Center for International Peace Operations

Planning and Deployment of UN

Peacekeeping Operations
- Interactive Guide -

ZIF Berlin, June 2008

UN Photo, Monuc

UN Photo/Marc Garten

UN Photo

Introduction
This presentation covers the planning process of a peacekeeping
operation at UN Headquarters from its initiation to the deployment
of the mission. It draws on the official Guidelines and Principles for
UN peacekeeping operations as well as on other sources.
By mouse-clicking the process evolves gradually, providing
information on every step of the planning process. A functional
distinction is made between
(dark
decision-making
administrative bodies
blue) and (light bodies
blue).
For more information on the different UN bodies, please click on the
i-buttons located in the right-hand corner of each box.
Integrated hyperlinks will lead you to the relevant UN websites. By
clicking on the buttons
located at the bottom of each slide you
can jump forward or backward between different phases of the
planning process.
Planning a UN peacekeeping operation is a dynamic and non-linear
process which depends on many different factors, such as the
urgency of deployment and the size, scope, and aim of the mission as
determined by the Security Council. Therefore, please note that the
planning process presented hereafter is simplified. Certain steps which
appear to be sequential may actually occur simultaneously or in a
different order, while others may be left out on a case-by-case basis.
Notwithstanding, each mission is based on certain indispensable
key documents, such as the Concept of Operations (CONOPS) and
the Security Council Resolution
containing the missions mandate.
UN Photo/John Isaac

UN
Photo/Martine
Perret
UN
Photo/Logan
Abassi
UN
UN
Photo/John
Photo
Isaac

The UN Secretariat has recently developed the so-called Integrated

Mission Planning Process (IMPP) in order to include all other
relevant UN bodies and external actors in the planning of multidimensional UN operations. The guiding principles of the IMPP concept
are described in more detail at the end of this presentation.
Bastian Richter, ZIF

Click to continue

Overview Key actors involved in setting up a UN operation

Troop Contributing
Countries (TCC)

Parties to the Conflict

5th Committee
ACABQ
Authorizes
operational
budget of a
Budgetary
mission

oversight by the
General
Assembly

Finally, the involvement

of
Member
states
the main parties to the
willing to
conflict is essential incontribute
the
troops
political process preceding
and/or police to a
and accompanying the
UN operation
deployment a UN
peacekeeping operation. Click to continue
Click to continue

SECURITY COUNCIL

Click to continue
Reports and gives
recommendations

Department of
Department of
eacekeeping Operations Field Support
(DPKO)
(DFS)

Police Contributing
Countries (PCC)

UN Country Team
UN Agencies and Funds
(UNDP, UNHCR, WFP)
NGOs

UN bodies and
Tasks planning,
authorizesCentral
UN
NGOs working
decisionUN Secretariat
departments
operationsmaking body
in the field

Secretary-General

and offices involved in

planning and/or
Click
continue
Click
toto
continue
implementation of a multidimensional UN operation

Click to continue

UN Secretariat
Department of
Safety and Security
(DSS)

Department of
Political Affairs
(DPA)

Office for the

Coordination of
Humanitarian Affairs
(OCHA)

Information Realignment of the UN Secretariat in 2007

Parties to the Conflict

5th Committee

Troop Contributing
Countries (TCC)
Police Contributing
Countries (PCC)

ACABQ
Authorizes
operational
Upon
Budget
of a
2007
mission

UN Country Team

proposal of the Secretary-General Ban Ki-Moon (photo), in June

the General Assembly approved the restructuring of DPKO and UN Agencies & Funds
(UNDP, UNHCR, WFP)
the creation of a separate Department of Field Support (DFS).
The reform package aims at strengthening the UNs capacity to
NGOs
mount and sustain multi-dimensional peacekeeping operations. In
particular, commonly identified shortcomings in mission support such
planning,
as logistics, transportation, and recruitment Tasks
are to
be addressed by UN Photo/Mark Garten
authorizes UN
the realignment. 287 additional
posts in DPKO and DFS have been
Reports and gives operations
approved by the GA.
recommendations

SECURITY COUNCIL

A close interaction between DPKO

and DFS is maintained through:
Secretary-General
a joint Chief of Staff;
a joint Executive Office;
shared functional areas: conduct
and discipline, training, best
UN Secretariat
practices, evaluation;
Office for the
integrated
operational
teams;
Department
of
Department
of
Department of
Department of
Coordination
of
joint
DirectorsField
meetings;
eacekeeping
Operations
Support
Safety and Security
Political Affairs
Humanitarian Affairs
joint weekly town-hall
(DPKO)
(DFS)meetings.
(DSS)
(DPA)
(OCHA)

Start of the Mission Planning

Process

Secretary-General
The Secretary-General (supported
by his Secretariat) plays a critical
role in helping the Security
Council determine whether a UN
peacekeeping operation is the
most
appropriate
course of
The SG
may also initiate
action.
assessments of a crisis situation
and a possible UN involvement
without consulting the Security
Council beforehand.

SECURITY COUNCIL

It is the prerogative of the

Security Council to determine
when and where a United
Nations peacekeeping
operation should be deployed.

Stage 1
PreMandate
Planning

In case of a crisis, the

Secretary-General may
task his Secretariat to
develop a Strategic
Assessment of the
situation.

Secretary-General

SECURITY COUNCIL

The SG may also

seek consultations
with the Security
Council on the
possible options of
UN involvement.
DPKO
DFS
UN Secretariat
If a peace support
Secretary-General
operation is deemed a
suitable option for UN
engagement, DPKO
Based on
Note:
the planning
will beOCHA
designated as
The aimDPA
of the Strategic
assumptions set out in
the lead for
Assessment is to point
the Strategic
operational planning.
The implementation
of such a comprehensive
out possible
objectives
However, the
Assessment, the
strategic
assessment
involving
all
relevant
of a potential mission as
Secretary-General
Secretary-General
well
as actors
alternative
within is
the UN system is an integral
part
might
alsoof
conclude,
The decides
Strategic
onAssessment
the
options
and
strategies
for example,
DSS that a
the
new
Integrated Mission Planning
convened
by
the
strategic
objectives
for UN involvement.
DPA-led Special
Process
Peacebuilding
Support
and
form
of
UN (IMPP) and has only recently been
UN
Country
Team
Office
(PBSO).
It is usually
tested
for the first time, on Somalia. InPolitical
that Mission would
involvement.
UN Agencies
and Funds
be more appropriate.
led
by DPA,
while
the aother
context,
DPA-led strategic assessment
mission
(UNDP,
UNHCR,
WFP)
In this case, DPA will
relevant Secretariat
involving members of the DPKO, UNDP,take
OCHA,
the lead for
departments and offices
Member
States
Member
states
DSS, UNDG, OHCHR, UNPOS and the UNCT
was
further
planning.
further
contribute
to
the
The Strategic
Assessment
supportive of a possible
to the field in January 2008.
Otherdeployed
relevant UN
draft
document.
usually
also entails
a visit
UN operation usually
bodies
may further
by Secretariat
members
assist the Secretariat,
contribute
to the to
the field.
e.g. by providing field
assessment by
information.
providing specialized
information and

DPKO

Stage 1
PreMandate
Planning
Phase A
Strategic
Assessm
ent

DPKO

DFS

Stage 1

If the launch of an integrated

OCHA
mission is considered, an
Integrated
Mission
Task Force
In the case
of Somalia,
the Integrated
Mission
(IMTF) comprising
Task Forcerepresentatives
(IMTF) was inof
fact
set up first and was
all relevant UN
then, afterwards,
tasked
to conduct
entities will
be established
by the Strategic
Assessment.
It remains
be seen (OO)
which
DPKOs
Office ofto
Operations
will catch
on in the Integrated
asorder
the formal
headquarters-based
UN Country procedural
Team
DSS
planningProcess
and coordinating
Mission Planning
(IMPP). body at
Thelevel.
IMTF is responsible for
strategic
implementing the Integrated
Mission Planning Process (IMPP) for
the specific country and mission.
The IMTF will be composed of
UN Agencies and Funds
(UNDP, UNHCR, WFP)department,
World
Bank and
agency
andIMF
UNCT
participants who are empowered to
represent their respective offices in
the planning process.

DPA

Note:

IMTF
DPKO

PreMandate
Planning

Stage 1
DPKO

DFS

Meanwhile at the
level of operational
The findings of the
planning, DPKO and
TAM provide the
TAM
DFS begin to develop
basis for the
a draft Concept of
operational
Operations
planning.
The
operational
(CONOPS).
planning process
As aisfirst step, following an initial risk and
initiated with threat
a
assessment by the Department of
Planning Directive
Safety and Security (DSS) and DPKOs
issued by the Office
Under-of Military Affairs (OMA), a joint
Secretary-General
of
Technical
Assessment Mission (TAM)
the DPKO.
is
deployed.
The
TAM, led by the Office of Operations,
evaluates the situation in the field.
Among others, the TAM comprises
military, security, political, and logistics
experts from the different DPKO and DFS

PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)

simultaneous planning steps

Within DPKO

The preliminary
planning results are
forwarded to the
USG for approval.

USG
Stage 1

DPKO
Office of Operations

The regional division

in charge commences
to develop a Draft
Mission Plan.
Initiation of
recruitment planning
for mission leadership
& civilian staff (jointly
with Department of
Field
Support).
Meanwhile,
as the
coordinating office for
operational planning,
the OO leads
consultations with
key partners, such as
UN agencies and

DFS

Office of Rule of Law &

Office of Military Affairs
Security Institutions

Development of an
At Operational
this point,TAM
several
concurrent
planning
Estimate,
including a
steps
are
initiated
revised risks & in
DPKO
and assessment
DFS.
threats
and
possibleinformal
courses
Meanwhile,
of
action.
talks
with potential
Troop Contributing
Countries (TCCs) to
estimate potential
force
availability.
The Operational
Estimate is refined,
based on likely
availability of troops
and logistics and on a
thorough options

The findings of the

Commencement
of
TAM provide
the
planning
of the
police
basis
forof
the
and
Rule
Law
operational in the
components
planning.
future
operation.
Close
cooperation
with partners in
implementing RoL
projects (e.g. DDR
and SSR programs) in
the country, such as
UNDP, DPA, UNICEF,
Meanwhile, initiation
etc.
of talks with potential
Police Contributing
Countries (PCCs).

PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)

simultaneous planning steps

Within DPKO

The preliminary
planning results are
forwarded to the
USG for approval.

DPKO
USG
Stage 1
CONOPS

Office of Operations

Office of Rule of Law &

Office of Military Affairs
Security Institutions
The combined
planning results
form the draft
Concept of
Operations.

Within DFS

Meanwhile, DFSs
Field Budget and
Finance Division
works out the
draft Mission
Budget.
Field Budget and
Finance Division

DFS
Initiation of logistics
and transport
planning.
Logistics Support
Division

Recruitment of
mission leadership
personnel, such as
the SRSG/Head of
Mission, Force
Commander, Police
Commissioner, etc.
Senior Leadership
Appointment Section

PreMandate
Planning
Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)

DPKO
Stage 1
CONOPS

Based on the draft

CONOPS, DPKO and DFS
jointly issue a request
for a Pre-mandate
Commitment
Authority (PMCA).

PMCA

DFS
ACABQ

The request for

pre-mandate
commitment
authority is
considered by the
ACABQ.

PreMandate
Planning
A PMCA allows for the
financing of essential
pre-mandate tasks
necessary to set up the
mission, such as
the recruitment of
core personnel;
the deployment of an
advance team;
the establishment of
a mission HQ;
the initiation of
procurement with a
long lead time.

Phase B
draft
Concept
of
Operatio
ns
(CONOPS
)

Office of Operations

Secretary-General
This Report of the
Secretary-General is
based on the draft
CONOPS and builds on
the findings of the
Technical Assessment
Mission (TAM) as well as
the analysis of strategic
options.

At the same time,

The SG Report is usually
DPKOs Office of
presented by the USG of the
Operations prepares a
DPKO. Based on the reports
report to be presented
recommendations, the
by the SG to the Security
Security Council discusses
Council.
the available options for a UN
mission.

SECURITY COUNCIL
RESOLUTION

5th Committee
ACABQ

The Security Council

passes a resolution,
which authorizes the
operations deployment
andThe
determines
its size
budget and
andresources
mandate.of the
mission are then
subject to approval
by the 5th
Committee of the
General Assembly.

Stage 1
PreMandate
Planning
Phase C
Mandate
Preparati
on

RESOLUTION

Once the missions

budget has been
approved

DPKO
CONOPS

At this point, the

overall lead gradually
shifts over to the
Special Representative
of the SecretaryGeneral
asisthe
The SRSG
theHead
most
of
Mission.
senior UN official in
the host country. In an
integrated mission,
he/she is supported by
a triple-hatted
Deputy SRSG/
Resident Coordinator/
Humanitarian

SRSG
MIP

DPKO refines the

Concept of Operations
(if necessary),
according to the
provisions set forth in
the Security
Supported
by aCouncil
planning
resolution.
team at mission level, the
SRSG finalizes the
Mandate
Implementation Plan
(MIP),
which
is based
While the
CONOPS
wason
the
CONOPS.
drafted
at UN
Headquarters and
provides the general
framework for the
mission, the MIP is
prepared in the mission

Stage 2
Operation
al
Planning
Phase A
Mandate
Implementa
tion
Plan (MIP)

simultaneous planning steps

Within DFS

Field Budget and

Finance Division

Logistics Support
Division

The mission budget

is refined and
forwarded to
ACABQ/5th
Committee for final
approval.

Deployment
preparations, e.g.
contracting
transport,
transferring mission
assets, final
movement
planning, organizing
logistics and supply
on the ground.

Field Personnel Division

Recruitment of staff
and transfer to the
mission.

Operation
al
Planning

DFS

Meanwhile, several
final planning
procedures are
again conducted
concurrently
at UN
Within
DPKO
HQ.
Office of Rule of Law &
Office of Military Affairs
Security Institutions

DPKO

The Rules of
Engagement (RoE)
and further
guidelines
are
Force generation:
drafted.
visits to Troop
Contributing
Countries (TCCs),
nego-tiating
Memoranda of
Understanding

The Directives on
the Use of Force
(DUF) are drafted.
Force
generation: visits
to Police
Contributing
Countries (PCCs),
MoU negotiations;
movement

Stage 2

Office of Operations

The OO coordinates
and leads the final
deployment
preparations and
ensures compliance
with political
guidelines.

Phase B
Deploymen
t
Preparation

UN Secretariat
These documents serve
as the legal basis for the
As a final step, a
SOFA
missions relation with
Status of Forces
SOMA
the host nation, the SOFA
Agreement
covering the military
(SOFA) and a
component and the SOMA
Status of
the police/civilian
Mission
Deployment
of the Peacekeeping Operation:
component.
Agreement
Host Nation
SOFA and SOMA are
are
(SOMA)
once deployed, the authority in the field lies with negotiated
the SRSG and
andthe
signed
by
SOFA and SOMA
are
prepared by the
senior leadership team;
the
UN and the host
compre-hensive
Office of Legal
UN
the SRSG reports to the SG through the USG of the
DPKO;
nation
of thedealing
operation.
documents,
with
Affairs.
UN Headquarters provides political and strategic guidance and
all aspects concerning
operational support.
the mission, such as the
freedom of movement of
its members, jurisdiction
over the missions
personnel, the provision
of water, electricity and
In practice, agreeing on
other utilities, etc.
the SOFA and the SOMA is
one of the most critical
and sometimes
contentious issues
between the UN and the

Stage 3
Deployme
nt

Informati
on
INTEGRATED MISSION PLANNING PROCESS (IMPP)
An initiative to achieve UN System-wide coherence in mounting and running a peace operation.
Amid a growing complexity of multi-dimensional peacekeeping operations today, DPKO has recently
developed a new Integrated Mission Planning Process (IMPP). In its guidelines endorsed by the
Secretary-General the IMPP is defined as follows:
The IMPP does not aim to take over all other planning processes. It aims to ensure that
the right people are at the table, that the right issues are being considered, and that the
appropriate authorities and accountabilities are in place []. (IMPP Guidelines p. 3)
IMPP thus represents an overarching coordination and planning regime which seeks to comprise all
relevant actors, such as UN offices, agencies and funds (OCHA, UNDP, UNHCR, UNICEF, WFP, OHCHR,
etc.) as well as the World Bank and the IMF. An Integrated Mission can therefore be understood as a UN
System-wide response to a crisis.
For the IMPP to be implemented, an Integrated Mission Task Force (IMTF) comprising
representatives of all relevant UN entities will be established as the formal headquarters-based planning
body for a UN operation, as shown in this presentation. In addition, an Integrated Mission Planning
Team (IMPT) will be established as the country-based body responsible for strategic planning in the
integrated mission setting.
Once the concept is put into effect, all steps of the mission planning process are supposed to be
conducted in accordance with the guiding principles of the IMPP.
Background of the Integrated Missions Concept and the IMPP
A lack of coherence among field activities in the humanitarian relief, development, political and security spheres had
been acknowledged in a number of evaluation reports and studies on UN peacekeeping operations over the last decade.
As a consequence, a series of high-level panels and working groups worked out different coordination models, which
culminated in the development of the Integrated Missions Concept in 2004/2005. In order for the UN to implement this
concept and to enable its different entities in the field to deliver as one, the IMPP was developed (mainly) in 2006 and
2007. In all likelihood, it will be implemented in 2008, while being reviewed and refined.

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Current DPKO-led Field Operations

UNFICYP
UNMIK

(as of June 2008)

UNOMIG 1993-

1964-

UNAMA* 2002-

1999-

UNMOGIP 1949-

UNIFIL 1978UNDOF 1974UNTSO 1948-

UNMEE 2000UNAMID 2007MINUSTAH 2004-

UNMIT 2006-

MINURSO 1991UNIOSIL* 2006UNMIS 2005-

UNMIL 2003UNOCI 2004MINURCAT 2007-

The number indicates the year of

authorization by the Security
Council. Clicking on the tag will
open the missions website.
* political or peacebuilding mission

BINUB* 2007MONUC 1999-

Ludwigkirchplatz 3-4
10719 Berlin
Germany
Phone ++49 (0)30 520 05 65
0
Fax
++49 (0)30 520 05 65
90
www.zif-berlin.org
research@zif-berlin.org

Informati
on
SECURITY COUNCIL
It is the prerogative of the Security Council to determine when
and where a
UN peacekeeping operation should be deployed in order to restore and
safeguard the peace (UN Charter art. 24(1), art. 39).
The decision to deploy a UN peacekeeping operation requires a
minimum of nine votes from the Security Councils fifteen members,
including the votes of the five permanent members (art. 27). However,
the full backing of a mission by all Security Council members is
strongly desired.

UN Photo/Eskinder Debebe

When considering to establish a UN operation, the Security Council

usually takes into account, among others, the following factors:
whether a situation exists the continuation of which is likely to
constitute a threat to international peace and security;
whether a cease-fire exists and whether the parties have
committed themselves to a peace process intended to reach a
political settlement
(a peace to keep);
whether a precise mandate for a UN operation can be formulated;
and
whether the safety and security of UN personnel can be
reasonably ensured, including in particular whether reasonable
guarantees can be obtained from the principal parties or factions
regarding the safety and security of UN personnel.

Security Council website

Click to retur

Informati
on
GENERAL ASSEMBLY (GA)
5th Committee
responsible for administration and budgetary matters;
based on the 5th Committees reports, the GA considers and
approves the
UNs budget and financial and budgetary arrangements with
UN agencies;
each May, the 5th Committee holds a resumed session to deal
with
administrative aspects of UN peacekeeping and approves the
annual
peacekeeping budget;
it also considers urgent matters relating to the financing of a
peacekeeping mission authorized by the Security Council at
any of its sessions.

UN Photo/Paulo Filgueiras

General Assembly in session

5th Committee website

Advisory
Committee
on
Administrative
Budgetary Questions (ACABQ)

and

consists of 16 members appointed by the General Assembly;

examines and reports on the budget submitted by the
Secretary-General to the GA;
advises the GA on any administrative and budgetary matters
referred to it.
ACABQ website

UN Photo/Eskinder Debebe

ACABQ in session

Click to retur

Informati
on
Department of Peacekeeping Operations (DPKO)
Established 1992, currently led by Under-Secretary-General Jean-Marie Guhenno
Mandate:
planning, managing and deploying UN peacekeeping operations;
providing political & executive direction to UN peacekeeping operations on behalf of
the SG;
close cooperation with the Department of Field Support ;
support of other peace and security operations that are predominantly civilian
(political missions);
working closely with Department of Political Affairs;

UN Photo/Ryan Brow

USG Guhenno

Organizational chart
DPKO website
Executive Office

Office of Operations

Office of Military Affairs

Africa I Division

Current Military
Operations

Africa II Division

Military Planning
Service

Europe & Latin

America Division

Force Generation
Service

Asia & Middle

East Division

USG

Situation Center

Office of Rule of Law &

Security Institutions
Police Division
Criminal Law &
Judicial Advisory
Section

Policy, Evaluation and

Training Division
Peacekeeping
Best Practices
Integrated
Training Service

DDR Section
Mine Action
Service

Click to retur

Informati
on
Department of Political Affairs (DPA)
Established 1992 as the UN focal point for conflict prevention,
peacemaking, and
peacebuilding, led by Under-Secretary-General B. Lynn Pascoe.
Mandate:
monitoring and assessing global political developments;
advising the UN Secretary-General on actions to advance the
cause of peace;
providing support and guidance to UN peace envoys and political
missions in the field;
serving Member States through electoral assistance and through
the support of DPA staff to the work of the Security Council and
other UN bodies;
with regard to the planning of a peacekeeping operation, DPA
(along with the OHCHR) is in charge of the human rights
component of the potential mission.

UN Photo

USG Pascoe

DPA website

Click to retur

Informati
on
Department of Field Support (DFS)
Established 2007, led by Under-Secretary-General Susana Malcorra (reporting to the USG of the DPKO)
Mandate: Support peace operations in the areas of:
personnel (recruitment of high quality leadership and field staff; overseeing standards of conduct);
logistics (ensuring appropriate resources incl. materiel, direction, guidance and oversight);
communications & IT (ensuring reliable, responsive and continuous voice, data and video services);
budget and finance (providing financial support services, appropriate funding and responsible
stewardship of funds entrusted to UN peace operations);

UN Photo/WFP

USG Malcorra
Organizational chart
Executive Office

Field Personnel
Division
Field Personnel
Operations
Service
Field Personnel
Specialist
Support Service

Office of the UnderSecretary-General

Office of the ASG

Field Budget and

Finance Division
Budget and
Performance
Reporting
Service
MOU and Claims
Management
Section

Senior Leadership
Appointments
Section

Logistics Support
Division
Operational
Support Service
Specialist
Support Service

Conduct and
Discipline Unit

Communication and
IT Service
Operations
Section
Information
Systems Section

Transportation
and Movement
Service

Click to retur

Informati
on
Office for the Coordination of Humanitarian Affairs
(OCHA)
Established 1998, led by UN Emergency Relief Coordinator (ERC, with USG status) John Holmes
As a coordinating body, free fromday-to-day operational challenges, OCHA focuses on the full
spectrum
of issues associated with humanitarian assistance. This includesanticipating changes in
operational
environments and setting the agenda for common international humanitarian actions even
before crises
occur.

UN Photo

ERC Holmes

The functions of the ERC are focused in three core areas:

policy development and coordination functions in support of the Secretary-General, ensuring
that all humanitarian issues, including those which fall through gaps in existing mandates of
agencies such as protection and assistance for internally displaced persons, are addressed;
advocacy of humanitarian issues with political organs, notably the Security Council; and
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 carries out its coordination function primarily through the Inter-Agency Standing
Committee, which is chaired by the ERC.Participants include all humanitarian partners, from
UN agencies, funds and programs to the Red Cross Movement and NGOs.
OCHA website

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Informati
on
Department of Safety and Security (DSS)
DSS is headed since February 2005 by Under-Secretary-General David Veness.
The Department of Safety and Security is responsible for providing leadership,
operational support
and oversight of the security management system to enable the safest and most
efficient conduct
of the programs and activities of the UN System.

UN Photo

USG Veness

DSS website

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