefully and Follow the provided instructions to submit your exam for scoring.

End-of-Course Examination



The End-of-Course Examination Answer Sheet is designed to: 1. Formally record your answers to the questions of the Final Examination; and 2. Provide instructions for answer submission.

Format of Questions There are 50 questions. The answer sheet has numbered blocks, and each block corresponds to a similarly numbered question on the End-of-Course Examination. First, read a question through carefully. Then, mark your answer on the answer sheet with the number corresponding to the number of each question. Throughout the examination, check that the question number and answer sheet number is the same. Exam questions generally give you a choice of answers, marked as A, B, C, or D. Choose only one response and mark only one choice on your answer sheet. If you mark more than one answer for a question, it will be graded as incorrect. Use a Dark Pencil Mark your response on the Answer Sheet using a dark lead pencil. 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. If you pass, you will receive a letter indicating your score along with your signed Certificate-of-Completion. If your score is less than 75%, you will be sent a letter indicating that you have received a failing grade. At that time, you will be provided with an alternate version of the End-ofCourse Examination, which you may complete when you feel you are ready. If you pass the second version of the examination, a grade report and a Certificate-of-Completion will be awarded to you. If you fail the second time, you will be informed and dis-enrolled from the course.


End-of-Course Examination


This page intentionally left blank.


Mr. Christian Hrleman (Lieutenant Colonel, Rtd.) serves as an international consultant in the fields of peace, security and development in Latin America, Central Europe and Africa in general. He has served as an Adviser to the Guatemalan Ministry of Foreign Affairs in the development of the Guatemalan Institute for Peace and Development (GIPD) and in 1996-97 he served in similar capacity to the Ethiopian Ministry of Foreign Affairs in the establishment of the Ethiopian International Institute for Peace and Development (EIIPD). In the same capacity he has worked (1996) in the Caribbean and in El Salvador. He is currently involved in projects concerning the establishment of a Peace Monitoring system in Central America and in the development of a research programme regarding Early Warning for Southern Africa. On behalf of the United Nations Institute for Training and Research Programme of Correspondence Instruction (UNITAR POCI), Hrleman has recently written a course about the United Nations System. Mr. Hrleman is a Senior Special Fellow at the United Nations Institute for Training and Research, Geneva; Senior Fellow of the Pearson Peacekeeping Centre, Nova Scotia; Board Member of the Transnational Foundation for Peace and Future Research, Sweden; and Senior Associate to Instituto de Relaciones Internacionales y de Investigaciones para la Paz, Guatemala City and to the Institute of World Affairs, Washington, DC. Hrleman is one of the Founding Members (Asamblea de Fundadores) of GIPD and Member of the Board (Consejo de Direccin). Since 2000 Hrleman is a working Board Member of JOSAB International AB, Sweden. Hrleman was commissioned in 1963 as an officer at the Royal Life Guard in Sweden and left the Army in 1989. He graduated from the Swedish Military Staff College, holds degrees in International Relations and in International Humanitarian Law from Stockholm University and in Emergency Management from the University of Wisconsin (US). ------------------------------------------For three years, from July 1992 to July 1995, he was Senior Training Adviser and later the Chief of the Training Unit in the Department of Peacekeeping Operations, United Nations, New York, the first such programme in the United Nations. During this period he developed and implemented the United Nations training policy, including global training programmes, international seminars and workshops, a core group of international peacekeeping trainers (United Nations Training Assistance Teams UNTAT) et al. From 1989 to July 1992 Hrleman served in New York, first in his capacity of Director of Peace-keeping Programmes at the International Peace Academy; subsequently, he established and organized the Training Programmes for Peacekeeping and Election Assistance for the United Nations Institute for Training and Research (UNITAR/NY). During that time he also developed a series of six videos and guides for UNITAR dealing with conflicts, peacekeeping in general, training for peacekeeping and election in particular. Hrleman has participated in a large number of field operations in the areas of peacekeeping, election monitoring and disaster relief in Africa, Europe, Asia, the Middle East and South America. He has published several articles on the subjects related to peacekeeping and peacemaking.