United Nations

Department of Peacekeeping Operations

Department of Field Support
Ref. 2010.1

Guidelines

Mission Start-up Field Guide

Approved by: Alain Le Roy, USG DPKO and Susanna Malcorra, USG DFS
Effective date: 1 August 2010
Contact: PBPS/DPET/DPKO
Review date: 1 August 2012
 DPKO/DFS GUIDELINES
Mission Start-up Field Guide

Contents: A. Purpose
B. Scope
C. Rationale
D. Guidelines
E. Terms and definitions
F. References
G. Monitoring and compliance
H. Contact
I. History

ANNEXURES

Complete Mission Start-up Field Guide

A. PURPOSE

1. The purpose of the Mission Start-up Field Guide (Field Guide) is to provide mission
managers with an overview of critical managerial tasks and challenges that need to be
addressed during the start-up of multi-dimensional United Nations peacekeeping operations.

2. The Field Guide helps mission managers prioritize their numerous managerial
responsibilities and understand their individual contribution in relation to the roles and
responsibilities of other managers. It is not prescriptive but rather provides a ‘checklist’ or
basic reference tool to guide and track key start up tasks that need to be completed in the
various functional areas.

B. SCOPE

3. The Field Guide primarily provides guidance for the start-up of medium to large multi-
dimensional United Nations peacekeeping operations. This may include missions that are
transitioning from a non-United Nations-led peacekeeping operation to a United Nations-led
peacekeeping operation. The Field Guide may also be of use to staff involved in the start-up
of other types of missions, including traditional peacekeeping operations, special political
missions and missions involving non-United Nations peacekeeping partners.

4. While all field and headquarters staff should be aware of this Field Guide, it
particularly targets mission managers, starting from the Head of Mission/Special
Representative of the Secretary-General (HOM/SRSG) to section chiefs of functional areas.
The Field Guide may also serve as a valuable introduction for staff who are new to United
Nations peacekeeping operations as well as a consolidated aide memoire for more
experienced United Nations personnel.
5. The Field Guide is intended to serve as a support tool for trained professionals and is
not an expert reference for specialist functions. It provides guidance based on official
guidance, lessons learned and the experience of those who have launched previous UN
peacekeeping operations. Mission managers must apply sound judgment when applying this
guide to each unique and challenging mission environment.

C. RATIONALE

6. During recent surges in peacekeeping operations, DPKO and DFS have relied
mainly on experienced staff both in the field and at UN headquarters to steer through the
challenging start-up period. Yet, in the absence of any reference tools and with many staff
deployed to start-up missions being new to United Nations peacekeeping, much time is lost
during those critical months to establishing a modus operandi for even the most basic
mission tasks. The Field Guide aims to contribute to a more effective and efficient start-up
process, which in turn should allow for an accelerated mandate delivery.

7. The Field Guide is part of the Department of Peacekeeping Operation and

Department of Field Support’s doctrine priority projects for 2009 and 2010.

D. GUIDELINES

Executive Summary

8. The Field Guide defines the mission start-up process as the first in a three-phased
mission deployment process. Mission start-up is followed by the implementation phase, and
the transition phase, respectively. For the purpose of the Field Guide, the mission start-up
phase is further subdivided into three stages: advance deployment, mission headquarters
(MHQ) establishment and functional component and field office start-up. The pre-deployment
period, which precedes mission start-up and is led primarily by United Nations headquarters,
is covered only briefly in the Field Guide in as much as it extends into the mission start-up
process and as such requires that mission managers are aware of basic pre-deployment
responsibilities and challenges.

9. The multitude of mission start-up tasks that managers need to tackle to establish a
well-functioning mission throughout the mission’s area of responsibility is organized around
the three key managerial processes of planning, budgeting and recruitment. The aim of
every manager and the mission as a whole is to reach a stage of “initial operating capability”
(IOC). IOC refers to the point at which a mission has attained a sufficient level of resources
and capability to begin limited mandate implementation, significantly expand its presence
within the mission area and support its operational elements in the field. The Field Guide
provides a generic definition for an overall mission IOC. This is further broken down into
more detailed mission headquarters and function-specific IOCs to provide detailed guidelines
for the various sets of senior managers.

10. Start-up begins with the deployment of a small advance team, which is tasked with
establishing the basic infrastructure of the new mission and the receiving capacity for the
main body of staff. While the focus is on mission support tasks, the Field Guide does stress
that coordination with other UN actors such as the United Nations Country Team, the
Department of Safety and Security and liaison with government authorities are critical at this
early stage.
11. With the basic infrastructure established during the advance deployment stage, the
next critical step is the establishment of the initial operating capability for MHQ. This process
includes, in particular, establishing a functioning decision-making structure; management
support functions, such as budget and planning and information management; and
coordination arrangements with other United Nations partners, including the UNCT.

12. The remaining text of the Field Guide addresses individual functions and the
managerial tasks that need tackling during start-up, beginning with civilian leadership and
management, uniformed elements, field and liaison offices to support and
mandated/substantive functions.

13. For details, please see the entire text of the Field Guide in attachment.

E. TERMS AND DEFINITIONS

• Advance Deployment: deployment of a small number of mainly support staff (the

advance team) that undertake a number of administrative and logistical tasks to establish
the basic infrastructure and receiving capacity to allow for the deployment of the main
body of staff.

• Mission Start-up: The earliest in a three-phased mission deployment cycle. Mission

Start-up is subdivided into three stages: the advance deployment, mission headquarters
establishment and functional/component start-up. Mission start-up is followed by the
mandate implementation and transition phases.

• Initial Operating Capability: refers to the point at which a mission or functional

component has attained a sufficient level of resources and capability to begin limited
mandate implementation.

F. REFERENCES

14. United Nations Peacekeeping Operations: Principles and Guidelines (2008)

G. MONITORING AND COMPLIANCE

15. Individual DPKO/DFS offices are responsible for monitoring the implementation of
functional areas within their respective areas of responsibilities.

H. CONTACT

16. The contact for these guidelines is the Guidance Team in the Peacekeeping Best
Practices Section (DPET/DPKO).
 Mission Start-up
Field Guide

for Mission Managers

of United Nations
Peacekeeping Operations

United Nations
Department of Peacekeeping Operations
and Department of Field Support
August 2010
Peacekeeping Best Practices Section
Policy, Evaluation and Training Division
Department of Peacekeeping Operations
360 Madison Avenue
New York, NY 10017 USA
Fax: 1-917-367-5365
Email: [email protected]

Copyright © United Nations 2009

This publication enjoys copyright under Protocol 2 of the Universal Copyright Convention. Nevertheless, governmental
authorities of Member States may freely photocopy any part of this publication for exclusive use within their training institutes.
However, no portion of this publication may be reproduced for sale or mass publication without the express consent, in writing,
of the Peacekeeping Best Practices Section, United Nations Department of Peacekeeping Operations.

2
Table s
Table of Contents

Preface ...................................................................................................................................................................................6
1. Introduction to Mission Start-up.......................................................................................................................................7
1.1 The Mission Start-up Concept ...................................................................................................................................7
1.2 Initial Operating Capability........................................................................................................................................9
1.3 Full Operating Capability.........................................................................................................................................10
1.4 The Mission Start-up Experience.............................................................................................................................10

2. Pre-deployment .................................................................................................................................................................13
2.1 Levels of Authority, Command and Control............................................................................................................13
2.2 Pre-deployment Responsibilities..............................................................................................................................14
2.3 Deployment Considerations .....................................................................................................................................17

3. Advance Team Deployment .............................................................................................................................................18

3.1 Introduction..............................................................................................................................................................18
3.2 Deployment Planning for Advance Team Deployment ...........................................................................................18
3.3 Prerequisites for Advance Team Deployment......................................................................................................... 19
3.3.1 Establish Essential Supporting Relationships and Obtain Authorization .......................................................19
3.3.2 Install Critical Mission Infrastructure amd Logistics .....................................................................................20
3.3.3 Establish Essential Administrative Capacity..................................................................................................26

4. Establishment of the Mission Headquarters ..................................................................................................................29

4.1 Introduction..............................................................................................................................................................29
4.2 Mission Headquarters Initial Operating Capability..................................................................................................29
4.3 Mission Headquarters Management Structures and Support Systems .....................................................................32
4.3.1 Critical Decision-making Systems ..................................................................................................................32
4.3.2 Core Management, Planning and Resourcing System ....................................................................................34
4.3.3 Management Support Structures and Systems ...............................................................................................43
4.3.4 Relations with UNCT.....................................................................................................................................51

5. Civilian Leadership and Management Functions ..........................................................................................................53

5.1 Special Representative of the Secretary-General/Head of Mission (SRSG/HOM)..................................................53
5.2 Deputy Special Representative of the Secretary-General (DSRSG) ........................................................................55
5.3 Deputy Special Representative of the Secretary-General/Resident Coordinator/Humanitarian Coordinator
(DSRSG/RC/HC) .....................................................................................................................................................57
5.4 Director of Mission Support/Chief of Mission Support (DMS/CMS) .....................................................................60
5.5 Chief of Staff (COS) ................................................................................................................................................64
5.6 Legal Affairs ............................................................................................................................................................66
5.7 Safety and Security .................................................................................................................................................69
5.8 Conduct and Discipline ...........................................................................................................................................72
5.9 Joint Mission Analysis Centre (JMAC) ...................................................................................................................74
5.10 Joint Operations Centre (JOC) .................................................................................................................................76

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6. Military and Police Components ....................................................................................................................................78
6.1 Military Component.................................................................................................................................................78
6.2 Police Component ....................................................................................................................................................82

7. Field and Liaison Offices..................................................................................................................................................87

7.1 Field Offices (FOs) ..................................................................................................................................................87
7.2 Liaison Offices (LOs) ..............................................................................................................................................91

8. Mission Support Components..........................................................................................................................................93

8.1 Integrated Support Services (ISS) ............................................................................................................................93
8.2 Administrative Services ...........................................................................................................................................97
8.3 Movement Control (MOVCON)............................................................................................................................100
8.4 Transport................................................................................................................................................................103
8.5 Engineering ............................................................................................................................................................106
8.6 Joint Logistics Operations Centre (JLOC) .............................................................................................................109
8.7 Communication and Information Technology Service (CITS) ..............................................................................114
8.8 Aviation .................................................................................................................................................................118
8.9 Aviation Safety ......................................................................................................................................................122
8.10 Supply .................................................................................................................................................................124
8.11 Property Management ............................................................................................................................................127
8.12 Joint Geographic Information Service (JGIS)........................................................................................................129
8.13 Finance .................................................................................................................................................................132
8.14 Procurement ...........................................................................................................................................................134
8.15 Personnel................................................................................................................................................................139
8.16 Medical Services Section .......................................................................................................................................142
8.17 General Services ....................................................................................................................................................144
8.18 United Nations Volunteers (UNV) Programme .....................................................................................................146
8.19 Integrated Mission Training Cell (IMTC)..............................................................................................................150

9. Substantive Components................................................................................................................................................152
9.1 Political Affairs ......................................................................................................................................................152
9.2 Public Information .................................................................................................................................................154
9.3 Spokesperson .........................................................................................................................................................158
9.4 Civil Affairs ...........................................................................................................................................................160
9.5 Electoral Assistance ...............................................................................................................................................163
9.6 Human Rights ........................................................................................................................................................167
9.7 Justice.....................................................................................................................................................................170
9.8 Corrections.............................................................................................................................................................173
9.9 Security Sector Reform..........................................................................................................................................176
9.10 Mine Action ...........................................................................................................................................................179
9.11 Disarmament, Demobilization and Reintegration .................................................................................................181
9.12 Child Protection .....................................................................................................................................................183
9.13 Gender Advisory ....................................................................................................................................................185
9.14 HIV/AIDS ............................................................................................................................................................. 188

4
Appendix
Annex I Glossary ..........................................................................................................................................................190
Annex II Summary of Initial Operating Capability Indicators ......................................................................................194

List of Figures
Figure 1: Phases of Mission Deployment ..........................................................................................................................7
Figure 2: Concept of Mission Start-up ...............................................................................................................................9
Figure 3: Levels of Authority, Command and Control ....................................................................................................14
Figure 4: Planning/Pre-deployment Tasks .......................................................................................................................16
Figure 5: Mission Leadership Team ................................................................................................................................32
Figure 6: Scope of the Integrated Strategic Framework and Linkages with other Mandated Frameworks......................37
Figure 7: Budgeting a United Nations Peacekeeping Operation......................................................................................39
Figure 8: Workforce Planning, Field Mission Recruitment, Staff Selection and On-boarding........................................41
Figure 9: Standing Structures to Support Mission Integration .........................................................................................45
Figure 10: Common Integrated Mission Reports ...............................................................................................................46
Figure 11: Integrated Field Coordination for Multi-dimensional Peacekeeping Operations and UNCTs ........................51
Figure 12: DMS/CMS Service Responsibilities.................................................................................................................60
Figure 13: Establishing Field Offices.................................................................................................................................88
Figure 14: United Nations Field Mission Service Provisions ............................................................................................93
Figure 15: United Nations Field Mission Support Services ...............................................................................................97
Figure 16: Movement Control Reporting and Service Responsibilities...........................................................................100
Figure 17: Transport Reporting and Service Responsibilities..........................................................................................103
Figure 18: Engineering Reporting and Service Responsibilities......................................................................................106
Figure 19: JLOC Structures for Different Missions .........................................................................................................111
Figure 20: CITS Reporting and Service Responsibilities.................................................................................................114
Figure 21: Aviation Reporting and Service Responsibilities ...........................................................................................118
Figure 22: Aviation Safety Reporting and Service Responsibilities ................................................................................122
Figure 23: Supply Reporting and Service Responsibilities ..............................................................................................124
Figure 24: Property Management Reporting and Service Responsibilities......................................................................127
Figure 25: JGIS Reporting and Service Responsibilities .................................................................................................129
Figure 26: Finance Reporting and Service Responsibilities.............................................................................................132
Figure 27: Procurement Reporting and Service Responsibilities.....................................................................................134
Figure 28: Personnel Reporting and Service Responsibilities .........................................................................................139
Figure 29: Medical Services Reporting and Service Responsibilities..............................................................................142
Figure 30: General Services Reporting and Service Responsibilities ..............................................................................144

5
Preface

What is the Field Guide?

The Field Guide is a convenient support tool detailing the required critical tasks that mission managers should be aware of
during the start-up of a multidimensional United Nations peacekeeping operation. It assists mission managers to prioritize their
numerous managerial responsibilities during the start-up process and, by providing an overview of the entire start-up process,
ensures that managers understand their individual contribution in relation to the roles and pressures of other managers. The Field
Guide clarifies the role that United Nations Headquarters (UNHQ) in New York plays and enumerates the important
contributions that external partners may make during the start-up phase of peacekeeping missions.

It is important to note that each mission has a different mandate and context. Some challenges are common to missions during
start-up, while many are unique. Therefore, the Field Guide is neither prescriptive nor exhaustive. It offers guidance based on
lessons learned, good practices and the experience of those who have launched previous peacekeeping operations. Mission
managers should exercise good judgment in applying the guidance offered in the Field Guide to each unique and challenging
mission environment.

Who should use the Field Guide?

The Field Guide is intended for mission managers -- from the Special Representative of the Secretary-General (SRSG) to section
chiefs of functional areas -- who are responsible for establishing multidimensional United Nations peacekeeping operations. The
Field Guide provides a valuable introduction for staff who are new to United Nations peacekeeping operations as well as a
consolidated aide memoire for more experienced United Nations personnel. All staff involved in the planning and conduct of
United Nations peacekeeping operations will find the Field Guide informative and useful. The Field Guide is not intended as an
expert reference for specialist functions, as it is limited to encapsulating and providing an overview of the core tasks necessary
for the establishment of a mission during start-up.

What kinds of missions does the Field Guide cover?

The Field Guide primarily provides guidance for the start-up of medium to large multidimensional United Nations peacekeeping
operations. This may include missions that are transitioning from a non-United Nations-led peacekeeping operation to a United
Nations-led peacekeeping operation. The Field Guide may also be of use for staff involved in the start-up of other kinds of
missions, including traditional peacekeeping operations, special political missions and missions involving non-United Nations
peacekeeping partners. The authority of the Field Guide, however, is limited to missions managed by the Department of
Peacekeeping Operation (DPKO).

As of completion of the Field Guide, efforts were underway to develop new guidance in key areas affecting the mission start-up
process such as the development of the Department of Field Support’s Global Field Support Strategy. These will be reflected in
the next version of this Field Guide.

6
1. Introduction to Mission Start-up

This chapter outlines the conceptual background to the Field Guide. It starts out by providing an overview of the different
deployment phases of a peacekeeping mission. This is followed by an introduction and explanation of the core concepts
underlying this guide, namely mission start-up, Initial Operating Capability (IOC) and Full Operating Capability (FOC). It
concludes with a synthesis of key lessons learned during the start-up experience in previous missions as described by
peacekeeping personnel.

1.1 The Mission Start-up Concept

United Nations peacekeeping operations, or missions, have three broad deployment phases, as follow:
• Phase I: Mission start-up (Advance Team (AT) deployment, Mission Headquarters (MHQ) start-up and functional
components/Field Office (FO) start-up)
• Phase II: Mandate implementation
• Phase III: Transition (handover, withdrawal and liquidation)
Each phase of deployment presents its own specific challenges. During start-up, the mission strives to reach an Initial Operating
Capability (IOC) and, eventually, a Full Operating Capability (FOC) so that mandate implementation can begin in all areas of
deployment. During the implementation phase, efforts are focused on carrying out the tasks set out in the Security Council
mandate and achieving the objectives set out in the mission concept. The transition phase -- the process of handover,
withdrawal and liquidation -- begins following a decision by the Security Council. It involves the departure of mission
personnel following the hand-over of all remaining tasks to partners and the final disposal of mission assets and infrastructure, in
accordance with United Nations rules.

Although conceptually distinct, the various phases of the mission lifecycle may overlap (see Figure 1). In fact, mission
deployment cycles rarely follow a classic bell-shaped curve. The intensity and scale of activity in each phase varies from
mission to mission, depending on the situation and progress achieved against objectives.

Figure 1: Phases of Mission Deployment

Implementation

Mission Headquarters & Transition /

Component/Field Office start-up Hand-over

Advance Team Withdrawal/

Deployment Liquidation

Pre-deployment

Phase I Phase II Phase III

The mission start-up phase is preceded by the pre-deployment period. The pre-deployment period is primarily a responsibility of
UNHQ in New York and is covered only briefly in the Field Guide (see chapter 2). There is no clear-cut distinction between the

7
end of the pre-deployment period and the mission start-up phase. As such, start-up managers must understand basic pre-
deployment responsibilities and deployment challenges. A number of pre-deployment tasks will continue to be managed from
UNHQ as mission start-up begins in the field. These include pre-deployment visits to troop-contributing countries (TCCs) and to
police-contributing countries (PCCs) to determine readiness; continued negotiations of status-of-mission agreements/status-of-
forces agreements (SOMAs/SOFAs); and the mobilization of the strategic deployment stocks (SDS).
The term “mission start-up” is used to describe the earliest phase in the life of a mission. For the purposes of the Field Guide, the
mission start-up phase is sub-divided into three stages: 1) Advance Team (AT) deployment; 2) Mission Headquarters (MHQ)
start-up; 3) functional components/FO (Field Office) start-up. These stages, though addressing distinct sets of managerial
priorities, may overlap in practice.
• Advance Team (AT) deployment: Mission start-up in the field begins with the Advance Team (AT) deployment stage. This
stage generally involves the field deployment of a small team to begin setting up mission premises and other infrastructure
and administrative systems in preparation for deployment of larger numbers of staff and contingents. During this stage, some
other mission personnel may begin arriving to establish their components. For example, the United Nations Standing Police
Capacity (SPC) may arrive to begin setting up the police component’s headquarters; military staff officers may begin setting
up a force headquarters and, together with police colleagues, may begin establishing the joint structures of the mission; or
staff may begin setting up the Office of the Special Representative of the Secretary-General/Head of Mission
(O/SRSG/HOM). TCCs and PCCs are also likely to be undertaking reconnaissance missions in preparation for their
deployments. However, the focus should be on putting in place the basic infrastructure that will allow for a larger number of
staff to arrive. The core AT deployment tasks are outlined in chapter 3.
• Mission Headquarters (MHQ) start-up: MHQ start-up is the period when the members of the Mission Leadership Team
(MLT) arrive; managerial and command and control systems are formed; and increasing numbers of substantive and support
personnel begin arriving in-mission to help achieve IOC. (See section 1.2 for details on IOC.) IOC must be achieved before
substantive mandate implementation can begin in all areas of deployment. The first contingents of military and/or police will
generally begin to arrive during this stage and deploy throughout the mission area. At the same time, MHQ may begin to
establish some presence in critical field locations outside of the headquarters facilities, though the bulk of its network of
satellite FOs or team sites will be established as part of the next stage. (MHQ start-up is described in detail in chapter 4.)
• Functional components/FO start-up: This sub-phase describes the establishment of individually mandated and support
functions which form the functional components of a multidimensional peacekeeping operation, such as finance, engineering,
political affairs, electoral assistance and civil affairs. The heads of these sections develop work plans, recruit staff and ensure
sufficient resources are available to facilitate the roll-out of their respective functions. In addition, some missions may
establish critical supporting offices in neighbouring countries (e.g., logistic support bases and/or liaison offices (LOs)).
Chapters 5 through 9 of the Field Guide outline the critical tasks to be completed and the IOC that is to be achieved for each
of the mission’s individual functions.

Figure 2 illustrates the pre-deployment period and the three stages of the mission start-up concept. The basic concept is useful as
an organizing framework. Activity at each level may occur out of sequence or in parallel. As with any conceptual model, it must
be adapted to the unique situation and set of challenges on the ground. For example, some operations, such as those with
mandates to support national electoral processes, may require the start-up and withdrawal of an electoral component many times
during the life of a mission.

8
Figure 2: Concept of Mission Start-up

Component A

Component B
Critical Decision-making Systems

Mission
Infrastructure
Advance
Team Core Management and Component C
Deployment Support Structures
Administration
& Logistics
Coordination and Liaison
Structures Field Office A

Field Office B

1.2 Initial Operating Capability

In the Field Guide the term mission “Initial Operating Capability” (IOC) refers to the point at which a mission has attained a
sufficient level of resources and capability to begin limited mandate implementation. The mission also begins to significantly
expand and support its field presence within the mission area.

In general, a mission can be said to have achieved IOC when the following conditions are in place:

• Minimum capacity and mission infrastructure are in place to receive the main body of mission staff
• Security apparatus is in place to manage crisis situations and staff safety and security.
• Initial contact with host authorities and communities is established and minimum necessary political, legal and
administrative agreements are in place (e.g. mandate, SOFA/SOMA, customs, aviation, property authorizations).
• Command and control, decision-making and mission reporting arrangements as well as coordination arrangements with
other actors have been established.
• Initial UN-wide, mission-wide and critical mission component plans have been approved by mission leadership.
• Key positions are filled and enough essential equipment and infrastructure are in place for mission components to begin
limited mandate delivery.

Each of these elements reinforces the others and contributes to the minimum conditions needed to start and sustain large-scale
field operations. For each mission, these general conditions will be developed further into mission-specific IOCs during the pre-
deployment phase and as part of the deployment plan of a new peacekeeping mission. (See chapter 2 for aspects of pre-
deployment.)

In the Field Guide, the mission IOC is broken down into MHQ and function-specific IOCs. Chapter 4 gives some IOC
indicators for the cross-cutting managerial aspects of establishing MHQ. Chapters 5 through 9 provide IOC indicators for each
of the core managerial functions of a new mission. A complete list of all IOC indicators can be found in Annex II.

9
Not all mission components will reach IOC at the same time. Critical logistical and administrative support components may
achieve IOC earlier, while other components that depend on these functions will achieve IOC later. In fact, logistical and
administrative support components usually reach IOC during the AT deployment stage and they may be nearing FOC by the
time many substantive components are reaching their IOC. Some components will achieve their IOC after the mission has
achieved overall mission IOC.

The amount of time needed to achieve IOC differs from mission to mission. Achievement of IOC is driven by the resources
available and whether the political, financial and geographical environment and the host countries’ logistical/administrative
infrastructure are conducive to supporting mission start-up. It will always be left to the mission’s senior leadership to determine
when the mission or a given component is in a strong position to begin substantive operations and has, thus, reached IOC.
The mission start-up process should not be seen in isolation from the mission’s environment. It is likely mission staff will have
to address immediate political or security crises, even though mission structures and management systems have not yet been
well established. Within this context and while activities to address immediate crises are ongoing, it is important for mission
staff to ensure that sufficient resources and attention are dedicated to the longer-term effort of mission start-up.

1.3 Full Operating Capability

Upon achieving IOC, a mission should gradually shift its focus to mandate implementation while still moving towards FOC.

FOC is achieved when the following steps have been completed:

• Sufficient resources to implement all mandated tasks are in place, i.e., all key positions are filled and the majority of
personnel, equipment and infrastructure are in place.

• The mission and UN-wide plans being continuously reassessed and revised, as necessary.

• All supporting plans, budgets, structures and procedures are in place.

FOC should include establishing IOC for cross-cutting MHQ functions. Overall FOC will generally be achieved well after the
mission start-up phase.

1.4 The Mission Start-up Experience

This section synthesizes the mission start-up experiences as described by staff and managers who have launched previous United
Nations peacekeeping operations.

Focus on end-state
During the mission start-up phase, much effort goes into setting up a functioning mission headquarters (MHQ). However,
managers should keep in mind that MHQ establishment is not the end-state in itself but rather a well functioning mission
throughout the peacekeeping operation’s area of responsibility. Therefore, efforts to establish a functioning MHQ should be
balanced with a gradual extension of the mission’s reach into the regions.

A window of opportunity
Mission start-up is a fast-paced and seemingly chaotic experience. Small numbers of staff race against time to put in place the
foundations of a complex new mission, often in unknown and volatile operating environments. Start-up is a narrow, work-
intensive window of opportunity for mission managers to establish the mission’s foundation. What is established in the early
stages of a mission will have major consequences for the longer-term development of the mission. If early demands are not
addressed appropriately, there may be obstacles to mandate implementation as the mission grows. Hence, the start-up phase is
about getting the basics right. This includes, but is not limited to, making sure that adequate safety and security systems are in
place, staff are recruited with the required qualifications and are deployed at the right time, an integrated mission plan is
established and reporting lines are clarified.

10
Leadership and management
Effective leadership and strong managerial skills are critical during start-up. A mission quickly moves from being a small team
into a medium to large institution. This must be managed carefully. Good leadership provides the all-important high-level
direction and generates the commitment of staff to perform and overcome obstacles. Management capacity is needed to channel
and sustain that leadership vision and impetus. If basic systems and ways of doing business are not established early on,
confusion can be compounded as the mission grows rapidly. While leadership and vision are required from day one, the mission
leadership must be flexible and must have the ability to adjust strategy to an ever-changing context. Without strong mission
leadership, management systems lack operational flexibility and risk falling into systems characteristic of a stale bureaucracy.
Managers should also be alert to potentially damaging dynamics that may emerge between components of a new mission.
Competition for senior management visibility and/or limited resources can be fierce during start-up. The commitment of mission
managers to a problem-solving approach is pivotal to overcoming the natural frictions that will build among staff in a
pressurized, often under-resourced and alien work environment.

Exhilaration and frustration

Start-up personnel often enjoy an unparalleled pioneering experience during which the ingenuity and resilience of staff members
are tested to their limits. Start-up can be an exhilarating and, yet, highly frustrating period in the mission’s lifecycle. Because the
operating environment is complex and UNHQ feels the strain of running numerous operations at the same time, new missions
are often under-resourced, and mission logistic and supply systems may not yet be running smoothly. Communications are often
limited, and staff recruitment may seem inexplicably slow. At the same time the mission is in the political spotlight and there is
a strong likelihood of the mission being inundated with visitors from UNHQ or troop and police contributor reconnaissance
visits, etc.

Building the mission while implementing the mandate

Managerial staff will be under considerable pressure to report on substantive progress while they are still establishing the
mission, including addressing possibly critical security or crisis situations. During mission start-up, senior managers are
expected to simultaneously achieve full situational awareness; identify mission priorities; guide the development and approval of
operational mission plans based on strategic UNHQ plans and directives; obtain and assign resources needed to support those
plans; and supervise and monitor their implementation. As a result, senior mission managers will have to juggle the
responsibility of setting up a complex mission while also managing the expectations of a wide range of stakeholders, including
the local population.

Maintaining morale
Start-ups invariably involve working very long hours, often in difficult conditions. Although morale is often high during start-
ups, managers must be alert to the impact of burn-out on staff. As senior managers arrive in the mission area, the initial AT may
already be exhausted from the intensive effort of putting in place the prerequisite infrastructure. (See chapter 3 for details on AT
deployment.) AT members may even be phasing out as new personnel arrive to replace them. In addition, large numbers of the
new staff may be unfamiliar with UNHQ or United Nations field missions and/or may have limited knowledge of the country
where they are being deployed. As a result, these new staff may be disoriented, unclear of their roles and responsibilities as well
as confused about professional, social and cultural expectations. These staff will often require additional coaching from the few
experienced and senior personnel in the mission area.

Cross-cultural issues
Usually, mission staff come from a wide range of national and professional backgrounds, including from significantly different
civilian, military and police working cultures. This collection of national and professional cultures will often have different
working practices that must be managed proactively during the early months by setting the right tone. With the pace of
operations, ill will generated early on can be very hard to repair as the mission expands. At the same time, the mission will also
have to adopt a culturally-sensitive approach towards its local environment.

Importance of information flow

Internal and external information flow and reporting can be weak in a new, rapidly growing mission. Problems that could be
solved informally by a small group during the first weeks suddenly require greater effort as the size of the mission increases.
Unhelpful information “stove-pipes” are often created in haste or in error as the operation expands. This often results in a sub-
optimal exchange of information between the mission and UNHQ, reducing the latter’s capability to provide the necessary
support during the mission start-up phase. Unless these approaches are quickly changed, they can become permanent.
Multidimensional United Nations peacekeeping operations require simple information management and reporting procedures.
These should be designed and put in place early to avoid lengthy discussions on basic working procedures or overly bureaucratic

11
internal and external coordination and reporting arrangements. The early establishment of a Joint Operations Centre (JOC) will
help improve information flow at the outset (see section 5.10).

12
2. Pre-deployment

The pre-deployment phase of a peacekeeping mission precedes and, once it deployment has started, continues to accompany the
mission start-up process that generally begins with the arrival of the first staff in the mission area. At the same time, it is
important for mission managers to understand the process leading up to the deployment of a peacekeeping mission, given its
implications on the start-up phase.

This chapter begins by outlining the relationship between UNHQ and field missions before introducing UNHQ’s strategic-level
pre-deployment responsibilities in preparation for and during the mission start-up process. It concludes with a list of critical
considerations that affect the deployment of peacekeeping operations.

2.1 Levels of Authority, Command and Control

United Nations peacekeeping operations work on three broadly defined levels, as follow:

• The strategic level: At the strategic level, UNHQ is responsible for almost all the mission pre-deployment tasks (see section
2.2). UNHQ provides high-level political direction and advice to start-up teams on the ground. As such, it provides policy
advice and guidance as well as logistical and administrative support to the mission leadership. UNHQ is also responsible for
regularly reporting to the Security Council on progress in the implementation of the mission’s mandate based on briefings
and information received from the mission.
• The operational level: As the operational level, MHQ reports to UNHQ and directs operations in FOs. Thus, MHQ draws
support from UNHQ in order to establish its own capacity while providing support to establish and sustain FOs.
• The tactical level: Regional/FOs and individual units lead primary implementation at the tactical level of field missions.
Those working at the tactical level report to and draw support from MHQ.

Figure 3 shows that these three levels are not clear-cut. Nonetheless, the basic authority, command and control framework is a
useful point of reference for understanding responsibilities during pre-deployment and mission start-up.

Figure 3: Levels of Authority, Command and Control

13
During the start-up process, actors at these three levels must work cohesively to ensure the successful deployment of a mission.
In addition, each level needs to integrate and coordinate work horizontally with United Nations partners and external actors.
Staff at each level must, therefore, appreciate the responsibilities and systemic challenges faced by the others.
2.2 Pre-deployment Responsibilities
The strategic level, or UNHQ, plays the primary role in the pre-deployment and planning phases. The pre-deployment phase
begins when the United Nations strategic assessment determines that there is a need to deploy a multidimensional peacekeeping
mission.

The key roles executed by UNHQ during pre-deployment or in direct support of mission start-up include:

• Legal framework: UNHQ ensures the foundation of a mission’s legal framework is firmly in place by carrying out activities,
including, but not limited to, providing support to the Security Council that adopts a resolution approving the mission’s
mandate and by negotiating the SOFA/SOMA with the host country and the Memoranda of Understanding (MOUs) with
TCCs and PCCs. UNHQ also ensure the rules of engagement and police use of force directives are drafted.
• Political dialogue: UNHQ maintains continuous political dialogue with key actors to ensure the peace process and political
environment remain conducive to a planned United Nations deployment. This includes dialogue with parties to a conflict,
regional actors, the Security Council and other international stakeholders.
• Planning: UNHQ coordinates and delivers, as needed, detailed concepts of operations (CONOPS) by the military, police,
substantive and support components of a mission. UNHQ may have also completed a Strategic Assessment as part of the
planning for a mission deployment. This includes conducting integrated planning with the United Nations agencies, funds
and programmes and their representation within the country, also referred to as the United Nations Country Team (UNCT).
UNHQ also develops a deployment plan for the mission, including mission-specific IOCs.
• Logistical support: UNHQ prepares and issues the Material Resource Plan (MRP) in order to issue and deploy initial
Strategic Deployment Stocks (SDS) modules from the United Nations Logistics Base (UNLB) and to transfer other United
Nations Owned Equipment (UNOE) from other missions. UNHQ activates essential systems contracts and/or procures new
service and supply contracts to support operations (e.g., transport, supplies). UNHQ arranges for deployment of contingents
and equipment to the mission area. Also, UNHQ works with TCCs/PCCs to ensure Contingent Owned Equipment (COE) is
deployed effectively and in a timely manner.
• Recruitment: UNHQ undertakes recruitment for senior positions in the mission as well as recruitment of their supporting
staff and provides leadership for the induction and briefings of all senior mission appointees, including briefings by UNCT
offices at UNHQ. Also, UNHQ identifies and deploys staff from UNHQ and other missions that form part of the Advance

14
 Team (AT) deployment to facilitate the first weeks of the mission start-up phase. UNHQ supports mission recruitment to
replace temporary staff and fill the mission staffing table. UNHQ also issues delegations of authority and guidance for
recruitment to the field mission staff, referencing organizational commitments to achieving gender balance among civilian
personnel.
• Force/police generation: UNHQ undertakes military and police generation and prepares mission-essential guidance
documents, including commanders’ directives and guidelines for TCCs/PCCs. UNHQ undertake pre-deployment visits to
TCC/PCC contingents to determine their readiness and to advocate for deployment of female personnel. UNHQ supports
TCC reconnaissance visits to the mission area and provides arrangements to deploy individual personnel (police officers,
military observers, staff officers) to the mission area.
• Budgets and financing: UNHQ obtains the Pre-mandate Commitment Authority (PMCA) to allow for expenditures before
and during mission deployment and begins work on the initial mission budget for funding beyond the PMCA allotment.
UNHQ issues timely delegations of authority to operational level staff in the mission and eventually issues strategic guidance
to missions on the Results-based Budget (RBB).
• Advice to missions: UNHQ provides high-level advice to all of the above roles to mission as start-up elements arrive and
until the mission has enough staff to lead on these issues.

Figure 4 outlines decisions and actions by the United Nations Secretariat and Member States leading up to the approval of the
mandate of a peacekeeping mission during the pre-deployment phase. This is a complex process. Although presented here in a
sequence, it does not necessarily follow a consecutive order. In parallel, the Secretariat undertakes the IMPP that continues
throughout the pre-deployment phase and the deployment of a peacekeeping mission. The second part of the figure reflects the
various tasks undertaken by the Secretariat in preparation of mission deployment.

Figure 4: Planning/Pre-deployment Tasks

15
 Peace Process (Possible UN
role identified by parties and
Security Council)

Strategic Assessment of UN options

(tasks, scale and scope)

SG Planning Directive/USG DPKO Primary responsibility

Directive
Member
states
Planning assumptions and options
analysis Secretariat

Shared
Technical Assessment Mission Report

Integrated Mission
Planning Process with UN
agencies, funds and
programmes and external Mission scope, Force Generation &
partners Financial Implications
(This process will continue
through mission deployment
and beyond)
Pre-mandate Commitment Authority
(PMCA)

SG report on situation with

recommendations

Security Council Mandate

Revise initial assumptions and

develop mission concept and
component CONOPS

Develop legal Maintain Political Logistical Contingent/force

Mission planning Staff recruitment Mission financing
framework Dialogue support recruitment

Material Mission
SOMA/ resource Concept TCC/PCC Budget
With Parties Recruitment
SOFA planning Recce Visits estimate

SDS Pre-
Military deployment
With deployment
CONOPS visits
international Budget
ROE Mission
community defence
Police transfers Conduct
Contracting
CONOPS MOU
negotiations
Police Use
Mission
of Force Support Experts on Budget
Asset
Directive CONOPS mission Movement authorized by
Transfer
(UNMO/ planning General
CONOPS for
Movement Police) Assembly
other
planning mandated
tasks

MISSION
DEPLOYMENT

16
2.3 Deployment Considerations

For the purposes of the Field Guide, mission start-up, begins when the following conditions have been met during the pre-
deployment stage:
• United Nations Security Council resolution has been adopted establishing the mission or establishing an advance
mission with a view to establishing a peacekeeping operation.
• Special Representative of the Secretary General/Head of Mission (SRSG/HOM) has been appointed.
• Director of Mission Support/Chief of Mission Support (DMS/CMS), the Chief of Administrative Services (CAS) and
the Chief of Integrated Support Services (CISS) have been appointed; and the necessary designations and delegations
of authority have been processed.
• UNHQ strategic assessment and CONOPS have been finalized and prepared for approval by DPKO/Department of
Field Support (DFS).
• PMCA or other bridge funding has been approved in advance of the full mission budget.
• SDS logistical resources have been mobilized and inspected.
• Troop contributors have been identified and pre-deployment visits have been planned or are underway.
• Security clearance for deployment of the first staff has been received from UNHQ.
• Chief Security Adviser/Chief Security Officer (CSA/CSO) has been appointed.

It can be very difficult to determine exactly when a new mission will deploy. There are many actors and variables that are
constantly shifting as planning assumptions change throughout the pre-deployment phase. The progress of each mission from
pre-deployment to start-up depends on a range of variables and potential challenges at the strategic and operational levels.
Variables and potential challenges encountered from pre-deployment through mission start-up include the following:
• Security situation on the ground and, linked to this, security clearance for staff to deploy
• Political sensitivities regarding the pace and nature of United Nations deployment early in the peace process
• Levels of cooperation by host authorities and regional countries, in particular the pace at which the political and legal
framework (mandate) and financial authorizations (PMCA/mission budget) are approved
• Complexity of mandate that drives the number of partners needed to deliver the mission objectives
• Availability and interest of TCCs/PCCs and their familiarity with the area of deployment
• Timelines of United Nations recruitment process for civilian personnel and availability of qualified staff
• Capacity of national infrastructure (accessibility, ports, roads, financial services, etc.)
• Level of United Nations or other international presence already in area of deployment and whether the United Nations
is taking over from an already deployed third party (e.g., the African Union, the European Union, the North Atlantic
Treaty Organization)
• Availability and/or quality of commercial suppliers for essential goods and services
• Timelines of United Nations procurement process
• Availability of mission’s senior leadership to plan and build a team before deployment
• Environmental considerations, including geography, seasons and weather

After the decision to deploy is taken by UNHQ and the AT personnel have begun to deploy, these same variables will often
continue to dictate the pace and scale of start-up.

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3. Advance Team Deployment

The Advance Team (AT) deployment refers to the deployment of a small team of highly experienced, multi-disciplined support
personnel to the mission area. Their task is to put in place the essential administrative and logistic infrastructure necessary to
allow additional start-up personnel to arrive and for the MHQ to be established. This chapter outlines the roles and
responsibilities of the AT and details the gradual transition of their responsibilities to the mission administrative and logistical
staff.

3.1 Introduction

Members of the AT will usually be the first peacekeeping personnel to arrive in the mission area. Staff members of the UNCT
are usually already present on the ground and many have years of experience in the local setting. The AT needs to work closely
with the UNCT in order to complete its tasks successfully. As the AT often has far less staff than it has tasks to complete, it is
essential that AT personnel be able to undertake multiple functions and arrive with the necessary authorities (e.g., delegation of
procurement authority) to take appropriate action. Typically, the AT will deploy for a period of a few weeks. During that time
and as the AT completes its tasks, there will be a gradual and controlled increase in the arrival of mission personnel.

The AT of highly experienced field administration and logistic staff is led by a senior officer who serves as the Officer-in-
Charge (OIC) for the mission during this early stage. Until the arrival of more senior mission personnel, the AT leader will serve
as the official representative of the mission and establish relations with the host government to address any mission-related
issues, including those of a political, protocol, legal or administrative nature. Ideally, the AT should be led by or at least be
deployed with political capacity. The inclusion of an officer from the United Nations Department of Safety and Security
(UNDSS) in the AT will help with security issues that the AT may face. The presence of a Legal Officer is also critical for
dealing with all contractual issues related to rental of accommodations and SOFA/SOMA considerations as well as all issues
relating to privileges and immunities with the host country. Experience has also shown that the inclusion of an environmental
specialist in the AT to conduct on-site evaluations prior to formally taking over proposed mission locations will reduce the need
for costly environmental mitigation measures at a later date.

As senior managers arrive to the mission, they should ensure that AT staff are given any additional resources they may need to
complete prerequisite tasks before the bulk of the mission arrives. This is particularly important if the AT has not received its
entire staff and may be lagging behind in some areas where it is working to lay the foundation for mission deployment. Senior
mission staff that deploy early may also be able to assist the AT in overcoming critical blockages or delays by using their high-
level access to government officials and authorities.

Incoming senior managers should be mindful of the demands they place on the AT for personnel support (beyond basic
transport, communications, etc.). If the AT is diverted from its core tasks, critical infrastructure establishment may be delayed
and the overall mission start-up further extended.

Upon arrival, the SRSG/HOM or the Acting HOM should discuss with the AT leader which support capacities will be available
and when. The arriving senior manager should recognize that the enormity of the early-deployment challenges will have placed
considerable competing demands on the AT.
3.2 Deployment Planning for Advance Team Deployment

Before the AT deploys to the mission area, substantial planning is needed to ensure they “hit the ground running”. In order to
bring the team together, the composition of the AT needs to be determined, the OIC of the AT must be appointed and travel
plans undertaken.
The actions that should be completed prior to deployment of the AT are the following:
• A thorough review of the report of the Technical Assessment Mission (TAM) should be conducted during the pre-
deployment period (see chapter 2) to identify potential tasks, mission locations, security issues and host country points
of contact.
• Contact should be made with the Resident Coordinator (RC) and/or Humanitarian Coordinator (HC) of the UNCT and
the United Nations Designated Official (DO), and those officials should be briefed on the AT deployment and tasks.
• A phased deployment plan should be agreed to with UNHQ that identifies the deployment schedule for incoming
personnel. Political and other considerations may influence the pace and scale of the deployment. Nonetheless, the AT

18
 leader should be empowered to determine which staff deploy within the assigned ceilings, until this authority is
formally transferred to incoming senior managers. It is essential that the mission develop a certain level of absorption
capacity before additional staff arrive, such as capacity related to accommodation, workplace and office equipment.
• AT members should be given the required authorities and delegations to establish initial accommodation,
communications and administrative frameworks, in particular finance.
• UNHQ should advise the RC/HC when the AT will deploy and request support for them.
• UNHQ should advise host country authorities when the AT will deploy and asks that they support the AT and extend
privileges and immunities accorded to United Nations personnel by that country.
• Priority should be given to identifying finance and procurement staff from UNHQ or neighbouring missions with
existing procurement and finance authorities in order to reduce delays in these critical functions.
• AT members should be equipped with sufficient laptops/computers that are pre-loaded with administrative software and
given means of communication to enable basic administrative systems to be established.

3.3 Prerequisites for Advance Team Deployment

This section identifies the early tasks to be undertaken during AT deployment. These prerequisites build the foundations that
enable wider mission start-up. Done well, they will place the mission on a firm administrative footing and reduce the time
needed to achieve IOC. Although other senior managers and mission personnel may begin to arrive during the AT deployment
stage, this section focuses on those tasks to be achieved during AT deployment by the AT.

The AT deployment tasks are organized under three sub-headings, as follows:

• Establish essential supporting relationships and obtain authorizations.

• Install critical mission infrastructure and logistics.

• Establish essential administrative capacity.

The tasks within these sub-headings are outlined in detail below.

3.3.1 Establish essential supporting relationships and obtain authorizations

(a) Initiate discussions with host authorities

In this regard, the AT should carry out the following tasks:

• Present local authorities with letters of introduction or other credentials from the United Nations. Brief authorities on
its role. Identify appropriate interlocutors to facilitate its work.
• Discuss with appropriate host authority interlocutors the logistic and administrative issues for obtaining visas, landing
rights, the use of office space or other government property/land and other essential provisions.
• Begin security discussions with the host government/authorities, in full consultation with UNDSS, with considerations
relating to the Minimum Operating Security Standards (MOSS) and the Minimum Operating Residential Security
Standards (MORSS) being included in discussions on land/property.
• Obtain a copy of the model SOFA/SOMA from UNHQ. Additionally, the AT should contact DPKO/DFS and the
Office of Legal Affairs (OLA) at UNHQ for instructions on whether to begin discussions on the SOFA/SOMA with
host authorities and, if so, to receive instructions on how to conduct these negotiations.

(b) Establish relationship with UNCT

The AT has to be mindful of the need to establish a positive and mutually supportive relationship with the UNCT from the
beginning. In this regard, it is key to involve the UNCT from the outset and to draw on its knowledge.
The essential tasks for establishing a good working relationship with the UNCT are the following:

19
 • Meet with the RC/HC and provide her/him with all relevant documentation on the AT and the future mission as well as
the status of planning efforts at UNHQ. Explain the mission’s plan of action over the coming weeks and what the
UNCT should expect. Provide RC/HC with a copy of the Field Guide.
• Brief the RC/HC on developments, particularly relevant discussions with the host government and other authorities.
• Obtain security briefings from the Designated Official (DO) and seek inclusion in the Security Management Team
(SMT).
• Look for early opportunities for cooperation and joint mission assessment planning and delivery, including
environmental assessments. Where practical and useful, look at the possible establishment of joint United Nations
compounds to ensure close working relations from the beginning.

• Discuss with relevant UNCT staff technical issues, such as:

o Dealing with host authorities, including obtaining relevant authorizations and permits
o UNCT assessments of the local goods and services market for procurement
o List of local vendors
o Possible information communication technology (ICT) or other support from the UNCT for the first few AT
members, until the AT is self-sufficient
o Human resources issues, such as official hours of work, official holidays applicable at the duty station, conditions
governing compensation for overtime work, compensatory time-off, rate of payment for overtime and in-country
travel allowance for locally recruited staff
o Assistance from the UNCT on sources of national staff and, if feasible, use of UNCT recruitment channels
o Help, if available, from the United Nations Development Programme (UNDP) Country Office for financial
systems, cash advances or small-scale procurement support (See sections 3.3.3.a and 8.13 for more detail on
finance and banking.)

(c) Obtain designations and delegations of authority

The AT should travel to the mission area with all relevant authorities and delegations. UNHQ should confirm the AT staff are
pre-designated or carry designations from their home mission appointments. UNHQ needs to ensure the OIC of the AT has the
authority and delegations normally given to a DMS/CMS. Certifying Officers need to be approved prior to their deployment
and the senior human resources, finance, procurement and property management members of the AT need to be given
appropriate delegations from the United Nations Department of Management (DM) and DFS.

3.3.2. Install critical mission infrastructure and logistics

(a) Identify and obtain accommodation
The essential AT tasks for obtaining accommodations are the following:
• As a priority, the AT should source temporary office and residential accommodation for the AT (e.g., block of rooms in
the same hotel to avoid dispersion and complications for transport to/from work). The AT should consider the need for
a conference room or other large space to serve as the initial MHQ start-up hub and base for all initial operations and
ensure that goods and services are procured under a delegation of procurement authority.
• Temporary ICT solutions may be needed until the ICT backbone (described below) is established. The AT should
factor this into assessment of short-term local accommodation options (e.g., identifying a hotel with local internet
connection capacity or other options, with the help of the UNCT). Additional encryption is likely required. If
temporary premises lack internet connectivity, the AT should request or set up (if possible) a United Nations-supplied
ICT network using a Mobile Deployable Telecommunication System (MDTS) van and related SDS fly-away kit
equipment.
• In determining suitable temporary premises, the AT should ensure to maintain MOSS compliance, as much as possible.
The AT will likely need to rent rooms until long-term accommodation is contracted.
• As soon as initial premises are sourced, the AT should begin discussions with host authorities, UNCT and UNHQ on
suitable options for premises for MHQ and other key sites, particularly the logistic base or interim storage facility.
Every effort must be made to obtain accommodation and office space from the government or government land that can
be developed as green-field sites, ensuring to select sites that will minimize development costs. The team should avoid,
to the extent possible, the selection of private land for United Nations sites.
• AT should conduct detailed technical inspections (engineering, communications, security and environmental) of the
proposed premises to gauge suitability, capacity for future expansion and work needed to develop these sites/premises
to fit them for their function.

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 • If start-up requires development of green-field sites, AT should request equipment for office and living
accommodations from SDS. Initial requirements may be sourced through SDS fly-away kits. Likewise, available
facilities may be upgraded, including improving security, with SDS fly-away kit equipment.

(b) Establish communications with UNHQ and install ICT backbone

The AT is responsible for establishing the rear link to UNHQ through the DPKO/DFS global network and installing the mission
ICT backbone that links MHQ with components and regional/sector headquarters.
The essential AT tasks in this regard are the following:
• Establish and maintain continuous communication links to UNHQ, United Nations Logistics Base (UNLB), and
other United Nations field missions. Once the MDTS is deployed, these links will be available within hours.
• Assist management in the selection of sites and buildings for MHQ and other offices.
• Source cell phones for each AT member, with a priority view to switch to handheld radios as soon as possible. Cell
phones are meant to complement radio communications, not to replace it. Cell phones are poor performers during
emergencies and increase communications costs for the mission.
• Once the MHQ site has been taken over by the mission, quickly establish basic telephone and local are network
(LAN) services within the MHQ to facilitate logistic and administrative communication.
• As component and regional/sector headquarters sites are taken over by the mission, establish core ICT services based
on radio (microwave, VHF, UHF, HF, AM/FM), telephony, imaging and satellite technologies, as a layered means of
communications. Interface such services, in turn, with DPKO/DFS global networks.
• Contact and establish working relationships with local telecommunications authorities to obtain frequencies and
eventual access to PTT sites for repeaters, etc.
• Provide VHF/HF communications within the area of operations, as necessary. The Communications and Information
Technology Service (CITS) is expected to deploy radio communications to cover the MHQ area and, if feasible, the
main city where the AT is deployed. No complete radio communications should be expected throughout the mission
during start-up.
• As resources permit and in concert with the arrival of the military and police components, provide communications
services down to contingent headquarters level only.
• Assist public information technicians with common services (network connectivity, phone lines, tower space) to
support establishment of the Public Information Office services.
• Once she/he has deployed, assist the Chief/JOC to ensure that vital information technology (IT) tools are focused on
enabling integrated information flows between the mission and UNHQ.

During the AT deployment phase, as resources permit, the OIC CITS will carry out the following:

Ensure that the Procurement Section is fully briefed on the required expressions of interest (EOIs) for services and materiel
and on the priorities for the procurement of local services (Internet, repeater sites, local PTT, cell phones, etc.).

Raise requisitions for all services, supplies and equipment needed.

Provide essential ICT equipment from the SDS stocks. Full equipment, based on established equipment ratios, will be
provided at a later phase beyond start-up, pending procurement and funding availability.

Provide and support standardized software applications in line with United Nations governance requirements, including:
daily MHQ to UNHQ reporting (situation reports (SitReps), transmission system (currently SMART), personnel (Nucleus,
Galaxy), procurement (Mercury), finance and budget (ProGen, SunSystems, Funds Management Tool) and inventory
(Galileo). (For definitions of these systems, see section 8.7.)

Provide email capabilities and access to the Internet and information systems to approved personnel.

Establish ICT support mechanisms, including help desk, for all ICT services.

Define exact terms for engineering support (e.g., power and air conditioning (A/C) requirements, fenced area around
satellite station, data center location).

ICT issues that need to be considered by the AT during installation of the ICT backbone include the following:

Wireless networks should operate with minimum infrastructure requirements. A typical wireless network slows down if
there are more than 30 to 50 users, depending on the configuration. Considering the likely scenario of a provisional MHQ
and that there may be several moves before a final location is established, the provision of a wireless kit and associated
expertise is advisable from the outset.

Office space allocation for ICT equipment is important, as is allocating enough space for people, file cabinets, workshops
and technical support services. It is critical to correctly allocate appropriate space, equipment and localization of the server
and equipment rooms. This presents a challenge in prioritization and cost planning.

21

Engineering must be made aware of the special location, power and A/C requirements of the satellite hub and data center.

(c) Development of facilities

The refurbishment of facilities for the MHQ and establishment of a basic logistics facility or the construction of these facilities,
if suitable premises are not available, is absolutely key to achieving AT deployment objectives. Without functional premises for
the MHQ and a rudimentary logistics base, it is not possible to commence most start-up activities. As resources permit and with
slightly lesser priority, the AT should refurbish/establish regional/sector headquarters.
Key tasks for the AT related to development of facilities include the following:
• Refurbish rooms, power supply, and mechanical services at MHQ, including painting of rooms (as necessary), installing
additional power points, running of cables, reconfiguration of rooms for MLT offices, window treatments, air conditioning,
etc.
• Prepare a space allocation plan and control the allocation of office space.
• Establish a secure perimeter at MHQ and provide facilities for security to control entry.
• Establish hard standing for vehicle parking at MHQ and allocate restricted parking zones for VIPs.
• Refurbish or construct warehousing and hard standing at logistics base to provide storage for SDS and other equipment
received during start-up
• Secure the logistics facility.

(d) Establish logistics system for receipt and management of equipment

The essential tasks for the AT in establishing the capacity of the logistics system to receive and manage equipment are the
following:

Ensure SDS diesel-only operated forklifts are the last loaded on the first aircraft; therefore, they will be the first equipment
offloaded from the first flight.

Deploy AT Receiving and Inspection (R&I) personnel with laptops (with offline Galileo module and barcode system) to
establish an R&I Office and start accounting for asset arrivals and locally purchased items. Start planning from liquidation
from day 1. AT R&I staff need to be international staff or experienced (several years) R&I local staff from another mission
and capable of driving forklifts.

At the outset, establish Property Control and Inventory Unit (PCIU) to track asset records and management from the first
day of arrival. PCIU can only be staffed by international staff or experienced (several years) PCIU national staff from
another mission.

Ensure the timely arrival of correct, appropriate equipment to support start-up. Ensure the capacity to receive and use it
immediately (critical success factors to any mission start-up).

Ensure that adequate security around offices and warehouses is provided by TCCs or local security firms.

During pre-deployment, emphasis is often placed on systems contracts, start-up kits, fly-away kits, etc. to facilitate speedy
delivery of materiel to new missions. Once shipped equipment is received and inspected, equipment should be returned to
containers or stored elsewhere.

Ensure enough staff is in place and that trained United Nations personnel are on hand to receive, inspect and move materiel
onward from point of entry.

Source rapidly deployable warehouse or contract warehousing to avoid backlogs of United Nations equipment at points of
entry and to ensure facility is secure and weatherproof.

(e) Begin logistics operations

The AT must establish several logistical support functions, as follows: logistics planning, communications, engineering and
building management, movement control, air operations, surface transport operations, supply and medical. For each function,
essential initial tasks (outlined below) are notionally assigned to specialist officers in the AT. If a specialist is not available for
each function, some specialists may have to be multitasked across functions.
(i) Logistics planning
The AT Logistics Planning Officer, in consultation with AT leader, should carry out the following tasks:

22
• Develop an outline logistics support programme for the AT. This programme should be based on tasks identified for the AT
in pre-deployment planning and it should be consistent with the concepts that will underpin the mission support CONOPS for
all components and the United Nations Mine Action Service (UNMAS) (if mandated).
• Act as team leader for AT logistics personnel, including being responsible for co-coordinating and directing their work,
ensuring all relevant logistics considerations are fully addressed and integrating the team’s individual specialist reports into
single, cohesive logistics progress report.
(ii) Movement control
The AT Movement Control Officer should confirm the TAM’s findings related to the following:
– Existing commercial air transport system, including reconnaissance of airports; type/size of aircraft capable of landing at
airports; current air operators providing flights to/from airports; ground handling services available for aircraft and
handling of cargo
– Availability of aircraft fuel, with emphasis on quality and quantity
– Existing commercial rail transport system to determine if effective and viable rail transport exists, and how it can be used
and the types and quantity of rail cars and handling equipment that exist and can be made available
– Existing commercial road transport system to determine if regular truck traffic exists between areas within country and
the types/numbers of existing trucking resources
– Strategic movement capacity to bring equipment and supplies to the nearest seaport in neighbouring countries and the
identification of seaports that could be used in conjunction with other modes of transport
– Transportation tasks based on operational and support concepts to determine needed resources
– Overview of national regulations for all modes of transport
The tasks the AT Movement Control Officer should also undertake are the following:
• Liaise with customs and immigration authorities on requirements for quick and efficient movement of cargo and personnel
through border control, including special arrangements for United Nations VIP personnel.
• Initiate an effective system to track and monitor cargo shipments imported/exported by all modes of transport.
• Ensure qualified movement control of personnel present in mission area to facilitate procedures for inbound/outbound
personnel, including visa, customs formalities, VIP arrival/departure and United Nations cargo transfer.
• Become familiar with requirements and documentation for moving deceased personnel.
• Coordinate with other team members, including procurement, and advise them on how best to meet their fright movement
requirements.

(iii) Air operations

The AT Air Operations Officer should confirm the TAM’s findings on the following:
– Aviation infrastructure in area of operations, including, but not limited to, physical airfield infrastructure and layout,
airfield facilities, air traffic control facilities/infrastructure, refueling capabilities, airfield physical (grounds) security,
search and rescue, and Casevac and Medevac locations
– Terrain and environmental factors of area of operations and adjacent countries affecting aviation
– Aviation risk analysis of mission area airfields and landing sites
– National civil aviation authority and those of the adjacent countries, as needed
– National aeronautical information publications in area of operations
– Optimum air fleet requirement for initial planned strength and subsequent expansion
– Aviation staffing requirement for initial planned strength and subsequent expansion
– Initial aviation budget estimate, in coordination with the Air Transport Section at UNHQ
– Aviation operational assessment and estimated timelines, which address noted deficiencies and improvements needed to
meet DPKO/DFS aviation standards

The tasks the AT Air Operations Officer should also undertake are the following:

Establish contact with the United Nations Mine Action Coordination Centre (UNMACC) to gain up-to-date information on
the threat of mines and Unexploded Ordnance (UXO), particularly with regard to aviation infrastructure and approaches.
Where necessary, request UNMACC to undertake assessments of airfields and their surrounding areas.

Secure facilities at the international airport for parking of United Nations aircraft, cargo loading and unloading facilities and
passenger movement (if not through main terminal).

Set up air operations centre with flight-following capability if this is to be done in the mission.

Inspect United Nations contracted aircraft, on arrival, to ensure they comply with the terms of contract.

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With Procurement Section, arrange contract for fuelling of United Nations aircraft.

Develop regional/sector airfield infrastructure, as resources permit

Survey and approve mission helicopter landing zones, as resources permit.

(iv) Surface transport

The AT Surface Transport Officer should confirm the TAM’s findings on the following:

– Current ground transportation system in the area of operations to give overview of terrain and climate effects, route and
infrastructure capabilities (road surfaces, tolls, recovery systems, bridge capacities, tunnel gauges, etc.)
– Transportation tasks based on operational and support concepts to determine needed resources
– Availability and capacity of any workshop/maintenance infrastructure
– Feasibility of sourcing maintenance supplies from within the country
– Potential for contracting transportation services
– Assessment of common vehicle makes/models and general condition of vehicles operating in-country
– Possible areas for staging points on longer routes (considering security, food, accommodation, fuel, toilets, etc.)
– Availability of fuel and lubricants (with Supply Section), with an emphasis on quality, quantity, storage and distribution
– Overview of national road regulations as they apply to such things as insurance, accident reporting, registration, speed
limits, alcohol, local police efficiency, traffic density, car theft (areas, frequency, type of vehicle) and penalties

The tasks the AT Surface Transport Officer should also undertake are the following:

Review substantive and support CONOPS and coordinate with other AT members to advise on the best methods to meet
their needs for surface transport as well as projected needs of arriving mission components.

Consider options for local car rentals (including drivers, when possible). Limit rental car usage to start-up team and switch
to United Nations-owned vehicles (from SDS fly-away kit) as soon as possible. Issue rentals according to established and
transparent vehicle allocation priorities, ideally agreed through the Vehicle Allocation Committee (VAC), not in ad hoc
manner.

Establish system to test each United Nations driver in vehicles to be leased, ensuring they can drive safely.

Develop plan to quickly switch to self-drive solutions when safety and security conditions permit.

Establish contact with the UNMACC to gain up-to-date information on the threat of mines and UXO, particularly with
regard to anti-vehicle mines on roads. Where necessary, request UNMACC to undertake assessments of the Main Supply
Routes (MSRs).

Establish the Transport Office, to provide management of vehicles, fuel and spare parts, the issuing of licences and the
certification of accounts for payment.

With Procurement Section, establish fuel supplies to serve MHQ and, as the mission expands, also at regional/sector
headquarters.

As resources permit, establish repair and recovery capability.

(v) Supply

The AT Supply Officer should confirm the TAM’s findings on the following:
– Local infrastructure and capabilities for start-up and sustainment of supply support to mission (warehouses, local labour
market, material handling equipment (MHE), distribution systems, local companies, etc.)
– Feasibility and availability of providing supplies from within the country and issues related to using non-local markets
– Availability of bulk supplies, with an emphasis on quality, quantity, storage and distribution (fuel, rations, water)
– Capacity gaps that affect the ability to sustain mission supplies and potential means of addressing them (contract, MOU,
United Nations resources)
– Critical supply areas and means of ensuring effective risk management of supply (key items, offshore logistics base, time
for delivery, etc.)
The tasks the AT Supply Officer should also undertake are the following:

• Coordinate with other AT members to advise them on best methods of meeting their supply needs.

• Establish the mission supply warehouse. An interim facility may be required, for example, the establishment of interim
operations out of ISO containers while Engineering refurbishes or constructs a dedicated facility sufficient to house initial
holdings.

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(vi) Engineering operations
The AT Engineering Officer should confirm the TAM’s findings on the following:
– Premises for MHQ and subordinate headquarters, main logistics base and off-base logistic facilities (at the airport, port,
etc.), transit facilities and camps, and living accommodation (if not available in the local infrastructure) for civilian
personnel and uniformed personnel not part of a contingent
– Power supply requirements, including generator acquisition plan
– Types, sources and modes of fresh bulk water supply to areas of deployment, and plans for water purification, storage and
distribution
– Requirements for sewage systems, including for equipment or service contracts
– Requirements for types, configuration and quantities of heaters and air conditioners
– Condition of roads, bridges and airfields in-country, especially the MSRs needed to sustain operations
– Local and regional markets for availability of conventional construction material, engineering tools, equipment,
construction personnel and construction contractors

The tasks the AT Engineering Officer should also undertake are the following:

• Based on the above reviews, begin site inspections (with procurement, communications and environmental specialist).
Subject to formal agreement to occupy the premises, commence preparation for development of the sites, giving priority to
the MHQ and interim logistic facilities, especially those associated with the receipt and storage of equipment and supplies.
• Identify options and begin installing core infrastructure/support requirements, including the following:
– Power generation, including use of local grid
– Water production and management (from water survey)
– Force protection and fortification requirements (confirmed with Security and Military component)
– Detailed scoping of major infrastructure developments required (roads, bridges, airfields, railroads, power distribution,
etc.)
– Sewage and waste management and environmental protection arrangements that will need to be put in place

• Establish contact with UNMACC to gain up-to-date information on the threat of mines and UXO. Where necessary, request
UNMACC to undertake assessments of proposed base locations and infrastructure.

(vii) Medical
In close collaboration with the Medical Support Section in DFS and in consultation with Medical Services Division in DM, the
AT Medical Officer (or Chief Medical Officer/Force Medical Officer) verifies local medical capabilities and infrastructure in
order to implement an optimal medical system covering the need for Level 1, emergency and Level 2 medical services and
casualty evacuation.
The AT Medical Officer should confirm the TAM’s findings on the following:
– Local infrastructure and capabilities for medical services
– Feasibility of partly or wholly relying on local medical assets in regions/towns
– Areas where the United Nations can support local facilities to benefit local population and the United Nations mission
– Possible systems of medical logistics support, including means of re-supply, in neighbouring countries in consultation
with other AT members to ensure an efficient and feasible medical logistics plan
The tasks the AT Medical Officer should also undertake are the following:
• Coordinate with Military Planning Service (MPS) to ensure the medical plan/system is in line with MPS military medical
plans. Coordinate with other relevant mission components to ensure plans for use of infrastructure for medical transport is in
line with an overall plan.

• Establish an initial medical capability and build towards a Level 1 medical centre at the MHQ or logistics base.

• Establish medical evacuation procedures for in-mission evacuations and for evacuations to neighbouring countries.

(viii) Geographic information operations

The tasks the AT Geographic Information Support (GIS) Officer should undertake are the following:

Confirm TAM findings on the magnitude of GIS support required, in accordance with the CONOPS in terms of
topographical mapping, minefield data and GIS personnel needed for the mission operations.

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Collect datasets, including, for example, from Office for the Coordination of Humanitarian Affairs (OCHA) Humanitarian
Information Centre.

Collect end-user requirements from incoming mission components. Begin obtaining geospatial references and begin
procuring software and hardware.

(ix) Property management

The tasks the AT Property Management Officer should undertake are the following:
• Ensure traceability, accountability and financial liability of all property arriving in the mission.
• Ensure that the electronic systems for property control and accountability, such as Galileo and COE databases, are prepared
and ready for accurate and auditable records of all UNOE and COE.
• Record custody of equipment and ensure accuracy and integrity of the electronic records associated with assets.
3.3.3 Establish essential administrative capacity
(a) Establish finance systems
The essential tasks the AT Finance Officer should undertake in establishing a basic financial management capacity are as
follows:
• Establish payment systems with the assistance of Field Budget and Finance Division (FBFD) and, if necessary, through
financial authorizations, using the local UNDP office pending the full establishment of a finance office.
• With the assistance of FBFD, establish server requirements for the finance systems delivery and set up, in coordination with
the Information and Communications Technology Division (ICTD) in DFS and the UNLB.
• Coordinate with FBFD and UNLB on the creation, installation and configuration of the field finance systems.
• Coordinate with FBFD on the following tasks:
o Submit to FBFD the proposed Certifying Officer Panel members, comprising DMS/CMS, CAS, CISS and the section
chiefs, including the Chief/General Services Section, Chief/Transport, Chief/Communication and Information
Technology and Chief/Building Management Services. The panel membership should be updated as necessary.
o Submit to FBFD the proposed Approving Officer Panel members, comprising the Chief Financial Officer (CFO) and
unit chiefs in the Finance Section, including the Chief/Accounts Unit, Chief/Vendors Unit and Chief/Payroll Unit.
Panel membership should be updated as necessary.
o Submit to Treasury proposed Bank Signatory Panel members, normally comprising the members of the Certifying
Officer Panel. Panel membership should be updated as necessary.
o Request FBFD to initiate action with Treasury to open mission bank accounts for local currency and New York
accounts, in both local and United States dollar (USD) currencies.
• Ensure that costs centres of the new mission are assigned by UNHQ before the AT deployment.
• Record field allotment advice received from UNHQ.
• Request approval from the Accounts Division of the Office of Programme, Planning, Budget and Accounts (OPPBA) for
establishment of Cashier’s imprest with the appropriate level, including the custodian of the imprest.
• Request Treasury to forward standard cash receipt voucher forms to new mission.
• Request chequebooks from the local bank.
• Upon the opening of bank accounts and set up of SunSystems/ProGen, prepare first remittance request in the established
format for submission to the Accounts Division.
• Coordinate with the UNDSS Officer regarding a suitable location and arrangements for Cashier’s Office and the installation
of a safe.
• Establish cash handling, storage and other arrangements in line with UNDSS guidelines.
• Establish a check-in system in conjunction with the DMS/CMS and other sections to provide initial advances for new arrivals.
• As the Finance Section staff grows and mission support appointments are made, the following actions need to be taken to
formally establish a fully functioning Finance Office and the necessary delegates within the mission to sign bank cheques,
certify and approve expenditure:
− Establish procedures within the Finance Section for processing invoices and payment of vendors.

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 − Establish procedures within the Finance Section for processing travel claims and advances.
− Create account codes in SunSystems for all new arrivals based on personnel check in.
− Establish procedures and staffing within Finance Section for processing of payroll based on new arrivals and attendance
records for all mission personnel.

(b) Establish procurement systems

The essential tasks the AT Procurement Officer should undertake in establishing basic mission procurement capacity,
specifically in establishing the material resource plan, are as follows:
– Obtain acquisition plan from DPKO/DFS (Logistics Support Division (LSD), CITS) as a basis for determining initial
procurement requirements.
– With the assistance of LSD and CITS, identify which requirements in the acquisition plan are not secured through SDS or
viable system contracts, and determine what procurement actions are needed.
– Ensure delegation of procurement is issued by OIC AT to individual AT procurement personnel, as appropriate. A
procurement delegation is needed for any obligation more than $2,500. Procurements in excess of the delegation of OIC
AT need to be initiated and managed by UNHQ until a Local Committee on Contracts (LCC) and a Tender Opening
Committee (TOC) are established.
– Set-up mobile procurement workstations -- complete with dedicated procurement software (Mercury).
– Install agreement and contract templates for accommodation lease, surface transport operator agreement, etc., and have
them translated, when necessary.
– Determine which quick-start requirements (accommodation, vehicle hire, etc.) can be accomplished in advance.
– Request local procurement authority requirements beyond procurement delegations (core requirements, special
requirements, or standard requirements).
– Secure immediate accommodation requirements and local transport for AT, as required.
– Task one Procurement Officer in MHQ location city to research administration and logistics locations.
– With input from Engineering Officer, survey all sites and solicit offers for all required facilities.
– Survey and solicit offers on all regional office locations, supplemented by information obtained by the TAM.
– Interview local staff candidates in consultation with the Chief Civilian Personnel Officer (CCPO). CCPO will then
finalize agreements. Local staff should only be employed after the section for which they will work is staffed with trained
United Nations international staff. This is to ensure that the appropriate control and training mechanisms are established.
– Negotiate and execute contracts for MHQ, related offices, accommodation and all subsidiary support contracts.
– Assist with the establishment of the mission’s Procurement Section.

(c) Establish personnel systems

The essential tasks for establishing the basic mission recruitment, personnel induction and management capacity during AT
deployment are the following:

(i) Recruitment strategy, work plan and working group: Before a major recruitment effort is started, the substantive and
administrative sides of a mission should meet to develop a recruitment strategy and a work plan to meet recruitment needs; to
manage expectations; and to clarify rules and procedures. The recruitment plan should be based on prioritized recruitment needs,
taking into account political aspects of a mission (e.g., the need for regional representation of locally-recruited staff among
different ethnic backgrounds or political parties).

In the work plan, the following could be identified and agreed to:

Setting recruitment of critical staff as a priority. Consideration should be given to staff on temporary duty (TDY) and to the
recruitment of national professional officers and locally-recruited General Service staff (needed immediately for support
functions).

Assigning staff with human resources management expertise to support each section in their recruitment.

Explaining the recruitment procedures to all stakeholders.

Explaining the use of human resources IT systems in the recruitment process.

Agreeing to a timeline and, if needed, establish a working group to review progress and solve problems.

Explaining the critical importance of timely designation of staff, as required.

A Human Resources Manager who has the knowledge, skills and authority needed for the selection and appointment of locally-
recruited staff should be on the ground early during the deployment process. Locally-recruited staff are especially important for
the proper functioning of any mission. In addition to the duties that they perform to support the mission mandate, locally-
recruited staff provide valuable local knowledge and experience.

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 (ii) Steps to be taken before the approval of posts: The AT Personnel Officer and programme managers can take some steps
towards recruitment of staff in anticipation of General Assembly approval of staffing tables and budgets, including reviewing
short-listed candidates and identifying currently serving staff members for TDY.

(iii) Recruitment, staff selection and on-boarding procedures: The AT Personnel Officer should make all basic recruitment
procedures available for arriving line managers. (The staffing process, which is composed of rostering, selection and on-
boarding, is explained in more detail in chapter 4.)

(iv) Temporary duty (TDY) assignment: Long-term recruitment during mission start-ups can be time consuming. To avoid
delays with the regular recruitment process, mission start-ups make use of TDY staff members for a period not to exceed three
months. TDY involves the temporary loan of a staff member from one mission to another, or of the temporary loan of a
regularized staff member from UNHQ, offices away from UNHQ, agencies, funds and programmes to a field mission. Again,
the staff member may be deployed for up to three months, maximum. TDY assignments provide the receiving mission with
highly experienced and qualified staff with unique expertise to meet urgent support requirements during start-up, expansion,
liquidation/downsizing or during any other limited period. Missions may coordinate bilaterally with each other to arrange TDY
assignments. Following agreement between the two missions, the requesting mission initiates a formal request addressed to the
releasing mission, with copy to Field Personnel Division (FPD), for the release of the TDY candidate.

(v) Ninety-day follow-on assignment of staff from downsizing or liquidating missions: Staff from downsizing or liquidating
missions may be placed in start-up missions, on a provisional basis and up to 90 days, pending the completion of the competitive
selection process.

(vi) Tiger Teams: The AT Personnel Officer may also request the creation of a Tiger Team to assist with personnel
management issues during start-up. The Tiger Team is an ad hoc group of human resources specialists that assists missions in
reaching prescribed incumbency targets within established timeframes, focusing mainly on staffing issues.
(vii) Flexibility measures: When a Tiger Team is not available, the mission could seek flexibility measures. Such measures
must be approved by UNHQ. For official guidance on flexibility measures, contact FPD directly.

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4. Establishment of the Mission Headquarters

With the basic infrastructure established during the AT deployment phase, the next critical step – stage two in the mission start-
up process – is the establishment of the initial operating capability for mission headquarters (MHQ). This process must include,
in particular, establishing a functioning decision-making structure; management support functions, such as budget and planning
and information management; and coordination arrangements with other United Nations partners, including the UNCT.

This chapter begins with an introduction to mission headquarters of peacekeeping missions. This is followed by an overview of
IOC, which, once achieved, will indicate that the start-up phase for MHQ has been achieved. The final section provides a
detailed outline of the managerial systems that need to be established for a mission to reach the IOC level illustrated in section
4.2.

4.1 Introduction

MHQ is the operational centre of a United Nations peacekeeping operation. It serves as the managerial and administrative hub of
what will become a large and complex institution tasked with achieving a range of difficult political and operational objectives
in a fluid environment. It is critical to ensure that underpinning systems are in place as early as possible.

As United Nations peacekeeping has evolved into a multidimensional activity, peacekeeping management models have also had
to adapt. The challenge of integrating the various components of peacekeeping operations (civilian, police, military and support)
as well as the need to coordinate with other actors requires additional management approaches and governance structures to help
a large and complex field mission function more smoothly from the start-up onward. These will be discussed in more detail in
section 4.3.

The basic considerations that should guide the start-up of MHQ are the following:

• A functioning MHQ is delivered through an organized body of managers who drive the mission’s internal cohesion and who
collaboratively establish its core managerial processes, such as planning, budgeting and recruitment.

• Managerial commitment to cohesion and problem-solving is essential. Administrative systems can never replace a committed
group of leaders and managers acting as a team to achieve a common vision and to work around problems.

• Senior management forums (as described in sections 4.3.1 and 4.3.2) should focus on effective and efficient decision-making,
planning and coordination.

4.2 Mission Headquarters Initial Operating Capability

The early objective of senior managers arriving in a new mission is to establish IOC at the level of the MHQ to allow for wider
mandate implementation. This is achieved by attaining a number of critical indicators, outlined in this section, for the
establishment of managerial systems within MHQ. Section 4.3 then outlines four priority systems and tasks to help build
capacity to achieve these indicators. Further details on individual functions are provided in chapters 5 to 9.

Indicators that are considered essential building blocks for a functioning MHQ are outlined below.

Mission governance and decision-making arrangements established:

Authority, command and control, and managerial reporting arrangements -- particularly for joint structures such as the Joint
Operations Centre (JOC) and the Joint Mission Analysis Centre (JMAC) – are clarified through a clear directive from
SRSG/HOM, in accordance with existing policy.

MHQ structures and responsibilities of individual components are delineated, including for force headquarters and military
command framework, for police headquarters and chain of command and for civilian component managerial structures.

Mission Leadership Team (MLT) and Senior Management Group (SMG) (see section 4.3.1 and 4.3.2) meetings are held
regularly and chaired by SRSG/HOM.

Officer-in-Charge is designated to cover in the absence of the SRSG/HOM. Any delegations of authority from SRSG/HOM
to other managers are clearly articulated through SRSG/HOM directive or decision.

Mission security arrangements in place:

Network of security professionals is in place and security risk assessment undertaken.

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SRSG/HOM has been fully briefed on responsibilities and is reviewing security assessments regularly.

The Designated Official convenes and chairs regular SMT meetings.

MOSS/MORSS has been communicated to those staff responsible for planning mission start-up and has been factored into
all mission planning and budgets.

MOSS/MORSS standards are in place for all MHQ premises.

Mission and UNCT warden system set up, and any information systems for security notifications for all personnel are in
place.

Heads of all United Nations security entities (Chief Security Adviser, Head of Military Component (HOMC), Head of
Police Component (HOPC), VIP protection team, UNCT security, etc.) have agreed to respective security responsibilities
and are coordinating their tasks under an integrated security concept.

Arriving personnel are being briefed on security situation and they are given all relevant security and crisis procedures
and/or any safety/security equipment.

Crisis management systems agreed to and in place:

Crisis Management Team (CMT) is established, in accordance with DPKO/DFS procedures.

Crisis Manager (and alternate) is pre-designated to coordinate mission response and lead CMT during a crisis.

JOC is established as CMT meeting point during crises, and minimum equipment and standard operating procedures (SOPs)
are in place to support CMT.

At least one exercise or “dry run” of CMT assembly and simulation of a crisis has been conducted.

Mission plan approved:

Strategic planning cell (mission planning capacity), shared analytical planning capacity (UNCT-mission planning capacity)
and senior planning coordination structures established.

Mission concept and integrated strategic framework (ISF) are completed and approved by the mission, and in the case of the
ISF, by the mission and UNCT senior leadership.

Work on components’ work plans has begun, derived from the ISF.

Responsibility is assigned for ongoing monitoring of implementation of mission plan and for initiating reviews.

Core mission support planning and logistics functions operational:

Office of DMS/CMS (O/DMS/CMS), Office of CISS (O/CISS) and Office of CAS (O/CAS) are at IOC (see sections 5.4,
8.1 and 8.2).

AT tasks are completed or substantively completed. (See chapter 3 for more details.)

Mission support CONOPS is agreed to.

JLOC is established and functioning (see section 8.6).

Budget and finance systems operational:

AT finance tasks are completed. (See chapter 3 for more details.)

All incoming managers are briefed on their existing initial budget allocations and staffing tables.

DMS/CMS and the COS are assigned as leads on RBB development process.

All mission managers are aware of their RBB responsibilities and mission procedures for development of RBB.

Linkages between mission plan and RBB are established by COS.

Initial mission budget is submitted, defended and finalized.

Delegations of authority are in place to allow mission to locally enter into financial commitments.

Recruitment, reception and induction systems operational:

All necessary delegations of authority for recruitment are in place.

All managers have been advised of responsibilities, authorities and procedures for recruitment within their components.

Key mission posts are identified as priority by MLT/SMG, and recruitment progress for these posts are being monitored
closely by COS, DMS/CMS and CCPO.

Majority of senior and middle mission managers (including a number of section chiefs) have been recruited.

UNHQ Tiger Teams or other additional support/expedited measures are being requested, as needed.

Streamlined staff reception and check-in process is in place.

Basic staff induction programme is in place.

Reporting and information management systems functioning:

Clear reporting requirements from field offices (FOs), mission components, including from joint and integrated structures,
and, as appropriate, from UNCT are established.

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MHQ–UNHQ reporting requirements are in place, including secure reporting, with all official reporting cleared by the
SRSG/HOM.

Internal information management systems are established for disseminating information downward and outward from
SRSG/HOM and MLT to section chiefs, FOs, LOs, etc. (e.g., distribution lists for outgoing/incoming code cables and
decision notes or directives).

Joint and integrative structures operational:

JMAC and JOC are established, with proper resources and mandates. (See joint structures in section 4.3.)

JMAC has received MLT guidance on its priority information requirements.

Working relations between joint structures (JOC/JMAC) and line analysis and reporting offices (e.g., military information
service (J2) or Political Affairs Office) is harmonized and cooperative.

Standing or ad hoc working groups or task forces (part-time or full-time) are established, as required, to generate integrated
plans or other products for cross-cutting mandate tasks (e.g., protection of civilians). Clear terms of reference (ToR) and
senior management direction have been given to working groups and task forces.

Conduct, discipline and oversight systems in place:

Conduct and Discipline Team (CDT) is established and functioning.

Reporting and consultations mechanisms between the SRSG/HOM, military, police and mission support components and
the CDT are in place.

The CDT is consulted on issues affecting conduct, discipline and welfare, through participation in SMG.

Clear directives on standards of conduct and expectations are sent from the highest level of SRSG/HOM and MLT to all
mission components.

Information on the importance of maintaining the highest standards of conduct and the potential impact of misconduct on
the mission’s mandate is regularly integrated in key messages from the SRSG/HOM to all categories of United Nations
personnel.

Senior staff are advised of their responsibilities to uphold zero tolerance policy and all conduct-related guidance, as they are
on their responsibilities to actively manage staff conduct.

Reporting mechanisms related to conduct issues are in place.

Clear delineation of responsibilities and mechanisms for consultations between CDT, oversight bodies and investigations
are place.

Public information strategy and capabilities in place:

Public information strategy is established for the first phase of mission, in line with mission concept of operations.

Mission Press Office is established and contacts are made with local and international media in country and the region.

Press briefings have begun by SRSG/HOM and spokesperson on mission mandate and details of deployment.

Media monitoring is established and assessing how the mission is being received and its mandate understood, in order to
help mission refine public messaging and target misperceptions.

Daily contact is being maintained with the Office of the Spokesperson for the Secretary-General in UNHQ, with mission
PIO forwarding regular and timely information on deployments and other events during mission start-up.

Regular press releases and video and photo coverage are being produced of deployments and other events in mission start-
up.

Contacts are established with appropriate host country officials to ensure cooperation and to obtain authorization for United
Nations mission broadcasting, should broadcasts be planned for the mission.

Public Information Working Group is established across the United Nations system and with the appropriate partners, to
ensure coordinated public information approaches.

Trust fund and Quick Impact Projects (QIPs) systems in place:

QIPs Committee is established by SRSG/HOM in close coordination with the DSRSG/HC/RC. Initial guidance on project
identification is issued, in accordance with DPKO/DFS policy and guidelines on QIPs.

QIPs account and allotments are established by UNHQ, based on ToR established by QIPs Committee.

Trust fund is established to utilize voluntary contributions to implement programmes and projects in support of the
mission’s mandate.

Coordination systems with UNCT in place:

Office of DSRSG/RC/HC (O/DSRSG/RC/HC) (or DSRSG and RC/HC offices, respectively, if the mission is not
structurally integrated) is in place and functioning.

UNCT strategic planner is deployed to the O/DSRSG/RC/HC.

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Regular consultations with UNCT are underway and the Shared Analytical and Planning Capacity as well as planning
coordination structures between mission and UNCT are established.

United Nations Humanitarian Civil Military Coordination (CMCOORD) function is established by the mission’s civilian
humanitarian and OCHA; and the civil–military liaison function is established within the military structure to manage civil–
military interface and requests for civil assistance from military assets.

The above represent cross-cutting managerial indicators of IOC for the start-up of MHQ. See chapters 5 to 9 for more details on
function-specific IOC (e.g., military, police, procurement, civil affairs, public information, etc.).

4.3 Mission Headquarters management structures and support systems

This section introduces the systems and associated tasks that need to be established for the MHQ to build the capabilities needed
to achieve OIC, as outlined in section 4.2.

These are grouped into four categories, as follows:

• Critical decision-making systems
• Core management, planning and resourcing systems
• Management support structures and systems
• Relations with the UNCT

4.3.1 Critical decision-making systems

The mission’s critical decision-making systems include the following and are described in further detail below:
• Mission Leadership Team (MLT)
• Security Management Team (SMT)
• Crisis Management Team (CMT)

(a) Mission Leadership Team

MLT generally includes the principal leaders of a United Nations peacekeeping operation, including: SRSG/HOM, DSRSGs,
HOPC, HOMC, DMS/CMS and COS. The meetings of MLT are chaired by SRSG/HOM.

Figure 5: Mission Leadership Team

MLT, as a group, is the mission’s primary decision-making body.

Key tasks of the MLT include the following:

• Approving the mission plan and reviewing the mission budget before submission to UNHQ

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• Providing political guidance and high-level operational direction to SMG
• Approving high-level policy approaches for issues with mission-wide effect
• Making decisions on issues referred from the SMG

(b) Security Management Team

The Designated Official (DO), usually the senior-most United Nations official in a country, is responsible for the safety and
security of all United Nations staff in-country. In countries with a peacekeeping presence, this responsibility usually lies with the
SRSG/HOM. The DO is supported by the Chief Security Adviser (CSA), the United Nations Department for Safety and Security
(UNDSS) at UNHQ and the integrated Security Management Team (SMT). The SMT consists of representatives from the
peacekeeping mission as well as the UNCT, and it acts as a consultative body on United Nations security arrangements in-
country. (For further details on the composition and SOPs of the SMT, refer to the UNDSS Field Security Handbook.)

While the safety and security of staff and facilities is largely situation-specific, some key standards have been developed (e.g.,
MOSS, MORSS). These standards are established, implemented and monitored at the direction of the DO/SMT. MORSS apply
to international staff, while MOSS apply to both international and national staff. Although uniformed personnel do not usually
fall under the United Nations safety and security system for United Nations staff, the heads of the military and police
components should work closely with the CSA to ensure that the best possible security arrangements are put in place for all
personnel. The heads of the military and police components are accountable to the SRSG/HOM for the security of uniformed
personnel.

Individual military and police officers deployed to missions can be placed under the United Nations security management
system if supported by a threat assessment and endorsement of SRSG/HOM.

The basic United Nations security and safety arrangements that need to be put in place include the following:
• Security risk assessments: UNDSS as part of the pre-deployment planning will undertake a security risk assessment. Once
security staff are deployed to the mission, the security risk assessment will be reviewed on a regular basis and as required.
• Security training: All United Nations peacekeeping personnel must take basic and advanced training courses on security in
the field before they deploy. Personnel who have not completed this training before deployment should make it a first priority
when they arrive. This training is available online.
• On-arrival briefings: As part of check-in and induction, all arriving personnel should be briefed on the security situation,
security measures in place and what to do during an emergency or evacuation.
• Emergency communications: These arrangements include radio, etc., and they should cover all personnel, including those at
deployment sites. All deployment sites should be included in the mission emergency communication network.
• Emergency notification systems: Warnings of emergencies by radio and other means of communication should be
supported by a warden system or another “cascade” notification procedure transmitted through residential wardens or by
making managers responsible for notifying their staff and keeping them informed of developments. Warden systems need to
be constantly reviewed and tested, as they fall into disrepair easily.
• United Nations residential security standards: Residential security arrangements should include defensive/mitigating
measures against criminality and common banditry. All staff should be briefed on minimum security requirements for their
residential locations.
• Contingency and security plans: Mission contingency and security plans, including evacuation measures, should include all
staff. Plans should be kept up to date, communicated to staff and rehearsed periodically, so that staff know the procedures.
• Staff tracking system: Staff movements should be tracked within and to/from the mission area.
• Vehicle operations: To avoid any security incidents, all staff who operate vehicles should be qualified to do so. They should
be briefed on the road conditions and driving culture of the country, including what to do if involved in a vehicle accident.
Where convoys are required, convoy procedures should be in place and rehearsed.

33
(c) Crisis Management Team

All United Nations peacekeeping operations should be prepared for a crisis1 situation. The quality of the mission’s response will
be determined by its pre-existing crisis management systems and the preparedness of its managers. The Crisis Management
Team (CMT) is the critical decision-making body and advisory committee to the SRSG/HOM during an emergency.

The SRSG/HOM or DO should chair the CMT. The CMT membership should be predetermined, 2 routinely employed and
exercised. The membership must be widely known among mission managers, to allow for rapid response in case of a crisis. The
mission’s JOC is an integral part of the crisis response process. JOC must also be well established and exercised in its role of
crisis support to senior leadership. (For further information on JOC, see section 5.10.)

During a crisis event, it is essential that critical staff members are aware of their respective roles within the following groupings:
• Crisis managers (i.e., CMT and support staff in JOC and communications personnel) should assemble quickly, as a body,
for information collection and collation and for decision-making and tasking, including provision of timely and relevant
information to UNHQ (via the Situation Centre).
• Potential responders within the mission should assemble at designated locations and await instructions on crisis-response
tasks from CMT. Initial responders are usually the mission’s operational security elements, such as military contingents,
Formed Police Units (FPUs) and United Nations Security Officers. However, the political and public information response is
equally important.
• Other personnel should first and foremost seek to obtain safety and security information and follow instructions issued by
their managers or wardens, or through emergency communications channels.

All staff should be made aware of the mission’s basic crisis management procedure, as follows:
• In an emergency situation, staff members should respond according to mission standard procedures, including designated
supervisors responding to coordination centres and ultimately to JOC.
• In all cases, official notification to SRSG/HOM about crisis or emergency events should be provided through the JOC Duty
Officer, as directed by the Chief/JOC.
• CMT shall be activated by SRSG/HOM decision (or OIC) following a briefing on the current situation from Chief/JOC.
• JOC acts as the primary hub for all crisis information. CMT members should assemble at or near the JOC to receive briefings
on the crisis and begin to make critical decisions on the mission’s response. All reports on the crisis event(s) should be
submitted to CMT, through JOC. The crisis venue shall be supported by JOC, augmented as needed, and continue to support
CMT requirements throughout the course of the crisis.
• Response personnel shall stand-by to receive tasks through respective command or management structures, based on CMT
decisions and directions.
• Remaining staff members should await instructions from CMT through emergency notification systems and refresh
themselves on relocation or evacuation procedures, if necessary.

4.3.2 Core management, planning and resourcing systems

Large multidimensional mission require critical managerial systems to set broad-based management approaches and priorities as
well as managerial processes that allow the mission to plan its activities and obtain the resources to implement that plan.

The critical management systems to be established by the mission, as a priority, are the following:
• Senior Management Group (SMG)
• Integrated Mission Planning Process (IMPP)
• Results-based Budget (RBB) process
• Procedures and capacity for rapid recruitment of mission personnel

1
A crisis is understood to be an action, incident or event that presents an exceptional and imminent threat to any of the
following: safety and security of personnel in United Nations peacekeeping operations and missions; security of mission assets
and premises; effective functioning of the mission; viability of the mission mandate.
2
CMT should normally include at least the following: DSRSG(s), the heads of the military and police components and the
Political Affairs Office and Public Information Office; the COS, DMS/CMS, CSO and CSA and, as applicable, RC/HC.
Depending on the nature of the event, CMT may wish to expand to include specialists such as the CISS, the Chief Medical
Officer/Force Medical Officer, the Spokesperson and others. The CMT Chair should be a senior manager but should be selected
based on her/his experience in crisis management, as CMT must be able to make decisions quickly.

34
(a) Senior Management Group

The SMG is a managerial forum that brings together the wider group of top mission managers to focus on core managerial
functions to ensure that start-up is cohesive and that systems are in place to address mandate implementation and operational
issues in an integrated manner. The make-up of SMG is at the discretion of SRSG/HOM. However, it should include all section
chiefs. This allows for effective coordination and information flow as well as a wider level of exposure to and buy-in for
management direction.

During start-up, the SMG should meet regularly (daily or weekly, as needed) to address the following tasks:
• Consider political direction set by SRSG/HOM and MLT.
• Define implementation strategies and monitor implementation against mission concept (approved by MLT) and political
direction as set by SRSG/HOM and MLT.
• Discuss and endorse tasks and benchmarks of all components under the ISF (see below).
• Provide ongoing review of mission plans, as outlined in ISF, mission concept, etc.
• Discuss respective needs/concerns and need for any cross-cutting action or contingency planning.

O/SRSG/HOM will carry out the following tasks to establish the SMG, in consultation with SMG membership:
• Establish and disseminate clear ToR for SMG membership, roles, responsibilities and functioning.
• Make recommendations on how the SMG will execute the three central managerial processes of mission:
– Mission planning
– RBB processes
– Reporting on progress in achieving plans, including submissions to the Secretary-General’s report
• Establishes procedures for effective and transparent information management in MHQ to support effective operation of SMG
and to transmit its decisions to mission personnel and other partners.

(b) Integrated Mission Planning Process (IMPP)

Planning within the mission is coordinated by the senior planning officer, under the direction of COS (on behalf of the
SRSG/HOM) and with the involvement of the entire SMG and UNCT. The senior planning officer heads a strategic planning
cell (SPC) that may be comprised of one or more officers. In large integrated missions, for example, the SPC generally consists
of a senior planning officer (P-5), a planner officer (P-3/P-4) and a coordination officer (P-3/P-4).

It is important that mission planning is not left to part-time focal points or junior staff members who lack the experience to
coordinate complex, mission-wide plans into a single coherent planning document. Mission planners should be dedicated staff
who arrive early to the mission and should, ideally, be insulated from day-to-day operations.

The Mission’s SPC works in close cooperation with the Strategic Planner(s) in the UNCT on integration-related strategy and
planning. While some missions may decide to establish a structurally-integrated planning unit for this purpose, this is not a
requirement. At a minimum, however, both mission and UNCT should identify focal points within their respective planning
cells that form part of a shared analytical and planning capacity of the United Nations and have a joint Terms of Reference.

The shared analytical and planning capacity should benefit from oversight by the senior leadership of both the mission and the
UNCT, including the SRSG/HOM. Its core functions should include, among others, to serve as a secretariat to mission-UNCT
integrated planning and coordination bodies and provide support to the development of a UN system-wide integrated strategic
framework.

The shared analytical and planning capacity should also work closely with the UNHQ-based Integrated (Mission) Task Force
(ITF/IMTF). For example, mission and UNCT planners should participate in ITF/IMTF meetings via teleconferencing facilities
and the mission; UNHQ groups should exchange meeting summaries/action points (for further guidance on the establishment of
the shared analytical and planning capacity, see the IMPP Guidelines for the field.)

(i) Mission-internal Planning: Mission Concept, Component CONOPS and Work Plans

35
Multidimensional peacekeeping missions should have a mission concept that provides political and operational direction,
contains related timelines and outlines lead/supporting roles for priority activities of mission components to achieve the
mission’s mandate. The mission concept should include the mission’s priority tasks and related organizational and deployment
structure. The DPKO Integrated Operational Team (IOT) should elaborate the mission concept, in partnership with mission staff
during the mission start-up phase.

The mission concept provides the overall policy umbrella for individual mission component concepts, often called concepts of
operations or CONOPS. Generally, the support, police, military, and substantive components should elaborate their own related
CONOPS under the overall guidance of the mission concept. The objective of a component CONOPS is to link the mission
mandate to the execution of key objectives, such as strategic intent, organization and deployment (including timelines),
security/force protection, terms of engagement, administration and logistics, and command and control.

Based on the mission concept and component CONOPS, each individual unit within the mission should develop a work plan.
The basic elements of an office/component work plan are the following:

• Component/office objectives (as a contribution to mission objectives)

• Tasks necessary to achieve each stated objective
• Staff (and other resources) currently assigned to each task (with lead and supporting responsibilities identified)
• Partnerships (internal to mission and external) needed to deliver on tasks
• Risks to achieving these tasks and proposed risk management strategies

After work plans have been developed, managers should develop clear ToRs for all staff members to encourage and ensure
service delivery. ToR are based on the role each staff will play in achieving the team/component work plan. ToRs should also
include any focal point responsibilities typical to all mission units (IT focal point, records management focal point, Intranet focal
point, etc.).

These internal planning processes will greatly help managers with subsequent performance management if problems occur with
staff members or, more generally, with fulfilling performance management requirements for their section/office/component.

For further guidance on mission planning consult:

IMPP Guidelines: Role of the Field in Integrated Planning for UN Field Presences; IMPP Guidelines: Role of the
Headquarters in Integrated Planning for UN Field Presences (United Nations Peace Operations Guidance Framework
http://intranet.dpko.un.org)

For examples of Mission Concepts, consult the IMPP Communities of Practice. To register go to http//:cop.dfs.un.org/

(ii) Mission-UNCT planning: the Integrated Strategic Framework

The primary strategic planning tool between the mission and the UNCT is the integrated strategic framework (ISF). An ISF
should include a shared vision of the United Nations strategic objectives and a set of agreed results, timelines and
responsibilities for the delivery of tasks critical to consolidating peace. The ISF is developed by the senior leadership of both the
mission and the UNCT through relevant integrated field coordination structures.

The purpose of the ISF is to:

• Bring together the mission and the UNCT around a common set of agreed peace consolidation priorities
• Prioritize and sequence agreed elements
• Facilitate a shift in priorities and/or resources, as required
• Allow for regular stocktaking by senior managers

The ISF should be prepared as soon as possible during the mission start-up. It may include fund-raising priorities for UNCT
activities that will be needed to complement the mission’s resources in order to achieve key elements of the missio’s peace
consolidation mandate (e.g., funding for reintegration in a Disarmament, Demobilization and Reintegration (DDR) plan, training
and capacity building for the police/judiciary, etc). More detailed peacebuilding or peace consolidation proposals may
subsequently be linked to the ISF, as a further elaboration of medium-term post-conflict priorities.

36
The process should begin with a mapping of existing assessments, diagnostics and conflict analysis. The ITF/IMTF may have
already completed key analysis that should be reflected in the elaboration of the strategic objectives of an ISF. For instance, the
analysis of the root causes of conflict and United Nations priorities in the strategic assessment (if completed) should provide a
starting point. The inaugural report of the Secretary-General on the mission should also provide a roadmap of some of the key
strategic level outcomes, along with suggested roles and responsibilities shared by the mission and UNCT. Inclusive thematic
discussions should be carried out between the mission and the UNCT to determine the content of the ISF.

The actual content of the ISF should include, at a minimum:

• Situation analysis of the country (including current conflict triggers)
• UN’s combined mandate and partnerships (reflecting UN architecture on the ground)
• Desired peace consolidation end state
• Key priorities for peace consolidation (expressed as strategic objectives) and related strategy for each
• Results for each strategic objective (pitched at the level of “expected accomplishments” in the RBB metholology
• Timeline
• Responsibilities (“who does what”) and coordination arrangements for implementation
• Tracking/Monitoring framework (streamlined stoplight system is suggested)

Figure 6: Scope of the Integrated Strategic Framework and Linkages with other Mandated Frameworks

Informs &
Updates

Scope of the
ISF

The scope and content of an ISF will be unique in each country situation. Figure 7, for example, represents the possible scope of
an ISF in a peace consolidation or peacebuilding context. The scope would shift and narrow considerably in more volatile
conflict situations. A review of current ISFs3 reveals the following thematic priorities and may be indicative for future ISFs:
security sector reform, DDR, rule of law, restoration of state authority, protection of civilians, return and reintegration and
durable solutions, recovery (including at the early stage), and basic social services. These issues involve potentially political and
necessarily sequenced inputs from number of UN actors and, thus, could benefit from inclusion in an ISF to promote a coherent
approach and a clear allocation of roles and responsibilities.

For further guidance on planning, including on implementation and monitoring & evaluation tools for the ISF, see the Integrated
Mission Planning Process: the Role of the Field in Integrated Planning for UN Field Presences .

3
Reflects the thematic priorities in ISFs under development in Chad, DRC, and Cote d’Ivoire.

37
(c) Results-based Budgeting process

The Results-based Budgeting (RBB) process flows directly from planning. RBB is the process by which all United Nations
peacekeeping operations resource their activities and measure performance. Planning and budgeting is therefore a continuous
activity conducted by all components of the mission.

The COS and DMS/CMS are the managers responsible for coordinating and ensuring coherence between the planning and
budgeting processes. COS ensures input from substantive offices and component headquarters. The DMS/CMS is responsible
for compiling the budget and consolidating the data for the performance report at the end of the financial period. All senior
mission managers should be aware of and contribute to these processes. Managers should contact the mission’s Chief Budget
Officer (CBO) to familiarize themselves with the RBB process and timelines as soon as possible. The CBO should also be
proactive in this respect.

The mission’s budget counterpart at UNHQ is the Budget and Performance Reporting Service (BPRS) in the Field Budget and
Finance Division (FBFD) in the Department of Field Support (DFS). The BPRS coordinates budget submissions to the General
Assembly with the Peacekeeping Financing Division (PFD) of the Office of Programme Planning Budget and Accounts
(OPPBA) in the Department of Management. PFD represents the Secretary-General on peacekeeping budgetary matters. As
such, PFD is responsible for presenting the resources usage/performance report to the legislative bodies. Mission budgets are
ultimately approved by the General Assembly after consideration by the Fifth Committee (Administrative and Budgetary) and
by the Advisory Committee on Administrative and Budgetary Questions (ACABQ), which is a subsidiary body of the Fifth
Committee.

(i) Budget timelines

Missions often deploy with bridge funding (through a Pre-mandate Commitment Authority (PMCA) mechanism or an interim
budget, as mentioned in chapter 2). However, this may not be enough to resource the mission through the full start-up phase, and
it is unlikely to provide for a year of full operational activity.

The new mission must prepare itself to contribute to the standing budget cycles of the ACABQ and the Fifth Committee, which
meet in the first and second quarters of each year, respectively, to review peacekeeping budgets. While this timing can put a
strain on the limited mission capacities available during start-up, it is important that managers across the mission pay sufficient
attention to this process -- not least because it allows them to adjust plans and budgets according to what is usually a fluid
situation in on the ground.

(ii) Budget procedure

The basic budgeting procedures at the mission level are the following:
• The in-mission budgeting process is triggered and directed by the Budget Instructions issued by the Controller. DFS, through
BPRS, circulates these to missions. At the same time, DPKO provides strategic guidance to SRSG/HOM. SRSG/HOM
ensures this guidance is received from UNHQ, as early as possible.
• After receiving the strategic guidance and based on available integrated mission plans SRSG/HOM tasks COS and
DMS/CMS to begin the RBB process.
• The DMS/CMS appoints CBO as the coordinator and as adviser to all the mission’s support and substantive components on
how to engage with the process.
• The COS ensures that the RBB objectives are aligned with the mission plan and that substantive components submit their
resource requirements in a timely manner and in the form required by RBB guidelines.
• Component managers develop RBB submissions based on their contribution to the mission plan and drawing on existing
work plans.
• The SMG meets, at least once, to discuss key budget priorities to be defended in front of the legislative bodies of the General
Assembly.
• The DMS/CMS and COS track progress of budget through the Secretariat (DPKO/DFS and PFD reviews) and the legislative
bodies (ACABQ and Fifth Committee) to ensure, as much as possible, that critical mission priorities are understood and
resourced.
• The DMS/CMS and COS, with DPKO/DFS advice, determine which senior mission managers will defend the budget in front
of the legislative bodies of the General Assembly.

38
Figure 7 outlines the broader steps of the RBB process, from the issuance of the strategic guidance to the approval of the budget
by the legislative body of the General Assembly.

Figure 7: Budgeting a United Nations Peacekeeping Operation

The budgeting process is often not synchronized with the UN Mission Plan
cycle, due to the exigencies of the Fifth Cmte (ACABQ)

Strategic Guidance RBB Approved by

Budget Instructions Mission Drafts RBB Mission Senior
from UNHQ Management Group

SRSG approves and

UN Mission Component
UN Mission Plan RBBs
submits RBB to
UNHQ

Peacekeeping
DPKO and DFS Financing Division,
review and submit to Department of
Primary Responsibility
DM Management
submits
Member State

Secretariat
SRSG Presents RBB ACABQ
Mission HQ to ACABQ
Secretariat and
Mission HQ

Fifth Committee
gives final approval

Successful budgeting depends on identifying and articulating measurable outcomes that advance the objectives of the mission
concept.

The emphasis on a prior planning product ensures that a logical planning framework links strategic guidance (i.e., mandate and
strategic guidance from UNHQ) to basic planning products (i.e., mission objectives, outputs, activities and milestones) to the
RBB framework elements in order to establish inputs and cost estimates. If they are not linked explicitly, the mission planning
and budgeting processes can fail to properly resource mission activities.

(d) Workforce planning, recruitment, staff selection and on-boarding of civilian staff

(i) Planning staffing requirements and designing the staffing structures

When a new peacekeeping operation is mandated or a current mission is transitioning, the Field Personnel Division (FPD) in
DFS is tasked with developing the staffing requirements and designing the organizational structure of the mission based on the
inputs of the relevant functional areas including the mission. The staffing needs of the mission are planned on the basis of the
report of the TAM and the concept of operation which indicate the mission’s objectives and activities. These will help identify
the substantive and support components as well as the categories, number and level of the posts required for each component.

39
FPD uses guidelines on the organizational structures of the missions, reporting lines, categories of staff, classifiable levels of
posts and standard functional titles. The process requires defining workloads for various functions in the substantive and
supports areas of the missions and factoring them into the proposed numbers and grade levels of posts.

(ii) Recruitment

Once the staffing tables are established and finalized in Nucleus, they will be locked by FPD and will be available for use by the
mission. When recruiting, it is important that missions use the post number, post level, functional title and organizational unit as
reflected in the Nucleus staffing table. This is particularly important given that the calculation of staff member entitlements are
linked to the organizational units they are assigned to.

Timely mandate implementation in United Nations peacekeeping operations is highly dependent on recruiting high-quality
personnel for both substantive and support functions. All mission managers must understand and be an active participant
responsible for the successful recruitment of staff. FPD is responsible for the design of the staffing table and populating and
maintaining rosters. The selection of staff is primarily a mission-driven process whereby missions select candidates from a short
list. The on-boarding or deployment of the selected staff member is also a mission-driven process. For complete details on the
current process, see both the following paragraphs as well as the SOPs on recruitment, staff selection and on-boarding.

To this effect, the roles of the CCPO, Programme Manager (PM), Occupational Group Manager (OGM) and SRSG/HOM are
specified below. An additional section on relevant definitions to facilitate understanding of the process is included.

A graphical representation of the recruitment process is highlighted below in figure 8

Figure 8 Workforce planning, field mission recruitment, staff selection and on-boarding

40
 Primary responsibility

Mission-driven process
Workforce
Planning
UNHQ-driven process

Staffing

Rostering (ROS) Selection (SEL) On-boarding (ONB)

Build and Post Vacancy Identify candidates Request medical
Announcement meeting position and clearance/ certificate of
Pre-screen applicants organizational good health
Conduct substantive requirement Select on-boarding
assessment Submit recommended method
Coordinate reference candidates Check permanent
checks Selection of candidates residency
Conduct Field Central Determine candidate
Review process Manage step or service allowance
rosters Prepare and send
documents
Review and approve
release request and/or
accept offer
Arrange visa and travel
Record appointment/
assignment start

The step-by-step selection process

CCPO consults the staffing table, the General Assembly mission mandate and any other relevant guidelines concerning
selection.

CCPO identifies timelines for filling of posts.

CCPO prioritizes posts to be filled.

CCPO approves position selection criteria in consultation with the Programme Managers and forwards them to OGMs in
FPD.

OGM searches the roster for suitable candidates, in accordance with the position selection criteria provided by the CCPO.

OGM short-lists candidates in the roster who meet the position selection criteria provided by the CCPO, taking into
consideration the Human Resources Action Plans (HRAP) and mobility goals.

PM reviews the short-list and recommends one or more candidates for selection.

CCPO reviews the recommended list, taking into consideration the HRAP and mobility goals.

CCPO approves the recommended list and forwards it to the SRSG/HOM.

SRSG/HOM selects one or more candidates, in accordance with the selection procedures outlined below.

41
Selection of Senior Staff

Under the delegation of authority from the Secretary-General, the SRSG/HOM is responsible for selecting staff up to the D-1
level, and makes recommendations to the Secretary-General for the filling of D-2 positions. The process for selection at the D-2
level culminates with the selection of a candidate by the Secretary-General after having received a recommendation from the
Senior Review Group pursuant to the ST/SGB/2009/2.

The SRSG/HOM will decide on the selection of candidates who have undergone a competitive process subject to review by a
central review body.

The SRSG/HOM will select the candidate he or she considers to be best suited for the functions, having taken into account the
Organization’s human resources objectives and targets as reflected in the departmental or mission human resources action plan,
especially with regard to geography and gender.

SRSG/HOM, in making selection decisions, will be guided by the following considerations:

The fullest regard is to be given to candidates already in the service of the Organization.

All internal candidates at the P-3 level applying for a lateral move, all internal candidates at the P-2 level applying for a
promotion as well as candidates from the National Competitive Examination roster at the P-2 and P-3 levels who are found
to possess the relevant professional experience must be fully considered against the applicable evaluation criteria. Such
consideration must be supported by a documented record.

Due regard shall be given to candidates from a non-family mission for vacancies in a family mission or headquarters
location, provided the candidate has completed at least the minimum standard length of assignment, which shall be three
years, in the non-family mission.

Due consideration shall be given for lateral moves of eligible staff before other candidates may be considered for selection.

Due consideration shall be given to candidates who have reached the maximum standard assignment length, which shall be
five years, in a peacekeeping operation or special political mission.

While there are no minimum seniority requirements, experience, knowledge and institutional memory relevant to the
functions must be considered as the personal contribution of the candidate to the achievement of the goals of the
Organization and as such are an important element of the selection process.

Due consideration shall be given to the proper representation of troop-contributing countries in DPKO and DFS as well as
in peacekeeping operations.

Due consideration shall be given to staff affected by abolishment of post.

On-boarding
The on-boarding process is defined as the processes of deploying a selected candidate to a mission, to include determining the
grade, issuing the offer of employment, arranging travel and scheduling participation in required training and orientation
programmes. For detailed information concerning the on-boarding process, please consult the SOP.

Definitions

Occupational Group (OG): Occupations and sub-occupations grouped into categories of work on the basis of similarity of
function

Occupational Group Manager (OGM): An officer responsible for managing the roster and supply of available candidates
with the necessary qualifications and expertise to meet the staffing requirements identified through workforce planning for a
specific occupational group or groups in peacekeeping operations and special political missions

Programme Manager (PM): Official responsible for assisting the SRSG/HOM in ensuring the delivery of mandated
activities by effectively and efficiently managing staff and resources placed under his or her supervision and for discharging
the other functions listed in section 6 of ST/SGB/1997/5 (as amended by ST/SGB/2002/11)

Head of Mission (HOM): Official appointed by the Secretary-General to head a peacekeeping operation or special
political mission responsible for implementation of the mission’s mandate as well as the effective management of the
mission’s resources

Post: For the purpose of this document, a position for which the General Assembly approved funding for at least one year.

Position: Job profile within an Occupational Group as well as the knowledge, attributes and skills required to perform the
functions

Evaluation criteria: Criteria used for the evaluation of applicants for a position

42

Substantive assessment: Determination of a candidate’s competence comprised of knowledge-based tests, competency-
based interview and other assessment methods related to the functions of a position

Expert Panel (EP): Panel of experts in a given occupational group that determines the suitability of candidates to be
recommended for inclusion in a roster through the conduct of competency-based interviews and other assessment methods,
as appropriate

Assessment Panel: Panel of members from the same or other occupational group that assists the Programme Manager or
his/her alternate in undertaking the substantive assessment of candidates for a specific vacancy

Central review bodies: Joint bodies established under staff rule 104.14 to ensure that candidates have been evaluated on
the basis of approved evaluation criteria and that the applicable procedures have been followed

Roster: Pool of candidates reviewed by a central review body who are available for selection against a vacant post

Selection decision: Decision by SRSG/HOM to select a preferred candidate for a particular vacancy from a list of qualified
candidates who have been reviewed by a central review body

Appointment decision: Authority to offer an appointment to a candidate after a selection decision by SRSG/HOM

4.3.3 Management support structures and systems

In addition to the core managerial start-up processes of planning, obtaining a budget and recruiting personnel, there are a range
of managerial support systems that can help integrate the mission and enable more efficient mandate implementation, if they are
established early on by mission management during start-up.

Managerial support systems include the following:

• Personnel systems to receive and induct incoming personnel and ensure good welfare and conduct
• Joint structures, working groups and task forces
• Monitoring and reporting systems
• Information management systems
• Oversight, investigation and discipline systems
• Comprehensive external communication strategy
• Program management: trust funds and QIPs

(a) Personnel support systems: conduct and welfare

The SMG is collectively responsible for ensuring that certain minimum staff management systems are in place during start-up.
This is essential so that the staff body of the mission operates as coherently as possible under a set of common understandings. It
is important that staff understands what the host population expects of it and that good morale is maintained. Although personnel
management functions are largely overseen by the DMS/CMS and CAS, the whole management group has an interest in these
systems being in place early.

(i) Reception and check-in

DMS/CMS, COS and CSA are responsible for ensuring mission personnel arrive safely, are received from ports of entry and are
moved into the check-in process. The check-in process should be as streamlined as possible so that staff receive the necessary
briefings and equipment as well as identification materials (Laissez-Passer (UNLP), ID card). In addition, CAS/ CSO must
ensure that all incoming staff receive security briefings and security-related equipment in line with the level of risk in the
mission as well as a briefing on emergency procedures.

(ii) Induction training

The COS, together with the Integrated Mission Training Cell (IMTC), ensures that an induction training programme -- in line
with the mission-specific induction training standards developed by DPKO/Integrated Training Service (ITS) -- is in place as
soon as possible. Mandatory training topics (such as sexual exploitation and abuse and HIV/AIDS) are an essential part of any
induction and should be prioritized. Equally important is a security briefing, if participants have not yet received one. If
resources permit, the induction should also introduce substantive topics and the administrative aspects of the peacekeeping

43
operation. In the absence of an IMTC, the mission can request DPKO/ITS to provide a Rapid Deployment Training Team. (For
more information on induction training and the IMTC, see section 8.19.)

(iii) Staff conduct and welfare

In addition to the essential personnel induction systems, both as part of the arrival process and throughout the life of the mission,
SRSG/HOM, COS and all senior managers must take responsibility for conduct and discipline issues and for the welfare of their
staff.

It is absolutely essential that upon arrival all United Nations personnel are officially notified, through the check-in and induction
processes, of the zero tolerance policy for sexual exploitation and abuse (SEA) and other applicable standards of conduct.
Managers should reinforce these messages regularly and ensure that United Nations personnel attend mandatory training on
SEA.

Induction briefings should also provide information on local social/cultural considerations of the host population, mechanisms
for reporting conduct issues and any mission specific measures adopted for the prevention of misconduct, including designated
“off-limits” locations.

The mission support component should ensure that briefings to United Nations personnel explain the mission’s recreation and
welfare arrangements for each category of personnel. Managers should encourage participation of all United Nations personnel
in recreation/welfare activities as a means of maintaining morale within the mission and preventing misconduct. Where there are
no formal recreation/welfare activities in place, the mission support component should consider establishing informal
recreation/welfare facilities and events for staff. (For more details on the role of the Conduct and Discipline Team, see section
5.8.)

(b) Joint structures, working groups and task forces

The different components of a peacekeeping operation (substantive, support, military and police) share a common mandate and
objectives, a common headquarter structure, a single budget and reporting lines. However, these structures alone are not
sufficient to overcome the differences in professional styles and traditions and to ensure integrated planning and operations. In
addition to the IMPP and the senior management forums described above, a mix of standing joint structures and working groups
are increasingly part of new, large, multidimensional operations.

United Nations peacekeeping operations have several standing structures that provide joint analysis and operational/logistical
support to the SMG and the wider mission, which include:

Joint Mission Analysis Centre (JMAC) is an all-source information and analysis centre.

Joint Operations Centre (JOC) is a 24/7 operations centre for situational awareness, integrated reporting and information
flows, contact services and crisis management support, which may also have a limited planning capacity.

Joint Logistics Operations Centre (JLOC) plans and directs all military and civilian logistics services.

For more details on the roles of the JMAC, JOC and JLOC, see sections 5.9, 5.10 and 8.6, respectively.

44
Figure 9: Standing Structures to Support Mission Integration

These joint structures, with the provision of sufficient resources and support by senior management, can act as force multipliers
across the full range of capabilities and tasks of a United Nations peacekeeping operation. They need strong managerial support
from the beginning as well as quality personnel seconded from line components. They can be important tools for bringing
together and adding value to the work of the mission’s line components. Joint structures support not just one manager; they
produce synthesis products of value to the leadership team as a whole. As mission-wide resources, these structures generally
report administratively to COS or DSRSG.

In addition to these standing joint structures, managers may also use ad hoc or standing working groups and task forces. In
United Nations missions, these informal coordination/integration structures have proven very useful for handling cross-cutting
issues (e.g., protecting civilians, gender issues, planning, budgeting, staff welfare, etc.) that may not have been fully staffed, but
require dedicated staff time from across a mission. Managers may also bring in other actors from outside a mission.

Working groups/task forces may operate as either dedicated, full-time groups for a fixed period of time (with personnel attached
from their home offices) or as ongoing committee-type working groups that require staff time on a regular basis.

To be successful, both working groups and task force structures require at least the following:
• ToRs (agreed to by senior management body) that provide a clear set of outputs or describe an end-state to be achieved, as
well as timeline.
• Sufficiently senior-level chairperson along with experienced and qualified staff empowered to represent their components.
• Top-level management support to advocate for their work.

(c) Monitoring and reporting systems

A new mission needs to orient itself quickly to produce a range of different reporting products. This is particularly important
during the often politically visible start-up phase, when UNHQ will be under great pressure from Member States to update them
on the situation.

Missions derive their reporting requirements from their mandate and, therefore, requirements vary. However, the reports noted
below are required of all missions, generated at regular intervals or as needed. Figure 10 icludes examples of common integrated

45
reports that may be required and to which all mission components may need to contribute. The primary, daily, operational
MHQ-UNHQ reporting mechanism is the Daily Situation Report. Missions use the Situation Reports Transmission System, also
referred to as SMART, to ensure secure transmission of the Situation Reports to UNHQ. For further information on the
submission of Daily Situation Report (SitRep), missions can also refer to the DPKO/DFS SOP on the Submission of Situation
and Special Incident Reports by DPKO Field Missions.

In addition to the mission-wide Daily SitReps, United Nations peacekeeping operations have a wide range of specialist
monitoring and reporting activities, including military, police and human rights situation reports, and administrative and
logistical reports.

The primary strategic reporting mechanism of a mission is the Secretary-General’s periodic report to the Security Council. In
addition to an update on the current situation in-country, this report details progress on the mission plan and potential obstacles
to achieving the mandated role of the mission.

The basic internal reporting channels are illustrated in the mission organizational chart. However, managers must ensure that
these hierarchical reporting lines do not create information blockages or “stove-pipes” where reporting is not coordinated or
information not shared internally. Report access and dissemination commonly follows reporting lines established by
SRSG/HOM.

All mission reporting to UNHQ -- no matter where it originates from, or for whom it is intended -- is officially reported through
SRSG/HOM, who is likely to employ the JOC to compile mission component inputs into integrated mission reports. However,
SRSG/HOM does not have the capacity to sign off on all reports and should delegate direct reporting from specialized elements
of the mission to specialized UNHQ elements. Nonetheless, SRSG/HOM should be made aware of the nature of all reporting to
UNHQ and SRSG/HOM may ask to see such reporting at any time.

Figure 10: Common Integrated Mission Reports

Report For Possible Lead Purpose

Daily Situation Report SMG and UNHQ and field JOC, with inputs from all Internal reporting for
(SitRep) offices components at senior levels situation awareness
Weekly SitRep SMG and UNHQ JOC, with inputs from all Internal reporting that
components and field offices supports situation awareness
and short-term trends analysis
Monthly Report SMG and UNHQ JMAC, with inputs from all Internal analysis that reviews
components and field offices trends over the month, with
assessment for next month
Secretary-General Report SMG and UNHQ With inputs from all relevant Reporting to Security Council
substantive components on progress in mission
deployment and mandate
implementation or in relation
to a specific request relating
to the peacekeeping operation
Special Incident (“Flash”) UNHQ (Situation Centre) Mission Crisis Management Immediate notification/update
Report (emergency) Team (see also section 4.3.1 on emergency issues and any
on crisis management) incidents/developments that
require the immediate
attention of UNHQ
NOTICAS UNHQ DMS/CMS, with input from Notification of Casualties
affected components
Threat Assessment MLT JMAC, with inputs from all Assessment of future threats
offices
Mission Planning Updates SMG COS Planning Team, with Progress reports on
inputs from all components implementation of mission
plan
Budget Performance Report MLT and UNHQ DMS/CMS, with inputs from Achievements against budget
all offices

46
For further guidance on common integrated mission reports consult:

DPKO/DFS Standard Operating Procedure on Submission of Situation and Special Incident Reports by DPKO Field
Missions, United Nations Peace Operations Guidance Framework (http://intranet.dpko.un.org)

DPKO/DFS Standard Operating Procedure on Notification of Casualties (NOTICAS), United Nations Peace Operations
Guidance Framework (http://intranet.dpko.un.org)

(d) Information management

Successful management of a United Nations peacekeeping operation is supported by good internal information management,
policies, procedures and systems established during the start-up phase.

Important tools for a successful information management programme include an information framework and a mission Intranet
site, described below.

An information framework should define the following:

• Key information products and processes for information sharing within MHQ, components, partners and UNHQ
• Policy and procedures to standardize information transmission, handling and storage
• Systems for information sharing

A mission Intranet site should be established to support immediate information dissemination regarding mission goals, activities,
procedures, security updates and to provide access to critical guidance. A field mission Intranet template is available to assist
missions with the quick establishment of a mission Intranet site. For additional information on information management,
including the mission Intranet template, contact the Peacekeeping Information Management Unit, Office of the Under-Secretary-
General, DPKO, at [email protected].

(i) Records management in field operations

Records management (RM) is the systematic creation, use, maintenance and disposition of records to meet administrative,
programmatic, legal and financial needs and responsibilities. A sound RM programme, led by a mission’s Information
Management Officer, is an essential component for the proper functioning and accountability of peacekeeping and political
operations. It also provides a framework to help mission staff better manage and retrieve their critical business information.

Two important tools for a successful RM programme are the Peacekeeping File Classification Scheme (FCS) and the
Peacekeeping Operations Retention Schedule (PORS), both of which are mandated for use in all DPKO-managed peacekeeping
and political operations per DPKO/DFS Policy on Records Management. FCS is an alphanumeric filing system designed to
standardize the arrangement and titling of file folders across all mission business units. PORS is a records retention schedule that
authorizes missions to systematically transfer, destroy and/or archive records created and collected in the course of their daily
operations.

For additional information on recordkeeping in field missions, please contact the Peacekeeping Information Management Unit,
Office of the Under-Secretary-General, DPKO, at [email protected].

(ii) Information security

Maintaining information security is a constant challenge in United Nations field missions that rarely have the mechanisms to
establish robust information security architecture. An early SMG policy decision must determine how to balance information
flow with information security. The policy decision must be reviewed on a regular basis and conform to the Secretary-General’s
bulletin on Information sensitivity, classification and handling (ST/SGB/2007/6). Most notably, the policy decision must
reinforce the application of United Nations security classifications (Unclassified, Confidential and Strictly Confidential) to
business information, as detailed in the Secretary-General’s bulletin. The instinct to over-classify materials should be resisted
because it is difficult to enforce and can restrict internal information flow. It also should be noted that internal information –

47
even non-sensitive information – must not be shared externally without the explicit approval from the originator of the
information, under the overall supervision and guidance of SRSG/HOM.

(e) Oversight, investigation and discipline systems

Managers should be aware of the various systems that exist and those that missions themselves need to have in place for
maintaining internal oversight, conducting investigations and, when necessary, addressing disciplinary matters. The roles of
these systems should be clearly communicated to staff.

These systems include the following:

• Office of Internal Oversight Services (OIOS), Investigative Division: The Investigation Division of the OIOS is an
internal body entrusted with investigations in the United Nations. The United Nations has divided misconduct cases into two
categories. Category I cases are high-risk, complex matters or serious criminal cases that include: serious or complex fraud;
other serious criminal act or activity; abuse of authority or staff; gross mismanagement; waste of substantial resources; all
cases involving risk of loss of life to staff or to others, including witnesses; substantial violation of United Nations
regulations, rules or administrative issuances; complex proactive investigations aimed at studying and reducing risk to life
and/or United Nations property; and sexual exploitation/abuse. Category II are cases of lower risk to the Organization and
include: personnel matters; traffic-related inquiries; simple thefts; contract disputes; office management disputes; basic
misuse of equipment or staff; basic mismanagement issues; infractions of regulations, rules or administrative issuances; and
simple entitlement fraud. OIOS will conduct investigations of Category I allegations and all allegations made against staff
members at the P-5 level and above. Category II matters can be handled at the direction of programme managers.
• Security Investigation Units (SIUs): SIUs, established at the mission level, are responsible for investigating Category II
allegations. However, if during the process of the investigation, the SIU identifies a possible criminal or more serious
allegation than originally reported, it refers the matter to OIOS.
• Board of Inquiry (BOI): A BOI is a mission management tool used to assess the facts of a serious incident. The BOI
compiles a record of the facts of an incident and provides an analysis of those facts to identify possible weaknesses in internal
controls, procedures, practices and security measures, as appropriate. A MHQ BOI may be convened by the SRSG/HOM to
establish the facts of an incident resulting in injury, death or property damage and to make recommendations to the
SRSG/HOM. The SRSG/HOM makes the final decision on the course of action to be taken, if any. If wrongdoing or
misconduct is revealed in the course of a board of inquiry, the allegations of misconduct should be referred to the mission
Conduct and Discipline Team (CDT). A BOI may be convened by national contingents for their own internal disciplinary and
administrative purposes.
• Conduct and Discipline Teams: CDTs in peacekeeping operations advise the SRSG/HOM on all conduct and discipline
issues involving all categories of peacekeeping personnel in the mission. They support SRSG/HOM in designing and
implementing measures to prevent misconduct. They also ensure oversight of the enforcement of United Nations standards of
conduct and advice on remedial action to be taken where misconduct has occurred. They provide technical advice to mission
leadership on United Nations rules, policies and procedures relating to conduct and discipline, and they receive, assess and
refer allegations of misconduct for appropriate action. Conduct and Discipline Teams do not conduct investigations; they
receive complaints of misconduct, transmit them to the appropriate bodies for investigation and provide feedback on the
outcome of investigations.
• Office of the Ombudsman: This is an informal mechanism for dispute resolution created to help all staff with work-related
problems. The Ombudsman may deal with matters of employment conditions, administration of benefits and relations
between staff members.

(f) Comprehensive external communication strategy

The overall goal of the Public Information Office (PIO) in United Nations peacekeeping operations is to enhance the ability of
the mission to carry out its mandate. Key strategic goals of the mission are to maintain the cooperation of the parties to the peace
process, garner support for the operation among the local population and provide information about the operation to the
international community. Public information should be thoroughly integrated into a United Nations peacekeeping operation at
all stages of planning and deployment. Effective public information is a political and operational necessity.
Consideration of the role that public information will play in the future peacekeeping operation as well as the structures and
resources that will be required to support that role must begin at the earliest possible stage. Public information specialists should
be included at all stages of planning. During the start-up phase, a mission’s public communications make a critical and lastly

48
impression that can set the tone for support by the host population. Effective communication is also an important tool in
enhancing mission and staff security.

The public information and communications strategy should be constantly reevaluated and adjusted throughout the course of the
mission’s lifespan and should provide clear direction to all mission components on communicating internally and externally.
All senior mission managers should be aware of the mission’s communication strategy and brief their staff on it.

The communications strategy, which is to be developed at the planning stage, has three major purposes, as follows:

To explain the mission’s role and mandate to internal and external audiences

To promote acceptance and support among the host population for the peace process, the mission mandate and mission
personnel; and to manage expectations among the host population

To secure broad international support for the mission, especially among troop, police, financial contributors as well as with
United Nations intergovernmental bodies

Key elements of the strategy to be undertaken during the start-up phase include the following:

Identifying target audiences, including host country authorities and population, local and international media as well as
other local and international stakeholders and partners

Developing key messages that support mission priorities

Ensuring that mission communicators are briefed adequately on all current issues of importance to the mission and the
peace process

Identifying mission communicators, including senior leadership and spokespeople for various mission components, as
appropriate

Identifying the most appropriate communications methods to reach intended target audiences (e.g., press conferences,
briefings, interviews, visits to local communities, radio, television, print and any other outreach activities with local
population)

(g) Program Management: Trust Funds and QIPs

(i) Trust Funds

Trust funds are an important tool and a valuable mechanism for carrying out mission activities complementary to those
mandated by the United Nations legislative bodies. They permit SRSG/HOM to utilize voluntary contributions, mostly provided
by Member States, to implement programmes and projects in support of its mandate. All voluntary contributions to trust funds
must be accepted by the Controller at UNHQ, on behalf of the Organization.
A peacekeeping operation may have one or more trust funds. Subject to the agreement of the potential donors and the
Controller, it is advisable to establish one trust fund per mission with different sub-accounts for different sub-activities. A MOU
is concluded between the donor and the Controller clarifying the use of funds. The establishment of peacekeeping trust funds
should be coordinated with FBFD.
The relevant provisions of the ToR in respect of the trust funds stipulate that programme managers should send annual
substantive reports to the donors, with copies to the Controller’s Office and FBFD, along with annual statement of income and
expenditure.

(ii) Quick Impact Projects

QIPs are small-scale rapidly-implementable projects of benefit to the local population. QIPs are important during mission start-
up as they aim to build confidence in the mission, its mandate and the peace process early in the mission’s lifecycle, thereby
improving the environment for effective mandate implementation. All QIPs should follow a basic project implementation cycle.

The basic QIP implementation cycle is as follows:

• Identification and review
• Selection and approval
• Implementation and monitoring
• Closure and evaluation
• Reporting

49
For overall management of the QIPs programme, SRSG/HOM should establish a QIP/Project Review Committee (PRC) and
may designate a PRC Chairperson and other appropriate representatives, including RC/HC and/or representatives of relevant
United Nations bodies with programme activities in the country. Relevant mission components should also participate, including
advisors for cross-cutting areas such as gender as well as possibly the Force Commander/Head of Military Component
(FC/HOMC) and DMS/CMS. (The DMS/CMS has delegated authority from the United Nations Controller for the financial
aspects of QIPs and acts as certifying officer for individual projects.) The SRSG/HOM shall also identify a small QIPs
Management Team (QMT) or dedicated QIPs Officer to coordinate the identification and management of projects, to act as PRC
Secretariat and to review the validity of project proposals presented to the PRC. Projects are typically identified and submitted
either by the mission itself or by an external agency.

To assist in verifying whether the proposal meets minimum requirements, as outlined in the DPKO/DFS Guidelines on Quick
Impact Projects, the QMT should ensure that an initial site visit is conducted by the QMT or by a mission component. All
proposals meeting minimum requirements should be forwarded to the PRC (or regional PRC, if appropriate) and be considered
by the PRC within two months of initial receipt by the QMT. The Chair of the PRC should convene the Committee, as
necessary, based on the advice of the QMT. The PRC will select and approve projects within the overall budget available for
QIPs and based on an assessment of which proposals best meet the priorities set by the mission SMG and the broader mission
strategies for community outreach (see paragraph 7 of QIPs Policy Directive). The RC/HC and/or representatives of relevant
United Nations bodies should advise on whether projects are in line with the broader strategies of United Nations actors or
national authorities to ensure that they do not duplicate or undermine other humanitarian or developmental activities.

Upon approval of a QIP, the PRC should assign a component within the mission to be responsible for monitoring project
implementation. The PRC should communicate a list of approved projects to the mission SMG and to the QMT. The QMT
should prepare an MOU for each project, which should be signed by the DMS/CMS and the implementing agency. Upon
receipt of the signed MOU, the Finance Section should raise an obligation in the entire amount of the MOU to ensure funds are
reserved. The QMT should prepare the request for disbursal of a preliminary installment of up to 80 pre cent of the total funds to
the implementing agency, at the mission’s discretion. (The missions may want to consider a 40/40/20 disbursement plan for new
implementing partners.) Once the funds have been transferred, the implementing agency will have three months to complete the
project. The Finance Section should inform the QMT once the project has been funded and the QMT should monitor the status
of the project.

For additional guidance consult:

• DPKO/DFS Policy on Quick Impact Projects, United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org

DPKO/DFS Guidelines for Quick Impact Projects, United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org

50
4.3.4 Relations with UNCT

After establishing early contacts with the UNCT during AT deployment, the mission must maintain effective working relations
with the United Nations family partners, including United Nations agencies, funds and programmes as well as the World Bank
and the International Monetary Fund. The mission should draw on the country experience and operational strength of United
Nations agencies in-country before the mission was deployed, and it should forge a strong relationship with those that will
remain after the mission has left.

The SRSG/HOM establishes the strategic framework for and provides leadership to the entire United Nations presence in the
mission area. Under the authority of SRSG/HOM, the DSRSG/RC/HC works to ensure this framework encompasses UNCT
perspectives and that UNCT programmes are, in turn, coherent with this framework. It is a core managerial responsibility of the
SRSG/HOM and DSRSG/RC/HC to establish working mechanisms between the mission and UNCT during the start-up phase.

The IMPP process establishes minimum standards for integrated field coordination at the strategic, coordination, and planning
levels. For multi-dimensional peacekeeping operations, it is suggested that the SRSG establish and chair a Strategic Policy
Group with Mission and UNCT Principals (including key heads of agencies) to provide the overall strategic direction for
collaboration on peace consolidation. Their vision should be translated into concrete strategies and implemented through an
Integrated Strategy and Planning Team (ISPT) at the senior working level. The ISPT may be chaired by the Mission Chief of
Staff and the Head of the RC office (or the Mission and UNCT senior planners) and should include the relevant Heads/Deputies
of Mission Components and Deputies/Programme Heads of UN Agencies. Ad hoc or standing thematic working groups (e.g.
rule of law) may also be formed to support the development and implementation of joint strategies between the Mission and the
UNCT. The suggested configuration, which may leverage internal mission coordination structures, is described in Figure X,
below.

Figure 11: Integrated Field Coordination for Multi-dimensional Peacekeeping Operations and UNCTs

S T R A T E G IC
SUPPO RT P O L IC Y
GROUP
& PLANNING CAPACITY
SHARED ANALYTICAL

IN T E G R A T E D
SUPPO RT
STRATEG Y
AND
P L A N N IN G T E A M

T H E M A T IC W O R K IN G G R O U P S

The mission and UNCT should establish a shared analytical and planning capacity (see section 4.3.2) to serve as the locus of
integration at the working level. If the mission is not structurally integrated through a DSRSG/RC/HC, coordination structures
between the mission and UNCT should still be established in accordance with the IMPP guidelines and the principles of
integration outlined in the Secretary-General’s Decision on integration (2008/24).

Good working relations must be promoted at all levels, particularly in those areas where a coordinated approach during the
delivery stage may be critical to mission success. This means that staff should understand UNCT’s role and functions and the
relevant coordination mechanisms for working with the UNCT that were established in-country, generally at a very early stage,
by DSRSG/RC/HC. Also, DSRSG/RC/HC should strive to raise awareness within the mission of differing decision making
processes among United Nations agencies, funds and programmes.

In addition to the involvement of UNCT during the pre-deployment planning as outlined in chapter 2, early meetings between
SRSG/HOM and the agencies in the mission area as well as with the heads of the agencies at their respective headquarters
provide opportunities to explain the mission mandate and to develop a United Nations-wide Integrated Strategic Framework
(ISF) to ensure a coherent approach and the necessary measure of integration with UNCT. (See 4.3.2 for information on the
ISF.)

51
United Nations agencies in the field may be able to provide the mission with in-depth knowledge of the country situation and a
wide network of local contacts. Also, through their programming, the agencies may be able to contribute to supporting United
Nations system’s objectives in-country in the critical peace consolidation areas (e.g., elections, DDR, rule of law).
In turn, SRSG/HOM may be able to support UNCT by facilitating access to the parties and the political process and conveying
UNCT concerns. The SRSG/HOM may also be able to support resource mobilization efforts and to providing security, logistics
and other support needed to expand the territorial reach and effectiveness of UNCT, particularly in areas of close operational
collaboration with the mission.

52
5. Civilian Leadership and Management Functions
5.1 Special Representative of the Secretary-General/Head of Mission (SRSG/HOM)

Roles and responsibilities

The Special Representative of the Secretary-General (SRSG), who is the Head of Mission (HOM), is responsible for ensuring
implementation of the mandate of the peacekeeping mission. Before taking up her/his appointment, the SRSG receives generic
and mission-specific directives from DPKO. These directives outline the United Nations strategic priorities and expectations and
are the primary reference and guidance documents for the SRSG/HOM in discharging her/his responsibilities. In consultation
with the MLT, SRSG/HOM develops strategies for the implementation of the mandate, using the political, operational and
financial resources available. The SRSG/HOM is the most senior United Nations representative and has overall authority over
United Nations activities in the given country. In exercising this authority, SRSG/HOM ensures that the efforts of the different
components of the United Nation system are mutually reinforcing and complementary.

During the initial months of a mission, SRSG/HOM establishes the mission’s political presence by, among other things,
reaching out to the parties to the conflict and other key stakeholders, such as representatives of the civil society and the
diplomatic community. In this regard, SRSG/HOM also ensures the mission is fully engaged in any ongoing political processes
that the mission is mandated to support. The SRSG/HOM drives the start-up of the new mission and ensures a well-functioning
operation.

Initial Operating Capability

The suggested start-up tasks that, once completed, indicate the Office of the SRSG/HOM (O/SRSG/HOM) has achieved IOC are
the follows:

Initial contact networks established with parties to the conflict and with key foreign and regional governments, civil society
organizations and non-governmental organizations (NGOs).

O/SRSG/HOM staffed (Special Assistants, Personal Assistants and Language Assistants).

Senior decision making forums established and meeting regularly (MLT and SMG).

Mission command and control and reporting arrangements in place and clearly communicated, along with any specific
delegations of authority by SRSG/HOM.

OIC designated to cover during SRSG/HOM absences from mission area.

Capacity in place to manage crises.

Capacity in place to monitor and report on the peace process/peace agreement implementation and mandate implementation.

FO deployment plan confirmed and deployment to priority locations initiated.

Programme for senior management visits to FOs agreed to.

Conduct and discipline directives issued by SRSG/HOM.

Development of public information strategy underway.

Under direction of the OLA, SOFA/SOMA finalized or in final stages.

Relations with UNCT formalized and two-way information channels established.

Mission protocol systems in place.

Critical mission start-up tasks in preparation for mandate implementation

The critical tasks the SRSG/HOM should undertake in preparing to begin implementing the mandate are the following:

Initiate contact with key political leaders (including presentation of credentials, as required) as well as with diplomatic and
donor communities.

Advocate/publicize the mission’s mandate to political leaders and wider community.

Chief of PIO (Chief/PIO) tasked to develop an external communications strategy.

Establish/facilitate forums and mechanisms to bring parties, the United Nations, other institutions, representatives of
relevant Member States and others together to discuss and assess the peace process/implementation of peace agreement.

Engage with UNCT on plans for creation of peace dividends.

Where they exist, ensure the mission’s appropriate participation in and/or interaction with external bodies or structures that
oversee the peace process/peace agreement implementation.

53
Critical mission start-up tasks: mission management

The critical tasks the SRSG/HOM should undertake in managing mission start-up are the following:

Planning

Articulate the strategic vision and objectives for mission through, where appropriate, the ISF. Issue directives to support the
mission planning process.

Encourage all members of SMG to review planning assumptions established during the pre-deployment period.

Task DSRSG/RC/HC to involve UNCT in the ISF process.

Ensure the key mission plans, including mission concept and ISF, are finalized and component work plans are approved.

Task COS to establish and maintain mechanism for monitoring implementation and for identifying necessary adjustments to
ISF due to changing circumstances or false assumptions.

Recruitment

Request from COS and DMS/CMS a list of key mission vacancies and a recruitment plan to fill priority vacancies on an
urgent basis.

Encourage all members of MLT to recruit qualified women, especially to upper management and substantive posts.

Other issues

Mission command and control and reporting arrangements put in place and clearly communicated, along with any specific
delegations of authority by SRSG/HOM.

As appropriate and in consultation with DPKO/DFS, clarify division of responsibilities between senior mission managers,
in particular COS and DSRSG(s), to avoid overlap and conflict.

When appointed DO for security, convene and chair SMT, as a priority, and establish a regular meeting schedule.

Task COS to establish CMT and to detail its position, within its authority, and detail its command and control structure.

As appropriate, task the COS to provide clear guidance to JOC and JMAC on information and analytical needs of the MLT.

Under the guidance of the OLA, seek early agreement with host government on SOFA/SOMA, including through high-level
demarches, if required, to have these signed and in place, ideally, before large numbers of staff and troops arrive.

Establish a protocol capacity.

For further guidance consult:

Standard Directives for the Special Representative of the Secretary-General, United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Policy on Authority, Command and Control in UN Peacekeeping Operations, United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Mission Best Practices Officer (BPO); if there is no BPO in the mission, the Peacekeeping Best Practices Section (PBPS) at
[email protected]

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5.2 Deputy Special Representative of the Secretary-General (DSRSG)

Roles and responsibilities

Multidimensional peace operations generally have at least one DSRSG who supports the SRSG/HOM in executing the
substantive civilian functions of the mission. A DSRSG’s specific responsibilities vary depending on the composition of the
substantive civilian pillar, the division of labour among senior mission managers and on whether a second DSRSG has been
appointed to specifically coordinate activities with the United Nations agencies, funds and programmes (this function will be
addressed separately in section 5.3).

Generally, DSRSG(s) core functions include the following:

Managing the mission components under the responsibility of the DSRSG, including providing policy guidance and
overseeing development of component work plans.

Ensuring that substantive civilian functions are working towards strategic mission objectives, as agreed to by mission
leadership and outlined in key planning documents.

If designated second-in-charge of the mission, supporting the SRSG/HOM by performing specifically-delegated HOM
responsibilities and officiating as HOM in the absence of the SRSG. (See section 5.1 for more details on SRSG
responsibilities.)

Initial Operating Capability

The suggested start-up tasks that, once completed, indicate that DSRSG has achieved IOC are as follows:

If DSRSG is designated second-in-charge in the absence of the SRSG, clear understanding is reached with SRSG/HOM
regarding her/his expectations for DSRSG OIC role, during the absence of the SRSG/HOM (i.e., agreement reached on
which decisions may be taken by the DSRSG under OIC authority in the absence of the SRSG/HOM and which issues
should be referred to SRSG/HOM upon return to mission).

Reporting arrangements are established within DSRSG pillar, including information sharing arrangements with other
pillars, in line with mission’s overall information management system (see section 4.3.3).

Mechanisms established for interaction between O/SRSG/HOM, O/DSRSG/RC/HC, O/COS, the military component, the
police component and the O/DMS/CMS.

Clear priorities and political guidance on mandate implementation provided to all sections under DSRSG management
authority to inform sections’ work plans.

DSRSG contribution to ISF and other critical mission plans finalized.

Component work plans in place, and submissions to the RBB completed.

Critical tasks in preparation for mandate implementation

The critical tasks DSRSG should undertake in preparing to begin implementing the mandate are the following:

With SRSG/HOM, establish and develop relations with government counterparts at appropriate level to advance the
mission’s objectives.

Establish necessary mechanisms to provide channels of communications with parties, interested governments, civil society
and regional actors, at both senior and working levels, as appropriate.

Provide direction and ensure coherence within DSRSG component.

Coordinate and ensure coordination with other mission components, at both the senior and working levels.

Ensure the build-up and utilization of institutional knowledge, including ensuring the implementation of knowledge sharing
and knowledge management systems, in line with DPKO/DFS guidance.

Critical tasks: mission management

The critical tasks DSRSG should undertake, at the direction of SRSG/HOM, in managing mission start-up are the following:
Planning

Support SRSG/HOM in developing strategic objectives for the new mission, including a political vision.

Ensure that strategic objectives are understood by the mission leadership and communicated to staff in the various
components.

Clarify division of responsibilities and provide clear guidance to sections under DSRSG’s pillar.

Oversee development of pillar’s contribution to ISF and the development of individual sections’ work plans.

55
Budgeting

Establish strong working relationship with COS, DMS/CMS and the staff of the Budget Officer to ensure budgetary
requirements of DSRSG component are reflected in the overall mission budget submission and that these budgetary
requirements are understood by mission officials who will defend the budget proposal to the General Assembly.

Task staff to liaise with COS on the RBB process so that section chiefs within DSRSG pillar are briefed/prepared before
their submissions are required.

Request training for RBB focal points and section chiefs within DSRSG pillar, if this training is available in the mission.

Task staff to convene and manage budgetary review process within pillar so that all section chiefs develop budgets for their
respective sections that enable production of work plans designed to advance mission’s strategic objectives.

Ensure individual work plans and budgets reflect the overall priorities of the mission plan.

Recruitment

Task Special Assistant and other staff in O/DSRSG to work with COS and CCPO to recruit qualified staff for DSRSG front
office and for various sections under DSRSG’s responsibility.

Ensure all section chiefs under DSRSG responsibility and other staff responsible for recruitment receive a briefing from the
personnel section on recruitment practices.

Task staff to establish handover notes system or other aspects of the information management system for all pillar
components to ensure institutional knowledge is passed from outgoing to incoming staff.

For further guidance consult:

DPKO/DFS Policy on Authority, Command and Control in United Nations Peacekeeping Operations (2008)

DPKO/DFS Policy on Knowledge Sharing (2007)

On management and integration of mission operations, 1000 and 3000 Series of United Nations Peace Operations Policy
and Practice repository (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices Section at
[email protected]

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5.3 DSRSG/Resident Coordinator/Humanitarian Coordinator (DSRSG/RC/HC)

Roles and responsibilities

In the context of multidimensional peacekeeping operations, one DSRSG is often appointed to services simultaneously as a
“triple-hatted” Resident Coordinator (RC), Humanitarian Coordinator (HC) and DSRSG.4 This “triple-hatted” DSRSG/RC/HC
provides a bridge or primary point of contact and coordination between the mission and the UNCT, in addition to having
substantive managerial roles. DSRSG/RC/HC may be responsible for a mission pillar. This pillar often includes advisory or
programmatic functions that most closely relate to the ongoing work of UNCT, such as DDR, humanitarian, recovery and
development coordination. It may, in some cases, also include areas such as protection of civilians, elections, gender affairs and
civil affairs.

In the RC capacity, DSRSG/RC/HC is responsible for coordinating UNCT and United Nations development plans and
operations and, thus, retains a reporting line to the UNDP Administrator, as the Chairperson of the United Nations Development
Group. She/he may also be responsible for donor coordination; development of plans, strategy and operations in the area of
recovery and development; and for maintaining links with governments, donors and other development partners. She/he may
establish the Office of the RC to support the coordination of recovery and development activities.

In the HC capacity, she/he is responsible for coordinating humanitarian plans and operations and for maintaining links with
governments (and other parties), donors and the broader humanitarian community. She/he retains a secondary reporting line to
the United Nations Emergency Relief Coordinator (ERC). Where the HC is supported by OCHA, OCHA will serve as the
humanitarian coordination office. Often, OCHA may be located separately from the mission to facilitate access by the broader
humanitarian community. For more detailed description of the specific responsibilities of the RC and HC, refer to the ToRs for
the respective functions.

Initial Operating Capability

The key tasks that, once completed, indicate that IOC has been achieved by the O/DSRSG/RC/HC are the following:

Clear priorities and political guidance provided to all sections under DSRSG management authority, to inform their work
planning and implementation.

DSRSG/RC/HC component work plans in place and submissions to RBB complete and harmonized with the resources of
the UNCT.

A Strategic Planner deployed to the O/DSRSG/RC/HC (generally funded by the United Nations Development Operations
Coordination Office (UN DOCO)).5

Sound working relationships established with O/SRSG/HOM, O/DSRSG, O/COS, military component, police component
and O/DMS/CMS.

Civil–military liaison/coordination arrangements in place and agreed to by HOMC.

QIPs Management Committee established with O/DSRSG/RC/HC participation, in accordance with existing QIPs policy
(see section 4.3.3g).

Agreement in place with DMS/CMS on conditions for access of UNCT actors to mission assets and services and, where
appropriate, arrangements for common services for the mission and other United Nations actors.

From the outset, UNCT fully briefed and involved on mission mandate, roles and responsibilities; and mission senior
managers fully briefed on UNCT programmes and plans.

Regular meetings of integrated field coordination structures (e.g. senior-level Strategic Policy group and working-level
Integrated Strategy and Planning Team) and joined-up planning capacity between Mission and UNCT (see section 4.3.4
related to IMPP),to promote information sharing and the development of shared peace consolidation priorities

UNCT engaged in contributing to the development of priorities for peace consolidation to be aligned through an ISF.

Working relationships and communication channels with relevant governmental institutions established.

Working relationships with wider humanitarian community (including humanitarian and development NGOs) and civil
society established.

4
Even in cases where the RC/HC is not a member of the mission leadership (UNAMID, MINURCAT), close coordination remains essential to
ensure coherence of efforts across the United Nations system.
5
The United Nations Development Operations Coordination Office (UN DOCO) manages funds to support Offices of Resident Coordinators,
including RCs who are triple-hatted. Depending on the context, strategic planners for O/DSRSG/RC/HC may be funded through the RBB
and/or UN DOCO for strategic planning, coordination, monitoring and evolution and/or donor relations officers. For more information see
http://www.undg.org/index.cfm?P=6.

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Donors engaged and briefed on mission and UNCT objectives as well as concerns about funding and priority areas for
assistance to consolidate peace.

The mission management regularly briefed on humanitarian and recovery activities and any concerns.

Critical tasks: mandate implementation

The critical start-up tasks DSRSG/RC/HC should undertake in preparing to begin implementing the mandate are the following:

Within overall mission and UNCT strategy, establish good working relationship with relevant host government’s
institutions.

Promote principled humanitarian action, including by establishing good working relationships with local actors outside of
the government whose support is critical to securing access for humanitarian and recovery assistance (given importance of
securing access to all affected populations).

Where relevant, work with neighbouring country governments to facilitate movement of goods and staff for humanitarian
and recovery aid delivery purposes.

Ensure good coordination with other parts of the mission, and engage with national and international partners.

Critical tasks: mission management

The critical tasks the DSRSG/RC/HC should undertake, at the direction of the SRSG/HOM, in managing mission start-up are
the following:
Planning

As RC/HC, maintain direct reporting lines to UNDP Administrator and ERC, in consultation with SRSG, based on existing
guidance.

Develop section work plans and allocation of roles. Give clear ToRs to all the components and divisions within DSRSG
pillar structure.

With other members of the SMG, take a leading role in the development of strategic objectives for the ISF. Ensure active
UNCT participation in the development of the ISF.

Ensure UNCT representatives are included in mission planning process through the early establishment of the Shared
Analytical and Planning Capacity. Its composition may vary, but broad representation of all components of the UNCT and
the mission should be included. (For full guidance on the establishment of a shared analytical and planning capacity, see the
IMPP Guidelines for the field.) Encourage mission planners to maximize outreach to UNCT to benefit from its country-
specific knowledge and expertise.

Establish regular exchange between the mission and UNCT on the one side and the UNHQ-based Integrated Mission Task
Forces (IMTF) on the other, through teleconference or VTC.

Support early creation of a mission-wide Strategic Planning Cell (SPC). Ensure pillar has Planning Officer available for
full participation in the SPC.

Drawing on strategic planning efforts, outcomes from retreats and other processes, agree on areas where a greater level of
integration of effort will be required between the mission and UNCT for peace consolidation.

Engage UNCT on mission mandate and work together to minimize potential conflict from overlapping mandates. Address
areas of potential friction as early as possible. Establish integrated units with United Nations agencies in areas where
appropriate (e.g., DDR, mine action and electoral assistance.)

As RC/HC, oversee joint humanitarian, recovery and development assessment and planning processes (e.g., inter-agency
Joint Assessment Missions, Post Conflict Needs Assessments, common country assessments, United Nations Development
Assistance Frameworks (UNDAFs)). Ensure mission participation and support, as necessary, as well as ensuring mission
planners are fully informed of assessment and other planning tools being used or being developed by UNCT.

Brief senior management and mission planners on any major new UNCT initiative or plan, to ensure all United Nations
actors are aware of developments. Ensure mission plans are shared with UNCT.

Encourage SRSG/HOM, DMS/CMS and other senior managers, when traveling to UNHQ, to meet with UNHQ
representation of United Nations agencies, funds and programmes to discuss issues of mutual interest and support —
including how mission and UNCT might better help one another with logistics, supply and administration — or to raise
concerns with host government on issues of specific relevance to UNCT members.

Ensure emerging mission field office structure discussed in consultation with UNCT so as to complement existing United
Nations presence in the field and enable cooperation where necessary.

Budgeting

Immediately establish a strong working relationship with COS, DMS/CMS and the Budget Officer to ensure budgetary
requirements of DSRSG/RC/HC office and pillar are reflected in the overall mission budget submission and understood by
mission officials who will defend budget proposal at UNHQ.

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Ensure that basic support requirements for O/DSRSG/RC/HC are met (e.g., initial budget, vehicle/transport,
ICT/communications, office, etc.).

Task staff to liaise with COS on RBB process so that component chiefs in pillar can be briefed/prepared before their
submissions. Request specific RBB training for section chiefs and budget focal points within pillar.

Task staff to convene and manage budgetary review process within pillar so that all section chiefs develop unit budgets that
enable production of work plans designed to advance mission’s strategic objectives. Ensure unit work plans and budgets
reflect the overall mission and UNCT plan priorities.

Before and during budget process, encourage adoption of common services policy governing use of mission assets and how
they are shared with UNCT (e.g., medical clinics, PX, fuel).

Ensure RBB focal point established in front office of DSRSG/HC/RC.

Recruitment

Task Special Assistant and staff to work with COS and CCPO to recruit qualified staff for the front office and in various
sections under DSRSG/RC/HC responsibility.

Ensure all section chiefs under DSRSG/RC/HC responsibility and other staff responsible for recruitment receive a briefing
on recruitment practices from the Personnel Section.

Task staff to establish handover notes system or other information management system for all pillar components to ensure
institutional knowledge is passed from outgoing to incoming staff.

For further guidance consult:

Secretary-General’s Directive on Integrated Missions of 11 December 2000

Secretary-General’s Note of Guidance on Integrated Missions of February 2006

Secretary-General’s Decision 2008/24 of 26 June 2008

IMPP Guidelines: Role of the Headquarters Integrated Planning for UN Field Presences

IMPP Guidelines: Role of the Field Integrated Planning for UN Field Presences

Terms of Reference for Humanitarian Coordinators as approved by the Inter-Agency Standing Committee for the HC

Terms of Reference for Resident Coordinators as approved by the United Nations Development Group for RC

Office for Humanitarian Coordination on HC functions and the United Nations Development Group on RC functions

DPKO/DFS Policy on Quick Impact Projects

DPKO/DFS Guidelines on Quick Impact Projects

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Policy and Practice
repository (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations of various functions under DSRSG/RC/HC, 4000 Series of United Nations Peace Operations Policy and
Practice repository

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations Policy
and Practice repository

Contact the Mission Best Practices Officer (BPO); if there is no BPO in mission, contact the Peacekeeping Best Practices
Section at [email protected]

59
5.4 Director of Mission Support/Chief of Mission Support (DMS/CMS)

Roles and responsibilities

The Director of Mission Support/Chief of Mission Support (DMS/CMS) is an essential MLT member. All financial,
administrative and logistic authorities that are delegated to a mission are personally vested in the DMS/CMS. The DMS/CMS is
accountable for all mission assets and all decisions taken in the area of mission support. During mission start-up, DMS/CMS
plays a key role in planning and establishing the mission’s internal infrastructure, including mission-wide facilities, staffing
levels, communications and supporting logistic services. (Often the mission’s administrative and logistical systems must be built
in locations where there is little or no pre-existing infrastructure, which has implications for the time needed to reach IOC.)

DMS/CMS priority at start-up is to assist the MHQ and its subordinate components to deploy and establish the necessary
capabilities to accomplish their mandated tasks. To achieve this, DMS/CMS must have the full cooperation of other members of
the MLT. DMS/CMS is supported by a small office (O/DMS/CMS), which is the mission’s knowledge base on United Nations
policies, procedures and regulations for field support. To meet the special challenges of mission start-up, DMS/CMS and
O/DMS/CMS staff need to be innovative and pragmatic in finding solutions.

Figure 12: DMS/CMS Service Responsibilities

Initial Operating Capability

The key start-up tasks that warrant DMS/CMS engagement and, once completed, indicate that DMS/CMS has achieved IOC are
the following:

Good working relationships established with relevant host country authorities to facilitate the movement of personnel and
equipment into and within the mission area and other administrative authorizations or licenses obtained from the host
nation, in accordance with the SOFA/SOMA.

The mission budgeting process institutionalized, with trained RBB focal points identified in all substantive and support
offices.

Premises for mission and component headquarters fully functional.

All financial, procurement and personnel delegations of authority received from UNHQ.

Satisfactory communications established between MHQ, UNHQ and field locations, including secure communications with
UNHQ.

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Receiving and Inspection (R&I) staff deployed and operational before the arrival of major equipment and other material
from UNLB or procurement contracts.

Land to accommodate troops and other mission personnel (both for initial staging, if required, and final deployment
locations) secured from the host government; or if land is privately owned, lease contracts signed by Procurement Section.

MOSS/MORSS standards being implemented and incorporated into site and engineer planning.

Warehousing and distribution capacity established as well as minimum stocking levels achieved for all critical stocks.

Mission recruitment priorities identified and recruitment of United Nations staff meeting benchmarks set in the mission
recruitment plan (see also section 3.3.3.c). Strategies put in place to handle delays and bottlenecks.

All substantive units briefed on recruitment procedures by the DMS/CMS, CCPO or UNHQ Tiger Team.

Agreements reached, at regular intervals, by MLT on priority of effort so that logistical support can be prioritized by JLOC.

Staff reception and check-in system in place.

Agreement reached with HOMC on tasking authorities for integrated support assets (especially aviation and engineering), in
accordance with official DPKO/DFS guidance.

Agreement reached with DSRSG/RC/HC on support to UNCT and reimbursement thereof.

With HOMC and HOPC, capacity put in place to support TCC and PCC reconnaissance visits.

All necessary administrative committees established, such as Local Committee on Contracts (LCC), Vehicle Allocation
Committee (VAC) and Property Survey Board.

The DMS/CMS is also responsible for ensuring IOC is achieved in all areas listed under CAS and CISS and for completing AT
deployment stage tasks identified in section 3.3.

Critical managerial tasks and issues

In addition to the normal managerial responsibilities outlined below, the DMS/CMS is responsible for establishing overall
budgeting and recruitment processes for the mission as well as developing a mission support CONOPS to facilitate
implementation of the mission CONOPS.

The critical tasks the DMS/CMS should undertake (planning, budgeting and finance, recruiting and logistics), under the
direction of the SRSG/HOM, in managing mission start-up are the following:
Planning

Review findings of TAM and advance mission to assess challenges and identify key tasks and priorities for mission
start-up.

Obtain from other members of the MLT (especially HOMC and HOPC) their deployment plan and anticipated land and
facilities requirements in the mission area.

Initiate development of the mission support CONOPS to ensure timely availability of resources to implement the
mission plan.

Ensure mission support plan is constantly updated to reflect changes to mission plan.

Ensure CAS and CISS put in place subordinate support plans (e.g., recruitment, acquisition, logistics, engineering and
medical).

Schedule early meeting with UNCT administration and logistics personnel to discuss potential for future cooperation
and possible common services.

Integrate planning and budgeting staff to ensure nexus between the two functions.

Ensure close consultation with UNHQ and UNLB so deployment of material is synchronized with availability of
personnel to receive it.

Ensure the Property Control and Inventory Unit (PCIU) and R&I Office send representatives to UNLB before first
start-up kits are shipped.

Obtain full handover briefing from head of AT on progress made against mission prerequisites. Ensure completion of
prerequisite infrastructure tasks and systems as early as possible.

Budgeting and finance

With Budget Officer, acquire comprehensive understanding of existing mission budget (either PMCA or interim mission
budget).

Give priority to the preparation of the first 12-month mission budget to follow on from PMCA or interim budget
authorization.

Adopt methodical approach to establishing RBB system in the mission, ensuring it is closely associated with mission
planning at O/SRSG/HOM level. Obtain top-level ownership of RBB from the beginning.

Oversee the establishment of coordinating committees or other working groups to collect and analyze all budget
submissions for senior leadership review.

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Remain directly engaged, together with Budget Officer, to monitor progress of budget at each review stage: DPKO/DFS,
DM, ACABQ and Fifth Committee.

Be prepared to accompany SRSG/HOM to UNHQ to present and defend budget (or support other senior managers in doing
so) in front of legislative bodies of the General Assembly.

Engage MLT early in budget process. Brief them on budget parameters from UNHQ, and ensure they understand linkages
between RBB and the mission plan.

At MHQ and in the field, develop structure of cost centres and sub-allot funds to them.

Arrive in mission with valid delegations of authority for procurement and finance (imprest and petty cash).

Liaise with Treasury on opening bank accounts in the mission area and agree on methodology for movement of cash.

Ensure functioning banking and mission finance systems are in place, including for trust funds and QIPS.

Recruitment
• Obtain from UNHQ all necessary delegations of authority for mission Personnel Officers to undertake recruitment.
• Working with UNHQ, ensure recruitment of CISS and CAS, if not already on board, and engage with UNHQ on the
recruitment of support sections heads not yet identified.
• Ensure CCPO establishes clearly with UNHQ what delegated recruitment authorities have been assigned to the mission and
how to comply with any minimum requirements.
• Review the proposed mission staffing table to ensure correlation with the mission mandate and mission plan (where
established) and that any deficiencies are remedied in the next budget submission. (It is very difficult to change the staffing
table once it is approved by the ACABQ and Fifth Committee.)
• Approve the priorities for recruitment, particularly the filling of key substantive and support posts.
• Ensure CCPO briefs all sections on recruitment procedures for international and national staff.
• Meet regularly with CAS and CCPO to review progress against recruitment plan and identify bottlenecks. Where delays
occur, consider contacting UNHQ early for additional support (e.g., Tiger Teams or expedited procedures).
• In consultation with mission substantive offices or COS, ensure selection criteria for national staff recruitment allow a wide
pool of candidates to apply, meets gender requirements and takes into account issues of balancing ethnicity and political
considerations.
• Ensure procedures and arrangements are established for using individual contractors, outsourced temporary hiring
arrangements and daily workers. Work with units that use these contracted workers most substantively (e.g., Engineering
Section).
• Request and obtain authorization for general temporary assistance posts by Controller, through FBFD. Ensure CCPO
establishes programme to monitor and control general temporary assistance posts and assign them to organizational units in
mission.
• Establish clear and proficient determination of staff entitlements, including classifications of different mission deployment
locations. Establish these prior to start-up deployment, as they carry financial implications for all staff members.
• Ensure effective personnel reception and check-in procedures are implemented.
• Ensure induction training is organized and is mandatory for all incoming mission personnel, except contingents. Training
must be designed to include cultural aspects and cultural sensitivities specific to the host country.
• Identify with CCPO, DMS/CMS or UNHQ Tiger Team the mission’s section/unit priorities for recruitment.
• Be familiar with mission recruitment procedures for all categories of staff (international, national, UNV, consultant),
including any expedited arrangements agreed to with UNHQ.
• Check that all substantive section heads have been briefed on recruitment procedures and that recruitment for key posts is on
track and in line with mission priorities.
• Encourage all mission components to strive to fill 50 per cent of posts with women.
• Pay particular attention to staffing of joint structures, FOs, information management capacities and LOs, as these cross-
cutting functions often have no senior sponsor.
• Act as focal point for all sensitive personnel and management issues as well as contacts with the Office of Internal Oversight
Services (OIOS) and the Resident Auditor.
• Ensure, together with Integrated Mission Training Cell (IMTC), well-sequenced arrangements to administer, induct, train and
deploy new civilian staff arrivals into mission. Supervise the development of the induction training program. Periodically
review its content to ensure it accurately conveys mission’s position on issues and key United Nations policy approaches.

Logistics
• Ensure effective relations and agreements are reached with host government authorities to facilitate movement of mission
personnel and materiel into and within the country.
• With MLT and Legal Officer, ensure mission SOFA/SOMA is in place.

62
• Ensure necessary authorizations and licenses are in place from host authorities for aircraft flights, broadcasting and radio
frequencies, etc.
• Ensure UNHQ issues all necessary delegations of authority and certifications so that financial and recruitment authorities
may be exercised in field as early as possible.
• Ensure MHQ premises and land for military contingent facilities are obtained or leased and that arrangements are in place for
FOs and sub-offices, as needed. Ensure participation in these processes by the mission’s Engineering Section and
Procurement Section as well as the Legal Affairs Office. Consider all practical, security and political issues.
• Meet with HOMC and his senior staff to ensure there is clarity on the role and reporting relationships of JLOC and integrated
staff.
• With UNDSS Officers, review MOSS and MORSS for the mission and issue instructions for compliance.
• Ensure key logistics committees are established and have appropriate representation (e.g., Aviation Safety Committee, VAC).
• Ensure critical ICT systems and the mission’s communications infrastructure are quickly established, in particular that
essential ICT systems (e.g., Galileo, Mercury and SunSystems) are functioning and basic security communications are in
place.
• Ensure COE inspections are conducted on arrival of contingents and that procedures and resources are in place to ensure that
monthly inspections and verification reports are prepared and submitted to UNHQ.
• Ensure functioning banking and mission finance systems are in place.
• Establish LCC (only way to avoid investigations into supposed ex post facto cases) and ensure speedy referral of cases
exceeding the mission delegation to the Headquarters Committee on Contracts (HCC).
• Ensure major contracts are in place (e.g., fuel, water, food supply contracts, camp services, other services).
• Ensure all mission Self-Accounting Units (SAUs) are fully briefed on procedures for procurement and other expenditure.
• Ensure mission medical and health facilities are established in accordance with the medical plan.

For further guidance consult:

• On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)
• On field operations support of various components under DMS/CMS, 5000 Series of United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Guidance and best practices material: United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)
• Contact Mission Best Practices Officer (BPO); if there is no mission BPO, the Peacekeeping Best Practices Section at
[email protected]

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5.5 Chief of Staff (COS)

Roles and responsibilities

The Chief of Staff (COS) in a peacekeeping mission is responsible for ensuring the effective direction and the integrated
management of all the mission’s activities, in accordance with the strategic vision and guidance of SRSG and DPKO/DFS. To
this effect, COS oversees the core mechanisms and processes that enable the integrated delivery of the mission’s mandate, in
particular the strategic and operational planning, policy coordination, senior-level decision-making and information
management.

Initial Operating Capability

The suggested tasks that, once completed, indicate that the Office of the COS (O/COS) has achieved IOC are the following:

Meeting schedule of the MLT and SMG in place.

Political strategy and the mission concept approved by senior management. Strategic planning capacity in place and mission
planners monitoring implementation progress and developing contingency plans.

Information analysis and information management structures and systems established, including JOC and JMAC.

Crisis management arrangements in place.

As appropriate, FO coordination structure established and reporting requirements in place (see section 7.1).

System established for incorporating best practice guidelines into mission policy and operations, administered by BPO.

Conduct and discipline capacity established.

Gender advisory capacity established.

Critical tasks in preparation of mandate implementation

The critical tasks the COS should undertake, on behalf of the SRSG/HOM, in preparing to begin implementing the mandate are
the following:

Ensure basic mission management structures are in place as soon as possible, including senior decision-making bodies
(MLT, SMG) and the senior planning coordination mechanism between the mission and UNCT.

Ensure there is a clear understanding of and balance between the priorities of substantive side of mission and the capacities
of mission support. Liaise with all offices to ensure the use of best methods for achieving mission objectives and priorities,
within the bounds of United Nations rules and regulations.

Work closely with various components to ensure that the policy direction of senior management is translated into workable
mission and component work plans.

Critical tasks: mission management

The critical tasks the COS should undertake, under the direction of the SRSG/HOM, in managing mission start-up are the
following:
Planning

Oversee the establishment of the mission’s Strategic Planning Cell and the mission-UNCT shared analytical and planning
capacity (see section 4.3.2). Co-chair the planning coordination body between mission and UNCT.

Coordinate development of an ISF and mission concept, drawing on existing IMPP products (Strategic Assessment, TAM
report, substantive CONOPS and any other planning materials as prepared by UNHQ) under the direction of the mission
and UNCT senior leadership.

Ensure the substantive integration of mandated cross-cutting issues (e.g., gender) in the mission concept.

Once strategic guidance is given by SRSG/HOM and the mission concept is approved, support periodical MLT review of
the mission concept along with the components’ work plans, identifying necessary adjustments to mission concept and/or
revised assumptions, as appropriate.

Ensure risk management register of the mission is maintained by planning team.

Budgeting

Ensure integrated approach to RBB process and oversee engagement of substantive mission components.

Ensure RBB correlates with the finalized ISF/mission concept where outcomes, objectives and outputs have been set and
inputs can now be identified through budget process.

Task all substantive unit managers and section chiefs to cost their elements of the mission concept.

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Remain directly engaged with DMS/CMS and Budget Officer to monitor progress of the budget at each review stage:
DPKO/DFS, DM, ACABQ and Fifth Committee.

Be prepared to accompany SRSG/HOM to UNHQ to present and defend budget (or support other senior managers in doing
so) in front of legislative bodies of the General Assembly.

Recruitment

Monitor recruitment of senior mission leadership appointments.

Ensure staffing of O/COS and units under COS supervision.

Other issues

Policy coordination: Provide guidance on United Nations policies and coordinate the development and implementation of
cross-cutting and management policy among the various components of the mission.

Information analysis and management: Oversee the establishment of mission-wide, integrated procedures and systems
for information analysis and management, including intra-mission information sharing, reporting requirements, security
classification, records management and publication of Intranet content. Ensure all offices have designated information
management focal points and that these focal points receive regular training on information and records management
policies and systems, as soon as this capacity arrives in mission. Oversee the establishment and proper functioning of JOC
and JMAC as mission-wide integrated resources.

Knowledge management: Oversee the implementation of knowledge management approaches throughout the mission,
such as handover notes, after-action reviews and end-of-assignment reports.

Support to FOs: Oversee the establishment of a policy for reporting and management of substantive staff within FOs.
Ensure substantive responsibility for FO coordination and support that is assigned within the mission, and ensure that
aspects are executed appropriately, including with regular meetings between heads of FOs at MHQ (see section 7.1).

Crisis Management: Ensure that crisis management arrangements are in place (see section 4.3.1 c).

Protocol: In close consultation with the SRSG/HOM and DMS/CSM, facilitate discussions between the mission and
national government on issues related to mission deployment and operations. Advise the SRSG/HOM on protocol matters
and supervise and provide guidance on the preparation and coordination of official visits.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Policy on JMAC, United Nations Peace Operations Guidance Framework (United Nations Peace Operations
Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Guidelines on JMAC, United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Guidelines on JOC, United Nations Peace Operations Guidance Framework (United Nations Peace Operations
Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Situation Centre – [email protected]

Community of Practice network for Best Practices: http://cop.unlb.org/bestpractices

DPKO/DFS Guidance Team: [email protected]

DPKO/DFS Knowledge Management Team: [email protected]

Peacekeeping Information Management Unit, Office of the Under-Secretary-General, DPKO, at [email protected]

Contact the Best Practices Officer (BPO). If there is no BPO in mission, contact the Peacekeeping Best Practices Section at
[email protected]

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5.6 Legal Affairs

Roles and responsibilities

The Legal Affairs Office (LAO) is the source of advice to the SRSG on all legal aspects of the mission concept, the mission’s
mandate and its operational activities as well as any issues of international and national laws. LAO also provides legal advice on
administrative, personnel, financial and procurement matters related to the mission’s operational activities. These include
questions on the interpretation and application of United Nations regulations and rules, United Nations privileges and
immunities, the SOFA/SOMA, other legal arrangements on relations with the host government and third-party claims against the
United Nations operation.

LAO is usually headed by a Senior Legal Adviser (SLA) who supervises and oversees the review, negotiation and drafting of
major contracts, agreements, institutional and operational modalities, legal submissions and other legal documents. If these key
agreements and proper legal documents are not in place during the start-up phase, the mission risks either delaying mission
operations, or conducting operations without the proper legal framework or in contravention of United Nations guidelines. In
particular, SOFA/SOMA should be concluded as soon as possible, as it is key to facilitating the deployment and operational
activities. The SLA reports to SRSG/HOM at MHQ and may seek guidance from OLA at UNHQ. Mission Legal Officers in the
uniformed components should inform the LAO of their activities and give the SLA regular reports, while Legal Officers in the
civilian component (human rights, justice, etc.) should cooperate and consult with LAO, as appropriate. The SLA has the final
authority over all legal matters at the mission level, subject to any final determination that may be sought from OLA (on legal
issues with implications beyond the mission, such as those which may affect United Nations policies, or on novel issues where
no precedents exist). However, any determination on the existence of privileges and immunities and on the waiver thereof must
be obtained from OLA. Also, international agreements or treaties may only be signed following their review by OLA.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that LAO has achieved IOC are as follows:

Central repository established of all mission legal instruments, except for commercial contracts.

Instruction delivered to all mission components from SRSG/HOM requesting them to provide existing legal agreements to
LAO. All legal agreements within the authority of the mission must be reviewed by LAO prior to their signature.

Relevant host country legislation (or information on traditional legal practices) obtained.

Briefings provided to appropriate mission components on aspects of legislation relevant to the implementation of the
mission’s mandate.

Work plan for LAO completed, and core staff in place to ensure the work plan can be carried out.

Legal advice provided to DMS/CMS to facilitate rapid establishment of support functions (e.g., review of leases or other
important contractual documents), as requested.

Under direction of OLA, SOFA/SOMA finalized or in final stages of negotiation.

Agreements in place with national government for use of United Nations premises, and a dedicated focal point determined
within the government, if possible, to follow-up on issues, as required.

Terms of Reference (ToR) for Boards of Inquiry (BOI) established.

Mission-specific procedures established on how to deal with staff matters with legal implications, such as death/arrest of
staff.

A presentation on privileges and immunities of United Nations staff is prepared as part of induction training.

Critical tasks: mandate implementation

The critical start-up tasks LAO should undertake preparing to begin mission operations are the following:

Give an early overview briefing to SRSG/HOM, MLT and SMG on key legal aspects of the mission concept and on issues
of constitutional and other national laws as they affect the mission’s mandate.

Provide briefings on administrative, personnel and contractual matters related to mission operational activities, including
privileges and immunities, SOFA/SOMA and legal arrangements for any government-owned premises.

Seek inclusion of mission Legal Officer in SOFA/SOMA negotiations conducted under the direction of OLA.

Engage with OLA in efforts to have SOFA/SOMA finalized before mission deployment begins on a large scale.

Negotiate formal agreement from host government on various exemptions according to United Nations Charter, Convention
on Privileges and Immunities of the United Nations and, if already concluded, SOFA/SOMA.

Maintain contact with local counterparts, including with the host government and UNCT.

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Critical tasks: mission management

The critical tasks the SLA should undertake, at the direction of the O/SRSG/HOM, in managing mission start-up are the
following:
Planning

Develop and implement the work plan for LAO, based on the mission concept and needs of O/SRSG/HOM. Undertake this
as a priority task once the mission concept is finalized.

Ensure LAO provides legal advice on possible threats and challenges that may arise to the mission’s mandate due to host
country legal framework.

In cases of handover from earlier political mission or non-United Nations mission, consult the legal staff of earlier mission
on legacy issues the new mission may face (e.g., premises or land occupation).

Budgeting

Ensure enough resources are budgeted so LAO can function effectively, including, but not limited to, budgeting for legal
resources (library and important legal instruments, including in local language(s) and the translation thereof, if necessary,
by local professional legal translation services); for training for both international and national professional officers to keep
abreast of latest developments; for professional legal translation services; and for databases that ensure confidentiality of
records and other information.

In general, ensure/propose that the staffing table includes at least two international professional posts with local language
abilities, if possible; two national professional posts; one international assistant; and one national assistant.

Recruitment
(LAO staffing needs during start-up depend on issues at hand and the size of mission. Delays in staffing LAO could potentially
lead to delays in contracts for procurement, facilities leasing, SOMA/SOFA, etc., which, in turn, would delay mission
operations.)

Recruit international legal staff with United Nations legal experience and sufficient language skills to communicate
effectively about legal matters with local counterparts.

Recruit national lawyers with experience in the legal system of the host country and with sufficient language skills to
communicate effectively with international staff.

Ensure/propose to SRSG/HOM and/or DMS/CMS that professional language assistants are hired or that services are
procured by contracting local professional legal translation services.

If mission has a dedicated translation unit, ensure/propose that at least one staff member has paralegal background.

Other issues

Meet with local authorities early on to explain SOFA/SOMA, provisions on staff immunities and privileges and the rules for
contractors.

Obtain, including translate, as necessary, relevant parts of the constitution, criminal code and other legislative regulatory
framework of host country/countries.

Ensure that all mission staff are briefed on their privileges and immunities, by way of induction training and preparation of
information circulars.

Liaise with UNCT Legal Officers as regards key areas of cooperation, including sharing information on the host country’s
legal context.

As BOI are usually established on an ad hoc basis to deal with individual cases, be prepared to help facilitate ad hoc BOI
until BOI office is established within O/COS.

During SOFA/SOMA negotiations, negotiate a list of tax exemptions and most favourable rates, and include these lists and
subsequent agreements/understandings as annexes to SOMA/SOFA.

Work closely with O/DMS/CMS on procurement issues. The SLA will serve as a member of LCC, local Claims Review
Board and local Property Survey Board.

Consult with SRSG/HOM and DMS/CMS on dealing with challenges arising from the requirement that the host
government provide free premises to the mission, as there is little formal guidance available on this issue.

In negotiations over premises, push for most favourable utility rates and other concessions and include these agreements as
annexes to SOFA.

For further guidance consult:

On field operations for Legal Affairs Office and general guidance on management and integration of mission operations,
3000 Series of United Nations Peace Operations Policy Framework (United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org)

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On field operations support of the legal component, 5000 Series of United Nations Peace Operations Policy Framework

Download useful legal reference material from the following websites:
o http://untreaty.un.org/ilc/publications/yearbooks/1967.htm (1967 Yearbook of the International Law Commission on
Privileges and Immunities (particularly useful during SOFA and tax issues negotiations)
o http://untreaty.un.org/ilc/publications/yearbooks/1985.htm (1985 Yearbook of the International Law Commission State
Responsibility)
o http://www.un.org/law/UNJuridicalYearbook/index.htm (full text of three United Nations juridical yearbooks and
related to privileges and immunities, personnel, procurement, etc.)

Mission Best Practices Officer (BPO); if there is no BPO in mission, contact the Peacekeeping Best Practices Section at
[email protected]

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5.7 Safety and Security

Roles and responsibilities

All multidimensional peace operations have a Safety and Security Section headed by a Chief Security Adviser (CSA) or Chief
Security Officer (CSO) who is the principal adviser to SRSG/HOM, SMG and SMT on issues affecting the security of civilian
personnel covered by the United Nations security management system. (See section 4.3.1 for information on the Security
Management Team (SMT) and the Crisis Management Team (CMT) within peacekeeping operations.) Reporting to
SRSG/HOM, CSA supervises the Safety and Security Section, maintains contact with other United Nations agencies, funds and
programmes Security Officers in the country and maintains technical communications with UNDSS at UNHQ.

During mission start-up, CSA operates at two levels, addressing the immediate security of the mission staff, while developing
longer-term security arrangements. To accomplish these security tasks, the CSA must be present at and included in all important
decision-making meetings at the mission level, including, but not limited to, the SMG.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Safety and Security Section has achieved IOC are the following:

Designated Official (DO) fully supported in essential decision-making role, and the SMT functioning effectively.

Network of security professionals in place, and mission security risk assessment undertaken.

Enough resources available to manage security management programme, including an ability to conduct daily tasks and
operations and to adapt security management programme to meet mission growth and changing situations.

Safety and Security Section sufficiently established so that deployment does not have to be curbed or delayed because of
lack of security personnel capacities to provide appropriate services.

National security staff under recruitment and testing/vetting process in place.

Mission-wide pass and ID system in place, coordinated with UNCT security pass and ID arrangements.

Emergency safety and security plans (including civil unrest, incursion on premises, hijack, evacuation and relocation
scenarios) in place, rehearsed and compatible with available medical, aviation and other resources needed for initial
implementation of those plans.

Initial system of wardens, radio checks, vehicle tracking, compound security, assessment of MOSS/MORSS, etc. in place.

MOSS/MORSS distributed to staff needing them (e.g., engineers, surveyors, military and police planners, etc.).

MHQ compound and other premises are able to withstand hostile action (mobbing, intrusion) and provide perimeter
protection and shelters against, for example, small-arms fire, 82 mm mortar, 122 mm rocket and car-bomb, in accordance
with MOSS.

SRSG/HOM and other VIP personal protection details in place and coordinated with other security actors.

Host country security support coordinated, to the extent possible.

Critical tasks: mandate implementation

The critical start-up tasks the CSA should undertake preparing to begin mission operations are the following:
• Address immediate security concerns, specifically:
– Conduct early liaison with host country security authorities and other security officials (international or regional).
– Confirm and refine security risk assessments.
– Provide security assessment of initial facilities to be used during start-up.
– Arrange for physical security (guard, access control, etc.) of United Nations facilities, according to MOSS.
– Establish security guidelines for staff residence accommodations and inspects potential residences, according to MORSS.
– Establish security induction training and briefing for all incoming staff, according to the Field Security Handbook.
– Establish emergency communications systems and mission tracking capacity.
– Produce start-up security contingency plans.

• When establishing Security Operations Centre (SOC) for monitoring and tracking all civilian personnel (including those
employed by United Nations agencies), ensure SOC and JOC are interoperable, clarify relationship between SOC and JOC,
and ensure clear understanding of separation of duties. Co-location is preferable. However, in some cases only a separate and
distinct SOC can manage civilian security requirements. JOC cannot manage civilian security requirements unless it has a
dedicated SOC co-located and built into it.
• Generate generic email contact for all staff to inform SOC about restrictions of movement, concerns about residential and
office security and similar low-level security and safety concerns.

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• Provide weekly email circular to all staff on security and safety developments and tips on awareness and preparedness (e.g.,
United Nations Offices at Nairobi (UNON) model).
• Develop participatory process to identify and address security and safety concerns with staff (e.g., the Office of the United
Nations High Commissioner for Refugees (UNHCR) model).

Critical tasks: mission management

The critical tasks the CSA should undertake, at the direction of SRSG/HOM, in managing mission start-up are the following:
Planning
• Establish SMT as per Field Security Handbook.
• Participate in all mission planning activities (as per Field Security Handbook), ensuring all plans support mission concept and
ISF.
• Specifically, produce a security risk plan for all personnel covered under the security management system, including mission
security concept, evacuation plan and security support plan
• Coordinate security planning and related tasks with political, military, police and administrative/logistics planners.
• Immediately upon arrival to mission, tailor security SOPs to specific circumstances in the host country, working in
consultation with UNCT security representatives, if available.
• Establish crisis management system at outset of mission start-up with the CMT implementing crisis management plans as
early as possible during start-up.
• Review to identify safety and security challenges.
• Consult with Security Officers of United Nations agencies and NGOs operating on the ground before mission arrival.

Budgeting
• Work closely with O/COS on Safety and Security Section RBB submission, which should follow from Safety and Security
Section’s contribution to the mission plan.
• Push for procurement of secure communications hardware (e.g., Motorola radios equipped with “zap” feature that renders a
stolen or lost radio unusable).
• If TAM report does not recommend appropriate vehicle specifications, change required specs, as quickly as possible, to
ensure delivery of correct tires for local conditions, snorkels, winches, sub-tanks, external roll bars, etc.

Recruitment
• UNDSS ensures that selected CSA has experience with peacekeeping operations and can merge UNDSS operations into an
integrated structure.
• Ensure advance party of security staff at mission start-up includes:
– CSA
– Deputy CSA, who is primarily responsible for recruiting the rest of Safety and Security Section staff
– Planning Officer to develop the security plan -- which is required early during start-up as the security situation is usually
unclear and that includes deployment according to MOSS -- and the evacuation plan
– Security Information Analyst
– Security Operations Officers
– Close Protection Officers
– Training Officer
– Logistics Officer
• If possible, bring together advance party of safety and security staff, before they deploy to mission area, for a one-week
meeting in a neighbouring country, at UNLB or UNHQ for UNDSS/DPKO/DFS briefings and to develop safety and security
plans.
• Ensure follow-on main body includes:
– Investigation Section to ensure accidents/incidents are properly investigated and documented
– Security Information Section
– Pass and ID Unit, including the necessary equipment to create IDs
– Security Clearance Section (or Staff Tracking Unit) to identify all personnel and their locations, essential staff, etc. and
establish unified personnel database using Lotus Notes programme for use by the warden system
– Training Section to train national and international staff on communications, security systems, etc.
– Occupational health, safety and stress counselors

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• Especially during start-up, ensure all safety and security staff is able to rotate to different stations within mission to meet
changing needs and growth requirements.

Other issues
• Coordinate security arrangements with all United Nations and external partners as well as local authorities.
• Identify safe havens, evacuation and relocation routes, and related exercise procedures.
• Conduct assessments of general security situation, office and residential security and investigations procedures.
• Ensure emergency communications network is in place.
• Manage civilian or contracted guard force that protects mission premises, if there is not a military contingent provided for
that purpose.
• Maintain good relationship with senior mission and UNCT leadership as well as Chiefs of JMAC, JOC, and CISS and OIOS,
when present.
• Establish relationship with mission ISS, specifically with Engineering Officer (planning and implementation of passive
defense structures, fortification and use of field defense stores, perimeter protection and illumination), CITS (security
channels and emergency communications procedures), Supply, Transport and Medical (safety equipment and material).
• Ensure start-up Safety and Security Section is administratively and logistically supported by mission (as opposed to UNCT),
as quickly as possible.
• Conduct early crisis management exercise to practice and involve components and section heads in decision-making process
and joint operations.
• Support establishment of JOC and JMAC and help both structures become operational as quickly as possible.
• Develop clear command relationship and procedures for transfer of command authority between UNDSS, FPUs and the
military unit responsible for physically guarding mission assets and locations.
• Inform mission leaders on MOSS requirements related to selecting mission premises.
• Clarify which mission component is responsible for fire drills, fire marshals, first aid and fire fighting training, etc.
• Link security roster to personnel system to avoid false IDs and unauthorized access to United Nations facilities.
• Use ID cards that can be scanned, if possible.

For further guidance consult:

• On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)
• UNDSS 24/7 Communications Centre at UNHQ:
Telephone: (917) 367-9438/9439
Fax: (212) 963-9053; (917) 367-9441
Blackberry: (917) 400-8905
Email: [email protected]
• DPKO/DFS Situation Centre: [email protected]
• Contact Mission Best Practices Officer (BPO); if there no BPO in mission contact the Peacekeeping Best Practices Section at
[email protected]

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5.8 Conduct and Discipline

Roles and responsibilities

The Conduct and Discipline Team (CDT) functions as a dedicated, full-time capacity to address misconduct issues relating to all
categories of peacekeeping personnel. The primary aim of the CDT is to strengthen the capacity of the mission to minimize and
effectively manage acts of misconduct and to ensure the United Nations standards of conduct are maintained. The CDT supports
SRSG/HOM in designing and implementing measures to prevent misconduct. The CDT also ensures United Nations standards
of conduct are enforced and advices on remedial action to be taken when misconduct has occurred. It provides technical advice
to mission leadership on United Nations rules, policies and procedures relating to conduct and discipline. The CDT does not
conduct investigations; it receives complaints of misconduct, transmits them to the appropriate bodies for investigation and
ensures follow-up on the outcome of investigations.

In larger peacekeeping operations, the CDT is headed by a Chief; whereas, in smaller operations a single Conduct and Discipline
Officer may be deployed. The CDT or the single Officer reports to the COS, where applicable at MHQ and receives technical
and policy guidance as well as support from the Conduct and Discipline Unit in DFS at UNHQ. The reporting line to the COS
does not affect the direct access of the Chief of CDT to SRSG/HOM. The CDT also maintains direct and regular contact with
the military, police and mission support components of the mission, at the highest level. All mission components report
complaints of alleged misconduct they have received to the CDT.

Initial operating capability

The key start-up tasks that, once completed, indicate CDT has achieved IOC are the following:

Mission code of conduct is prepared and distributed.

Consultations on conduct and discipline matters are regularly taking place between CDT and SRSG/HOM, military, police
and mission support components, at the highest level.

Mechanisms for reporting on conduct issues are established.

Mandatory training on Sexual Exploitation and Abuse (SEA) is being provided to all categories of United Nations
personnel.

Access to the Misconduct Tracking System is working and data is being compiled.

Central repository compiled of United Nations and mission-applicable standards of conduct.

Relevant risks of misconduct, as relates to conditions in the host country and deployment of United Nations personnel, are
being identified and analyzed.

Briefings provided to appropriate sections within the military, police and mission support components on relevant aspects of
United Nations standards of conduct and disciplinary processes, including investigations.

Work plan is completed for CDT and core staff are in place to ensure the work plan can be carried out.

Timely advice is being provided to Force Commander/Head of Military Component (FC/HOMC), the Police
Commissioner/Head of the Police Component (PC/HOPC) and DMS/CMS to help identify and enforce specific measures
for the prevention of misconduct by various categories of United Nations personnel.

Welfare and recreation strategy is established and being implemented.

Proper arrangements are in place with the UNCT and individual United Nations agencies, establishing the in-country
network on prevention of SEA.

Critical tasks: mission management

The critical tasks the CDT should undertake, at the direction of the O/SRSG/HOM, in managing mission start-up are the
following:

Planning

Develop and implement the work plan for CDT, based on the ISF and the needs of O/SRSG/HOM.

Once the work plan is finalized, undertake the following as priority tasks:
o Identify risks of misconduct, as related to conditions in the host country and deployment of United Nations
personnel.
o Determine the need for mission-specific measures to be adopted for the prevention of misconduct, including
designation of “off-limits” locations.
o Identify the need for regional deployment of CDT personnel or the frequency of regional and sub-regional visits.

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 o Prepare the mission’s code of conduct.

Budgeting

Ensure adequate resources are budgeted for CDT to function effectively, including, but not limited to, budgeting for travel
within the mission and training for international and national professional officers to keep them abreast of the latest
developments and to familiarize them with the Misconduct Tracking System.

Recruitment

CDT staffing will depend on the size of the mission and will usually be broken down into large, medium and small
missions. Smaller missions may have a single Conduct and Discipline Officer, while some missions may be covered by a
CDT from another mission located within the region. The Conduct and Discipline Unit at UNHQ will assist in identifying
technically cleared candidates for the various positions in the mission CDT.

Other issues

Establish contact with local counterparts and maintain these relationships, including with local and international NGOs and
UNCT. Identify and liaise with UNCT and United Nations agencies focal points on SEA.

Obtain and translate, as necessary, the criminal legislation of host country/countries.

Review available training material on SEA and plans for training implementation.

For further guidance consult:

General Assembly document A/C.5/59/28 for mandate of CDT

General Assembly document A/60/862 for Model Terms of Reference for a Conduct and Discipline Team in a peace
operation

General Assembly document A/62/758 for comprehensive report on conduct and discipline

On management and integration of mission operations, in relation to conduct, welfare and discipline, 3000 Series of United
Nations Peace Operations Peacekeeping Guidance Framework at: http://intranet.dpko.un.org/dpko/

Community of Practice network for conduct and discipline

DFS Conduct and Discipline website at: http://www.un.org/Depts/dpko/CDT/about.html

Contact the Mission Best Practices Officer (BPO). If there is no BPO in mission, contact the Peacekeeping Best Practices
Section at [email protected]

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5.9 Joint Mission Analysis Centre (JMAC)

Roles and responsibilities

The Joint Mission Analysis Centre (JMAC) is an integrated civilian, police and military structure that gives SRSG/HOM and
senior managers a standing capacity to collect and synthesize all-source information and produce medium- and long-term
integrated analysis. JMAC analytical products should provide the basis for enhanced mission planning and decision-making.
They should also give senior managers a better understanding of issues and trends, their implications and potential developments
as well as provide assessments of cross-cutting issues and threats that may affect the mission. JMAC may also provide threat
assessment briefings to United Nations agencies, funds and programmes.

During the start-up phase, JMAC will experience a steep learning curve on country-specific information relevant to the mission
mandate. It should recruit, as a matter of priority, persons with language and/or country-specific skills. To encourage that
operational decisions be “intelligence-led,” and to influence mission planning and decision-making by senior management in a
timely fashion, JMAC should have direct access to SRSG/HOM, through COS.

Initial operating capability

The suggested key start-up tasks that, once completed, indicate that JMAC has achieved IOC are the following:

Role and mission of JMAC determined.

Overall structure determined, including determining if JMAC will be divided into units or consist of one integrated
structure.

Agreement reached on reporting lines, either directly to SRSG/HOM or through COS or DSRSG.

Collection plan devised based on initial Priority Information Requirements (PIR) from the mission’s senior management
that lay out initial direction and focus of the work of JMAC.

Initial profiles developed of key personalities, institutions and groups related to mission’s mandate.

Information network established.

Understanding developed by JMAC of the conflict and a prognosis completed of events that might pose a threat to the
mission or to mandate implementation during the upcoming six months.

Initial Mission Threat Assessment generated in collaboration with CSA.

Working with the Joint Geographic Information Section (JGIS), a number of sample “risk mapping” products generated that
highlight the most pressing “hot spots”.

Appropriate database and IT infrastructure defined and procurement process initiated.

Standing procedures put in place for issues including the handling of classified/sensitive materials and for information
product flow between units.

Sources and methods of information collection established.

Access by JMAC to information from all sections of the mission agreed, and procedures put in place to ensure that
information is shared systematically.

Unclassified, regularly updated briefs produced that can be presented to incoming staff and VIP mission visitors.

Critical managerial tasks and issues

The critical tasks that the Chief/JMAC should undertake, at the direction of the SRSG/HOM, in managing mission start-up are
the following:
Planning

Ensure JMAC inclusion in operational mission planning processes.

Ensure co-location with JOC.

Develop section work plan, and provide clear ToRs to all staff.

Establish working relationships with other mission components, such as O/SRSG/HOM, O/DSRSG, O/DSRSG/RC/HC,
military, police, political affairs, civil affairs, human rights and with UNCT and humanitarian/development organizations.

Work closely with JLOC and JOC, and if offices are not co-located, devise procedures to develop synergy with them
through close reporting channels and structures.

Seek participation in SMG (preferably as lead briefer), CMT and any senior policy-making body. While not explicitly
included in current policy on JMAC, Chief/JMAC should also be included in SMG and other substantive decision-making
bodies as adviser and observer, not as decision-maker.

In coordination with SRSG/HOM and CSA, seek early introduction to appropriate counterparts in host government and
opposition movements to demonstrate transparency and explain the role of JMAC.

Seek to establish network of contacts within the mission and UNCT.

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Develop information/communication networks with groups in neighbouring countries, such as the JMACs and mission
counterparts in adjacent United Nations operations, UNCT and others.

Budgeting

Ensure JMAC needs are reflected in RBB, seeking guidance from O/DMS/CMS, as necessary.

Ensure certain JMAC-specific needs are budgeted for, such as specialized database and other ICT software, secure
computer local area network, high-end desktop computers (limited number can be provided for data analysis), digital
sender, network attached storage (for internal JMAC secure data storage), safe and secure communications (both wired and
wireless) and lockable file cabinets.

Ensure access to enough vehicles and budgetary resources to allow travel within and outside mission area to establish
contacts and for information collection and analysis purposes.

Seek budget provisions that allow for JMAC staff training.
Recruitment

Ensure recruitment plan for international civilians is devised in consultation with CCPO and CAS.

Ensure military and police personnel are seconded from respective components as early as possible.

Ensure recruited staff have expertise in mission’s country/region, conflict/post-conflict situations and threat assessment as
well as language skills, field experience and drafting and writing skills.

Ensure qualified technicians recruited to establish/maintain critical ICT tools (e.g., databases, networking hardware and
software).

Ensure key posts are filled during start-up, including Chief/JMAC, Deputy/Senior Analyst, Chief of Information Collection
Cell, database administrator, and language assistants. At least 50 percent of substantive civilian posts (both JMAC posts
and seconded staff) and 50 percent of military substantive and support posts should be filled during start-up phase.

As JMAC policy calls for many JMAC staff to be seconded, ensure seconded staff members are being assigned full-time to
JMAC, retaining only liaison links back to their parent units.

Other issues

Initiate design and establishment of JMAC mission database as soon as possible.

Given the unique, integrated analytical nature of JMAC, and since JMAC is a relatively new concept, explain JMAC
concept and demonstrate its potential utility for all mission components, especially MLT/SMG, to all stakeholders in the
mission.

Establish working arrangement with DMS/CMS and Chief/JGIS unit that provide JMAC priority access to GIS data and
mapping tools. Ideally, select JGIS staff will be co-located with JMAC as early as possible.

Ensure early receipt of initial PIRs from MLT/SMG to lay out initial direction and focus of JMAC work.

Establish links to JMACs in neighbouring missions and to UNCTs, NGOs, regional organizations, diplomatic community,
other United Nations regional bodies (as applicable), think tanks and universities.

Ensure acquisition of specialized database and ICT software and licenses, including SQL database server, data analysis
tools (e.g., i2inc, Crisis profiler), data encryption software, secure collaboration tools (Groove) and secure data vault
(CyberArc).

For further guidance consult:

DPKO/DFS Policy on JMAC ,United Nations Peace Operations Guidance Framework (United Nations Peace Operations
Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Guidelines on JMAC, United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Contact the UNHQ – Situation Centre, Research and Liaison Unit (RLU), [email protected]

Contact the Mission Best Practices Officer (BPO); if there is no BPO in mission, contact the Peacekeeping Best Practices
Section at [email protected]

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5.10 Joint Operations Centre (JOC)

Roles and responsibilities

The Joint Operations Center (JOC) is an integrated civilian, police and military section, established at MHQ, which normally
serves as the communications and information focal point for the entire mission area on a 24/7 basis. It should also be the venue
and provide support for mission crisis response. Chief/JOC reports to SRSG/HOM, usually through COS, and integrates the
services of military, police and United Nations security personnel. JOC monitors all United Nations operations within a mission
area and provides situational awareness through integrated reporting (refer to figure 10 in section 4.3.3) on current operations.
On an ongoing basis, JOC collates all-source reports, carries out necessary preliminary analysis to support senior management
decision-making and provides daily mission briefings to senior and mid-level managers at MHQ as well as written SitReps to
FOs. JOC should also function as a point-of-contact communications service for the mission senior leadership.

With JMAC, JOC plays a critical role in providing early warning to SRSG/HOM or appropriate senior managers of any action,
event or incident that could develop into a crisis. During a crisis, JOC provides the emergency response venue and operates as
the primary support to CMT. The CMT normally includes senior managers appointed by SRSG/HOM and it is assembled on an
ad hoc basis to deal with crisis situations. JOC should lead on developing integrated responses to crises. Chief/JOC should head
the Crisis Management Support Team, which supports SMT and reports to SRSG/HOM.

The JOC should be established at the outset of mission start-up, even if it cannot be sustained on a 24/7 basis, so that all mission
components and staff apply an integrated approach to situational awareness. From the outset, with the Chief/JMAC, Chief/JOC
helps SRSG/HOM develop a mission culture of integration and joint operations.

Initial Operating Capability

The key start-up tasks that, once completed, indicate JOC has achieved IOC are the following:

Reporting lines agreed to, either directly to SRSG/HOM, or through COS or DSRSG.

JOC functioning within MHQ (not necessarily 24/7), and reliable, secure communications and processes established with
JMAC, JLOC, Security Operations Centre (SOC), component heads and FOs.

Necessary arrangements and SOPs developed between military, police and security components to obtain timely reporting
for inclusion in mission-wide situation reporting.

Contact procedures for managing a crisis confirmed between JOC and O/SRSG/HOM, O/COS and members of CMT,
including contact procedures with DPKO/DFS Peacekeeping Situation Centre (SitCen).

Working procedures (e.g., logbook and contacts management procedures) and equipment (e.g., multiple forms of
communications equipment, information boards) in place.

Crisis management exercise or simulation conducted, bringing together all members of CMT as a “dry run” for a crisis.

Critical managerial tasks and issues

The critical tasks the Chief/JOC should undertake, at the direction of the SRSG/HOM, for managing mission start-up are the
following:
Planning

Secure SRSG/HOM approval for all JOC mission management arrangements, plans and procedures.

Secure necessary, dedicated infrastructure and communications capacity (including secure communications, SMART
SitRep transmission system and electronic mission phonebook) within MHQ, to have it co-located with JMAC and, if
possible, JLOC.

Ensure necessary integration arrangements and SOPs are developed between military, police and security components.

Ensure JOC and SOC interoperable, with clear separation of duties.

Ensure JOC maintains capacity to expand to include other component representatives as well as to occasionally host, brief
and communicate with members of CMT.

Ensure JOC has enough trained and experienced personnel, service support and security arrangements so it can operate
24/7, year round.

Develop early plans for contingency planning, training, rehearsals and exercises, including regular simulations to ensure
SRSG/HOM and senior, uniformed United Nations commanders are sufficiently prepared for possible crisis situations.

Ensure that JOC presentation is part of induction training for newly arriving staff.

Provide JOC staff with opportunities to visit field locations soon after deploying to familiarize themselves with the situation
on the ground.

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Budgeting

With O/SRSG/HOM and O/DMS/CMS, determine initial and ongoing personnel, infrastructure, communications, security
and service support needs for early budget submission.

Ensure sufficient number of civilian staff (Information Analysts, Reporting Officers) are included in the budget.

Recruitment

As early as possible, select and recruit permanent representatives from military, police and security components to permit
rapid establishment of JOC on 24/7 basis.

Recruit sufficient number of duty officers and clerical support staff to ensure 24/7 operations and coverage during staff
absences.

Seek ad hoc and permanent representatives from additional components, as necessary, especially for implementing crisis
management plans.

Recruit civilian staff with good analytical and drafting skills and with operations experience. Dedicated civilian JOC staff
members are key for ensuring continuity, given the high turn-over of uniformed personnel.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Policy Framework
(United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Policy on JOC and JMAC (2006)

Mission BPO; if there is not a BPO in mission, PBPS at [email protected]

DPKO/DFS Situation Centre – [email protected]; mission email received in this mailbox is automatically
redirected to appropriate ops. room desk, as follows:
Missions in Americas, Asia, Europe, Middle East & Pacific [email protected] 212-963-2802
Missions East & North Africa [email protected] 212-963-1820
Missions Central & West Africa [email protected] 212-963-1805

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6. Uniformed Components
6.1 Military Component

Roles and responsibilities

The primary function of the military component in United Nations missions is to provide a secure environment as a precondition
for moving ahead on other elements of the peace process or implementation of peace agreements. The Head of the Military
Component (HOMC) 6 is usually a Force Commander (FC) or is the Chief Military Observer in missions with only unarmed
observers. The HOMC provides leadership and has specified responsibilities for all military personnel and units assigned to the
mission.

During mission start-up, and as part of the MLT, the HOMC helps SRSG/HOM and other senior mission leaders develop an
integrated approach to implementing the mission mandate. Ideally or when appointed well in advance of mission deployment,
HOMC will be involved in the process of developing military CONOPS, the development of which is a responsibility of the
Office of Military Affairs (OMA) in DPKO. HOMC will also assist SRSG/HOM in overseeing the implementation of the
military CONOPS in the field. Based on this UNHQ plan, HOMC develops the military component’s operational plan, which
directs the detailed deployment and employment of contingents and of specific force assets in support of the mission mandate.
HOMC plans for and oversees military operations launched in the mission area and other critical aspects of support and security
of the military component. HOMC also plans and budgets for the military component.
Initial Operating Capability
The key start-up tasks that, once completed, indicate that the military component has achieved IOC are the following:
• Sufficient key Force Headquarters staff in place to conduct planning, operations and personnel management.
• Field command framework issued (including a clear chain of command succession arrangements at MHQ/Force
Headquarters, divisional headquarters, sector/brigade headquarters and even battalion headquarters) to ensure that, at any
given time during absence of the senior commander, a pre-determined chain of command applies.
• Core documents and plans in place or being finalized, including the following:
– Rules of Engagement (RoE), including any associated implementation directives
– Mission and military CONOPS (strategic-level military CONOPs and mission support CONOPS)
– Operations plan
– HOMC generic directive
– Mission-specific guidelines for the HOMC
– Force requirements
– TCC guidelines
– Commander’s Critical Information Requirements (CCIRs)
– Direction to Joint Monitoring Coordination Office on ceasefire mechanisms
– Information operations or information activities plan
– Contingency and risk management plans
– Extraction plan
• UNHQ strategic assumptions reviewed and necessary adjustments to plans agreed to by SRSG/HOM and DPKO/DFS.
• Military portion of mission concept and initial mission budget developed.
• Written agreements outlining clear responsibilities and accountabilities for mission security and protection established with
SRSG/HOM, HOPC and CSA.
• Where police and FPU are deployed, arrangements made with HOPC for hand-over of critical incidents (e.g., riots) between
police and military components.
• Authorities for tasking of aviation and engineering assets agreed to with DMS/CMS, in accordance with DPKO/DFS
guidance.
• Basic SOPs and HOMC guidance to military force on the conduct of operations and administration developed and published.
• Clear guidance on conduct and discipline issued to all personnel.
• Basic, yet reliable, communications backbone established in conjunction with CITS, including capability suitable for
reporting internally within military component (including between contingents) and between Force Headquarters and MHQ.
• Key personnel requirements and deployment plan identified and confirmed with OMA.
• Enough military observers, liaison officers and arms monitors in place to conduct limited observation and reporting tasks in
selected parts of area of operations.
• Suitable levels of force protection (including passive structures) established in selected regions of area of operations.
• Appropriate monitoring and surveillance technologies deployed.
6
This document will always refer to the Head of the Military Component as HOMC, irrespective of actual title.

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• With the support of CISS, minimum acceptable levels of service support, medical coverage, transportation and evacuation
capability necessary for conducting limited, targeted field operations by military observers and essential contingents
established.

Equipment and material gaps identified in coordination with CISS and the Procurement Section.
• Regular meetings held with senior national contingent commanders and senior national officers from TCCs.
• With DMS/CMS, capacity established to support TCC reconnaissance visits.
• Protocols in place for good cooperation between J2 and JMAC capabilities.
• Good quality military personnel seconded to joint and integrated mission structures (JMAC, Integrated Support Services
(ISS), JOC and JLOC).
• Civil–military liaison/coordination arrangements in place.
• Clear agreements in place to facilitate military assistance to civilian activity.
• Contingent, military observer and staff officer reception/induction and training system in place.
• Where a mission is transitioning from a non-United Nations to a United Nations peacekeeping operation, “re-hatted”
personnel, if present, provided with any United Nations-specific training and induction, with these contingents ensured of
being operational and supported.

Critical tasks in preparation for mandate implementation

The critical tasks the HOMC should undertake in preparing to begin military operations are the following:
• Gain initial situational awareness, through DPKO/DFS briefings, UNCT contacts and reports, assessment missions,
reconnaissance and all other appropriate sources.
• Identify, with SRSG/HOM, all non-United Nations specially designated persons who may need United Nations military
protection, consistent with the mission mandate.
• Ensure key military component documents finalized for specific mission as quickly as possible, including:
– Rules of Engagement (RoE), including any associated implementation directives
– Mission and military CONOPS
– Operations plan
– Commander’s Critical Information Requirements (CCIRs)
– Direction on ceasefire mechanisms to Joint Military Committee Office
– Information operations or information activities plan
– Contingency and risk management plans
– Extraction plan
• Brief incoming contingent commanders on key guidance documents and provide copies.
• Where relevant, review with HOPC the arrangements for joint operations between police and military, especially for
handover of tactical primacy in crisis situations. Regularly review and confirm these arrangements.
• Within wider mission engagement strategy, establish working relationships with the military leadership of the parties to the
conflict, especially those who will be involved with and supporting the joint military committee structures, if in existence.

Critical Tasks: mission management

The critical tasks that the HOMC should undertake, at the direction of the SRSG/HOM, in managing mission start-up are the
following:
Planning

Establish, with SRSG/HOM, CSA and HOPC, clear responsibilities and accountabilities for mission security and protection.

Identify, together with SMT and CSA, all United Nations persons, places, activities and events that may need United
Nations military protection, consistent with the mission mandate

Analyze military component’s roles/tasks and begin military operation planning.

Determine flexibility of action available to HOMC in relation to military component’s CONOPS, budget, etc.

Maintain separate profiles and areas of responsibility, while establishing strong functional relationships between the
mission’s military and police components.

Help develop integrated mission plan.

Ensure key mission documents finalized quickly with military component input, including:
– Military component of mission plan
– Deployment plan
– Security plan
– Information collection plan
– Communications plan
– Logistics plan
– Medical plan

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Gain understanding of CONOPS and plans of other mission components and their respective roles/mandates.

Gain understanding of scope and complexity of critical interrelationships within United Nations mission, especially with the
support component, with regards to control over military logistics capabilities (see DMS/CMS and CISS sections).

Specify critical military material/equipment requirements for operations, safety and security, communication management
and information gathering to CISS and, if appropriate, OMA and DFS, for their action.

Agree with DMS/CMS on tasking authorities over logistics units, including allotments provided to HOMC for tasking
assets, in accordance with DPKO/DFS command and control policy guidance.

Provide military staff for and support the establishment of ISS, which includes civilian and military logisticians working
under the authority of CISS.

Work with DMS/CMS and CISS, early on, to ensure civil–military interface within ISS structure runs smoothly and fully
addresses the military support requirements.

Clarify with DSRSG/RC/HC the relationship between mission’s military component and UNCT as soon as possible.

Contact the United Nations Mine Action Coordination Centre (UNMACC) to gain up-to-date information on the threat of
mines and UXO and to determine the military’s operational mine clearance needs.

Together with other mission components, help UNMACC develop a mine action plan and begin operational de-mining as an
urgent priority.

Establish contacts and determine the component’s relationship with local counterparts including other military actors
(regular armed forces and/or rebel groups) under the political guidance of DSRSG or SRSG/HOM and in consultation with
other units such as the Civil Affairs Office.
Budgeting

Develop the military budget proposals for input into the mission budget, in accordance with the mission plan.

Ensure all military component structures are adequately and appropriately resourced.

Ensure translators and other civilian support personnel are budgeted for, hired and in place.

In addition to normal requirements for supporting the military component, include balanced budgeting for the following
items:
− Comprehensive training and induction program
− Joint military committees at force and sector levels and, potentially, joint monitoring teams
− Translators and other civilian employees directly supporting the force
− Military personnel with specialized skill sets to serve in or to be seconded to joint structures (e.g., ISS, JLOC,
JMAC, JOC)
− Safety and security
− Information gathering
− Information management
− Communications
− Operations at various levels (MHQ, sectors, battalions)

Recruitment, force generation and deployment

Establish military Force Headquarters, preferably co-located with and fully integrated within MHQ.

Establish necessary command and control structures for force level units and in divisions and sectors, and determine the
devolution of authority and responsibility to commanders.

Establish subsidiary military headquarters and areas of operation (divisions, sectors), as needed, with O/SRSG/HOM, police
and other civilian mission components. When choosing locations, consider the need for proximity and integration between
the Division/Sector Commander and the staff with United Nations Regional Head of Office and Regional Police
Commissioner. Where possible, encourage alignment with country’s internal administrative boundaries, and consult with
local parties. Ensure military unit’s boundaries coincide with those of mission police and substantive elements and that
naming protocols are uniform with these.

Ensure comprehensive reconnaissance conducted of sites selected for military camps and that appropriate
governmental/commercial approvals and contracts arranged by DMS/CMS and mission’s legal section, to avoid extensive
delays in allocating and preparing team sites.

Deploy and operationalize force, in accordance with operational priorities and DPKO/DFS deployment plan, ensuring
adequate levels of force protection and medical coverage (including casualty and medical evacuation) are available and that
units can be sustained by supplies, mobility and communications.

Work closely with mission COE staff to receive advice on MOU between TCCs and the United Nations concerning
mission-specific requirements and standards. Inform TCCs that all logistical equipment can, in principle, be used by
mission for mutual support.

Stress the critical importance of establishing mission JOC and JMAC as soon as possible. Be prepared to take on key role in
early development of JOC/JMAC, while keeping in mind that these mission-wide structures are under civilian lead.

Establish necessary structures for conducting joint military committees at force and sector levels, including potential for
joint monitoring teams.

Ensure incoming staff officers and military observers are well-received and properly qualified to serve mission mandate and
to operate in the mission Area of Responsibility (AOR). Ensure basic issues are addressed, such as driving skills,
communications and language abilities, background experience, understanding of CONOPS within United Nations

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 peacekeeping operation, Code of Conduct, RoE and health issues (e.g., environmental hazards, climate, communicable
disease, malaria).

Train military Force Headquarters staff, military observers and contingent officers on mission, RoE, CONOPS and Code of
Conduct, and ensure training is passed on by officers to troops.

Ensure military personnel with relevant specialized skill sets are seconded to joint structures (e.g., ISS, JLOC, JMAC, JOC).

Ensure each member of military component has flashcard summaries of RoE and Code of Conduct, in mission and national
languages.
Other Issues

Establish integrated Civil–Military Coordination Cell (CIMIC) to harmonize activities with other civilian actors within the
mission, the UNCT and NGOs. Establish CIMICs at the regional and/or sector level. (Relations with outside actors, such as
NGOs, should be closely coordinated with DSRSG/HC/RC, who is the mission's primary interface with the wider
humanitarian and development community.)

Establish good working relationship and points of contact with OMA, and clarify mechanisms for routinely interacting with
UNHQ for problem-solving and in times of crisis, while maintaining unity of command and reporting procedures through
SRSG/HOM to UNHQ.

Get guidance from IOT concepts and papers, including the division of labor tables and guiding principles.

When entering region with other peacekeeping operations under way (regional, coalition, national, other United Nations
operations), seek guidance on nature of inter-mission relations. Establish good working relationships with counterparts
from neighboring missions, international partners, regional governments, donors, etc.

For further guidance consult:

DPKO/DFS Policy on Authority, Command and Control in United Nations Peacekeeping Operations, United Nations Peace
Operations Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations of military component and military observers, 4000 Series of United Nations Peace Operations
Guidance Framework

DPKO/DFS Situation Centre via front office email: [email protected]

Contact the Mission Best Practices Officer (BPO); if there is no BPO in mission, contact the Peacekeeping Best Practices
Section at [email protected]

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6.2 Police Component

Roles and responsibilities

Currently, the specific services and types of assistance provided by the police components of peacekeeping operations can
generally be divided into three broad categories based on their mandates.

• Interim law enforcement: United Nations Police Officers, including members of FPUs, are directly responsible for
all law enforcement functions and have a clear authority and responsibility for the maintenance of law and order.
They are, among other things, entrusted with powers of arrest, detention and searches.
• Security support: United Nations Police Officers, particularly members of FPUs, support national law enforcement
agencies in the execution of their functions. They are not considered to be law enforcement officials under the
legislation of the host country and their prerogatives are consequently limited. They may, however, stop, detain and
searches individual, in accordance with the mandate of the mission and specific directives issued by the DPKO. They
also play a key role in the protection of United Nations personnel and facilities.
• Capacity-building: Members of the police components of field missions support the reform, restructuring and
rebuilding of national police and other law enforcement agencies through training and advising.

The police component is generally established as a separate component within a mission with a single chain of command and
with all personnel accountable to and under the operational control of the Head of the Police Component (HOPC), who is
frequently referred to as the Police Commissioner (PC). Missions with smaller police components, usually limited to advisory
functions, have the HOPC as a Senior Police Adviser. The HOPC reports directly to O/SRSG/HOM and is an integral member
of MLT. The HOPS is responsible for coordinating police CONOPS with the overall mission concept.

During the start-up phase, HOPC is guided by a police CONOPS that provides a broad overview of the strategic and
operational requirements. This CONOPS serves as the guiding document to HOPC throughout the life of the mission, from
start-up, to build-up, operations, drawdown and withdrawal of the component. A standard police CONOPS includes the latest
situation update, the tasks and requirements of the police components related to the mission mandate, programmes for
delivery and the expected outcomes of police operations and activities in the mission as well as an outline of the exit strategy.
The CONOPS also provides broad guidelines on the command, coordination, administration and logistics, including the
mandated strength and gender-related mainstreaming aspects of the police component.

Once the initial police CONOPS is completed, HOPC is expected to use it, together with approved United Nations police
policies and other guidance materials, as a basis to provide police inputs to the initial mission concept. In the development of
the mission concept, the police component of the mission is expected to coordinate closely with other mission component
counterparts, seeking guidance from the SRSG to ensure a unified integrated approach and liaising with UNCT on specific
local police developmental mandated tasks. The mission concept may evolve over time, depending on programme
implementation and changes in mandates. The police CONOPS needs to be revised accordingly.

The positioning of Regional Headquarters and other police infrastructure requirements are closely coordinated with the
mission’s administrative and logistics support services. The HOPC works constantly with the United Nations Police Division
(UNPD) at UNHQ on all aspects of the implementation of the mandate, including developing and implementing mission-
specific police policies, guidelines, directives and planning tools. In regard to recruiting and selecting international police
personnel, the mission is supported by the UNPD. Deployment of mission personnel is managed through the UNPD in close
coordination with Member States and the DFS.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the police component has achieved IOC are as follows:

Respective responsibilities and accountabilities concerning mission security agreed to between HOPC and SRSG/HOM,
HOMC and United Nations Safety and Security Section.

Key MHQ police staff are deployed to conduct planning, operations, budgeting and personnel management and to liaise
with the local counterparts to develop key legal frameworks of the operations (MOU, decree, etc.).

UNHQ strategic assumptions, police CONOPS and police operational plan reviewed and necessary adjustments
negotiated with SRSG/HOM and UNHQ.

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Key headquarters and operational command structures in place (key personnel may vary depending upon the mandate and
immediate task of the mission).

Final police CONOPS and police operational plan and initial mission budget for police approved.

Initial mission specific police documents (incorporating gender related aspects) completed, including:
- Policies, guidelines, directives and procedures (broad range of administrative and operational)
- Operations plan
- Deployment plan
- Contingency and risk management plans
- Police reform and restructuring strategic frameworks (in case of police reform mandates)
- Plans for the execution of other mandated tasks
- Maps and GIS details in place
- Security plan
- Relocation and evacuation plan
- Police-contributing Countries (PCC) guidelines
- Directive on detention, search and use of force

Basic SOPs and systems developed in required languages (including incorporating gender mainstreaming) and related
information published and distributed to provide guidance for the police component in conducting operations and
administration.

Basic communications backbone established in conjunction with CITS, including a capability suitable for reporting
internally within the police component, between Police Headquarters and other mission components and between Police
Headquarters and UNPD.

Key personnel requirements (dictated by mandate requirements) and deployment plans identified and confirmed with
UNHQ.

Enough police personnel, including female personnel, deployed to conduct initial observation and reporting tasks in
selected parts of area of operations.

United Nations Police gender focal point established in the Office of the HOPC to advise her/him on gender balance and
mainstreaming as well as strategies to prevent and tackle gender-based violence, working in cooperation with the national
authorities and civil societies, in particular women’s groups and associations.

CISS has in place minimum acceptable levels of service support, medical coverage, transportation and an evacuation plan
and capability.

In missions with mandates requiring law enforcement functions, presence of clear operational directives and guidance for
the transition of police primacy to the military and vice versa during situations of escalated violence.

Information sharing and operational backup support established between various components (Safety and Security
Section, military and police components).

Reception, induction and training system for incoming police personnel in place, in cooperation with the mission training
services.

In connection with law enforcement and operational support mandates, a 24/7 operations and response center established,
as a matter of priority.

Coordination/cooperation frameworks established with national police, related ministries, stake holders and partners
through dedicated joint committees, focal points and interagency partnership forums.

Infrastructure for the police component in place, including:
- MOSS compliant offices to serve as Police Headquarters, with supplies
- United Nations vehicles
- Secure communications for initial core staff of United Nations Police Officers

Proper administrative and operational databases obtained and instituted.

Critical tasks: mandate implementation

The critical tasks the police component should undertake in preparation to begin police operations are the following:

Gain initial situational awareness as soon as possible through UNHQ briefings, UNCT contacts, assessment missions,
reconnaissance and all other appropriate sources.

Engage with national counterparts (e.g., Inspector General, Minister of the Interior, Minister of Justice) on the status of
national police and law enforcement capacity and on the wider contexts of the rule of law, and security sector and system
reform.

Assess the levels and trends on sexual and gender-based violence, including the use of rape as a weapon of war.

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Interact with the broad range of civil society, academics, stakeholders and the national officials to ensure the acceptance
and the viability of the police concept.

From the outset, ensure ownership by the national police of all developed plans, policies, guidelines, etc.

Manage expectations of the local population through communications strategies and clear messages of mission’s police-
related capabilities and limitations (including, where mandated, interim policing and law enforcement roles). Integrate
these considerations into mission’s public information strategy with Chief/Public Information Office (Chief/PIO) and
mission Spokesperson.

Establish joint committee with international and national police for addressing issues and solving problems.

Establish working relationships and dialogue on strategic direction of policing and police reform with the host country’s
police and security leadership, especially with those who will be involved with direct police liaison and the management
of potential crises.

Encourage national police leadership to nominate focal points in key specific areas where the United Nations Police can
help coordinate activities, including on aspects related to gender mainstreaming within the national police and on
addressing sexual and gender-based crimes.

Create consultative mechanisms to ensure cooperation and joint operational capability with military component, if
necessary.

When given respective mandate and capacity, plan for the use of United Nations FPUs to carry out public order functions
(e.g., crowd control and security for United Nations personnel and premises).

Through or with JMAC, and possibly with Human Rights Office, establish a criminal database that is gender-
disaggregated and includes sexual and gender-based crimes.

Ensure procurement of key operational equipment, such as vehicles and (secured) communications, through DMS/CMS;
and ensure that suitable amount of such is given to police personnel, as a priority.

Establish necessary administrative and operational databases (vehicles, compensatory time off, deployment plans and
disciplinary reports).

In accordance with police CONOPS and operational plan, prepare to begin operations as soon as personnel deployments
and logistical conditions allow.

Ensure key personnel deployed and supported, with deployments determined on the basis of opportunities, deployment
contingencies and likely security scenarios.

Critical tasks: mission management

The critical tasks that the HOPS should undertake, at the direction of the SRSG/HOM, for managing mission start-up are the
following:

Planning

Draft, consult on and finalize police component of mission concept.

Gain understanding of the respective roles/mandates of mission components and the nature/scope of various critical inter-
mission relationships within an integrated mission.

Gain understanding of donor support that is in place and is potentially available, including possible donor support to be
undertaken or supported by United Nations Police.

While maintaining separate profiles and areas of responsibility, establish strong, functional relationships between United
Nations Police Officers and military colleagues.

Compensatory time off and leave planning completed to ensure that the key staff are always in place and to avoid a
vacuum in critical areas during the start-up phase.

With SRSG/HOM, HOMC and CSA, establish clear roles and responsibilities for mission security and protection and, in
this regard, support collaborative intra-mission assessment planning efforts.

Establish necessary United Nations Police command and control structures and determine delegation of
authority/responsibility to designated police leaders and managers.

Initiate a broad range of managerial initiatives to ensure compliance with professional standards by the United Nations
Police Officers.

Initiate inspections and audits, senior staff meetings, contingent commanders meetings, open forums for key police policy
discussions and mechanisms to ensure full safety, security and the welfare of the police personnel.

Ensure that the United Nations Police contingent commanders are fully apprised of their responsibility for the welfare,
safety and professional conducts of their contingent members. Encourage their proactive engagement in maintaining
professional standards and bearing in the mission.

Seek UNHQ and SRSG/HOM guidance on the nature of inter-mission relations and establish working relationships with
counterparts from non-United Nations peace operations within the same area of operation.

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Ensure ISS structure fully understands and addresses police support needs.

Initiate, with Chief/PIO, planning for public information campaigns and strategies related to work of police component.

At the beginning of the police operation, establish Operational Policy and Planning Unit within the Police Headquarters
component to work closely with counterpart section in UNPD, as needed.

If mission police component is mandated with interim policing and vested with law enforcement powers (executive
authority), identify large number of experienced personnel to provide leadership and managerial capacity in executing
policing and law enforcement tasks, in full compliance with international human rights standards.

Establish operational relationship with neighboring United Nations missions to support police component’s operations
and address other issues of mutual importance.

Establish, after careful reconnaissance, subsidiary layer police command and coordination centers/Police Headquarters
and team sites and/or other needed operational sites, in coordination with HOMC, military component, civilian mission
components, DMS/CMS and other stakeholders in the area. Where possible, align operations with country’s internal
administrative boundaries. Consultation with local parties is essential. In some cases, local parties may have to agree to
and accept deployment plan.

Assist DMS/CMS in obtaining appropriate governmental and commercial approvals for sites, and ensure contracts
arranged to by DMS/CMS and mission’s legal section.

Budgeting

Develop police RBB proposals for input into mission budget, in accordance with mission concept.

In addition to normal requirements for supporting police component, include budgeting for the following:
- Police operational needs, in case of interim law enforcement mandates.
- Comprehensive training and induction for incoming United Nations Police Officers, including training on sexual and
gender-based violence and the implementation of the DPKO/DFS Guidelines on the Integration of Gender
Perspectives into the Work of United Nations Police in Peacekeeping Operations, and on Security Council
resolutions 1325 (2000) on women, peace and security and Security Council resolution 1820 (2008) on the
prevention, investigation and assistance to victims of sexual and gender-based violence and gender mainstreaming.
- Operational costs for police reform/development activities, beginning with census, identification and certification;
and, later, training and mentoring programmes.
- Interpreters, translators and other civilian employees directly supporting police component.

Confirm allocation of vehicles, office space and office equipment, including ICT.

Identify and seek funding for QIPs in support of police work.

Prepare cost estimates for initial basic operational requirements of the national police and subsequent operational costs.

Develop and establish a mission trust fund for the funding of the support and the needs for the national police.

Initiate contacts with donor governments to assess current and potential funding levels and priorities.

Source and provide modest start-up kits for national police as a good example of donor-funded programming. However,
as donors require long timelines, adjust planning and budgets to reflect the lifecycle of donor allocated funds.

Recruitment, induction, training and deployment

Ensure priority recruitment of positions established at Police Headquarters.

Place priority on selecting and recruiting experienced staff, especially female Police Officers, some of whom should be
placed in key interface positions with other mission components.

Ensure that all personnel for deployment are adequately trained and competent in the areas of national cultural and
religious/ethnic sensitivity and United Nations policies and guidelines on gender, human rights, sexual harassment, ethics
and integrity.

Screen, test and deploy incoming police personnel based on their specialty and competency.

Ensure incoming personnel are qualified to serve mission mandate and operate in mission AOR.

With mission training unit, address basic issues, such as driving skills, use of firearms (if police officers carry arms in the
mission), communications and language abilities, understanding of CONOPS within United Nations peacekeeping
operation, code of conduct, use of force directives and health issues.

With UNPD, coordinate repatriation of personnel lacking necessary basic skills and competencies.

Train United Nations Police Officers on human rights and other internationally approved norms and guidelines on crime
prevention and criminal justice, including relevant principles of international humanitarian law as well as the
implementation of Security Council resolution 1820 (2008).

Assess and, if needed, provided skill train for incoming United Nations Police Officers on their mandated tasks, including
mentoring, advising, training and investigations.

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If mandated to carry firearms, ensure personnel have adequate handling skills and are competent in the execution of the
use of force and firearms policy.

Ensure each member of the police component is equipped with a summary of SOPs for pertinent police issues (e.g.,
procedures on detention, use of force and firearms directive, code of conduct, mission and national languages,
investigation procedures for sexual and gender-based crimes, etc.).

Encourage, support and contribute to the establishment of JOC (in addition to a police 24/7 operations centre) and JMAC
as soon as possible.

Work closely with mission COE staff to give advice on MOU concerning mission-specific requirements and standards.
Inform PCCs that all logistical equipment can be, in principle, used by mission for mutual support.

Ensure all structures are adequately and appropriately staffed and that interpreters, translators and other civilian support
personnel are hired and in place.

Deploy United Nations Police Officers, in accordance with operational priorities and the mission’s deployment plan.

Ensure that the UNHQ is fully apprised of any changes in deployment demanded by the operational needs and the critical
situations.

Other issues

Develop close cooperation with UNCT agencies as well as NGOs and civil society groups.

Establish and maintain good working relationship with DPKO UNPD in order to get relevant guidance and support.

Clarify mechanisms for interacting routinely with DPKO UNPD and the Situation Centre for problem solving and crisis
response.

Ensure and maintain regular communication between mission Police Headquarters and UNPD.

For further guidance consult:

DPKO/DFS Policy on Authority, Command and Control in United Nations Peacekeeping Operations, United Nations
Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Guidelines for Integrating Gender Perspectives into the Work of United Nations Police in United Nations
Peacekeeping Missions (June 2008), United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org )

On management and integration of mission operations, see 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org )

On field operations of UN Police components in United Nations Peacekeeping Operations, 4000 Series of United Nations
Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Community of Practice network for Rule of Law: http://cop.unlb.org/ruleoflaw

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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7. Field Offices and Liaison Offices

7.1 Field Offices (FOs)

Roles and responsibilities

A fundamental task for the mission’s Senior Management Group (SMG) during mission start-up is to enable the establishment
of the mission’s system of outlying Field Offices (FOs) and military sectors. A great deal of the mission’s visible operations (as
opposed to its political, advocacy and capacity-building roles) will take place through FOs, military units and police personnel in
sector/region offices. As such, these offices are key to the mission’s success.

FOs should be viewed by MHQ as the core of operations and the key medium for delivering services. They should be carefully
planned and receive the necessary levels of support and attention from MHQ. Because the start-up of FOs can bring unique
challenges for mission managers and UNCT, SMG at MHQ will want to carefully consider a number of key issues. For
example, the SMG should develop criteria for the location and composition of FOs. Although TAMs will have outlined possible
locations, these locations should be reviewed in light of the prevailing conditions on the ground. Planners should set priorities
based on the mission’s mandated tasks and the country’s political centre of gravity and should not automatically mirror
administrative boundaries or headquarters composition. Consistent terminology (sector, region, etc.) should be used between
civilian, military and police components and geographic boundaries should be consistent and, if at all possible, they should
match UNCT boundaries, to facilitate cooperation and reporting.

MHQ needs to take potential economic, social and environmental impacts of FOs into account and try to minimize any adverse
effects on the local community. Having a Public Information Officer on the ground can help the FO relate key messages to the
local population, while managing expectations.

A number of conditions must pre-exist in order for FOs to be rolled out in their respective locations.

These conditions include, but are not limited to, the following:
• United Nations military component establishes a minimum level of area security.
• CSA tasks Regional Security Office to ascertain that MOSS/MORSS are extant in the proposed FO AOR.
• DMS/CMS tasks Regional Administrative Officer (RAO) to survey for infrastructure requirements. Only then can
construction and/or renovation be undertaken.
• SRSG/HOM makes a decision to establish the FO, in consultation with SMG.

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Figure 13: Establishing Field Offices

Reporting arrangements

MHQ–FO reporting lines should be established as a priority. While the mission will likely have centralized decision-making
systems, experience has shown that effective FO operations depend on well-articulated decentralized management and
administrative systems. All civilian components of a FO should ideally report through a single Head of Field Office (HOFO)
who coordinates closely with military sector commander or any FPU commanders in the same sector, while have no operational
command or control authority over them. HOFO is responsible, on behalf of SRSG/HOM, for the activities of all mission staff
in the FO area. HOFO also represents SRSG/HOM and maintains relationships with local authorities and UNCT. Although most
often an international, HOFOs can also be a national staff, if appropriate.

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Working through one HOFO at the FO level -- which allows for the oversight of staff and activities by a single person on the
ground -- supports cohesive work planning and reporting for the sector/region. The arrangement also helps to reduce overlap
between components and provides an entry point for local partners. Regardless of the final reporting relationships, MHQ should
delineate the roles and responsibilities of HOFO, as a matter of priority, in the form of clear ToR. These should be
communicated through the SRSG/HOM to all sections within the mission as well as to external entities, such as UNCT.

There is a clear need for the structured flow of information, both inwards and outwards, between MHQ and FOs. Each needs
regular updates, situational awareness, political information and guidance as it relates to their area of operations. MHQ should
identify a single entry point at MHQ to whom HOFOs report and receive support from. In many missions, O/COS assumes the
role of conduit of information between MHQ and FOs.

Support arrangements

DMS/CMS should develop appropriate support systems for mission assets that will be proportionally the most demanding in the
mission. This includes the identification of a support focal point for FOs within mission support at MHQ. As part of the
support systems, MHQ should also clarify the services available to the UNCT (aviation, transportation, supply, etc.) with the
HOFO and identify a focal point within the mission to liaise with the UNCT.

Finally, throughout the start-up process, MHQ should organize and coordinate regular visits to FOs by all members of SMG.
This will improve SMG familiarization with the substantive issues and boost staff morale at the critical fringe of the mission.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that a FO has achieved IOC are the following:
• As much as possible, HOFO, RAO and a Security Officer in place before other staff arrive.
• Accommodation and office facilities established so that staff can be deployed.
• Communications, transportation links, equipment and office supplies available so staff can perform their duties.
• Basic information (trading centers, political/social/ethnic composition, local leaders, etc.) gathered on the area of operation.
• Basic medical provisions and evacuation plans are in place for emergencies and Casevac/Medevac.
• National staff recruited on appropriate contracts for support functions (cleaners, security, etc.) and for substantive roles.
• Regular meetings held with United Nations military and police contingents in the same area of operations, and HOFOs
familiar with command and control structures of the uniformed components.
• Initial contacts made with local authorities and community representatives, with a view to regular meetings.
• Regular meetings convened with members of UNCT and the NGO community.
• Coordinated daily/weekly reports submitted to MHQ by HOFO and copied to regional/sector contingent commander and vice
versa.
• Safety and security of FO, to MOSS standards, achieved or nearing completion.

Critical tasks: mandate implementation

The critical start-up tasks HOFO should undertake in preparation to begin mission operations are the following:
• Establish and maintain working relationships with local authorities, including traditional leaders as well as opposition
movements and civil society organizations. (To ensure adherence to mission policies and views, HOFO should discuss
substantial official correspondence with sections before they communicate with local authorities.)
• Initiate coordination of implementation of mission concept in local AOR, including local planning and activities, in
accordance with priorities set by SRSG/HOM
• Integrate UNCT staff, structures and activities with those of FO through regular and substantive contacts.
• Liaise regularly with NGOs operating in AOR. Working with UNCT, host and facilitate NGO coordination meetings.
Initiate regular meetings with the donor community.
• Establish QIPs Committee with UNCT, and chair coordination meetings for QIPs Review Committee.
• Institute integrated reporting (daily/weekly/monthly) system on implementation of the mission concept/ISF and on political
and other developments in FO AOR, as per reporting requirements/system instituted by MHQ.

Critical tasks: FO management

The critical tasks HOFO should undertake, at the direction of SRSG/HOM, for managing mission start-up are the following:

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Planning
• Prepare comprehensive work plan for mission activities in FO based on framework provided by O/COS, in consultation with
heads of components/section chiefs.
• Ensure work plan is consistent with mission concept and ISF, seeking guidance as needed.
• Ensure consultation and collaboration with UNCT as part of the integrated mission planning process.

Budgeting
• Be aware of methods and levels of procurement (see also section 8.14). FO has limited budgetary resources, as these lie with
substantive sections.
• Ensure budgets are coordinated with plans, and keep informed of mission-wide RBB process and implications for FOs.
• Ensure budget proposal is in place to cover expenses for office activities.

Recruitment
• Become informed of recruitment rules and procedures.
• Ensure that incoming staff are aware of difficult conditions during start-up phase, and ensure the right competencies and skill
mix among staff.
• Give final approval before staff are deployed to FO to ensure facilities are in place to receive them.
• Work with mission Personnel Office to ensure that national staff positions (both Professional and General Service posts) are
advertised to broader population and to all ethnic groups in area of operation and that hiring processes are conducted in a
transparent way.
• Ensure posts critical to establishing FO are filled, including the following:
– Civil Engineer
– Public Information Officer
– Regional Administrative Officer/Administrative Officer
– Finance Officer
– Reporting Officer
– Language Assistants
– ICT Specialist
– Radio Communications Specialist
– Mechanic
– Logistics Officer
– Safety Officer
• Ensure that mission support staff have local language skills.
• If appropriate, consider national professional staff as heads of FOs.
• Ensure that all staff attend induction training before deploying to FOs.

Other issues
• If needed, serve as FO Security Coordinator for United Nations staff and installations in AOR.
• Ensure that all signs and information placed in public areas around FO are in locally understood languages.
• Establish system of horizontal information sharing between FOs and substantive sections.
• Ensure all functional areas, including military and human rights, share information and copy HOFO on all information
relevant to area of operations and/or programmes.
• Ensure mission Intranet is made available as soon as possible.

For further guidance consult:

• On management and integration as well as various support and substantive functions of the United Nations peacekeeping
operations, United Nations Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org)
• Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact Peacekeeping Best Practices Section
at [email protected]

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7.2 Liaison Offices (LOs)

Roles and responsibilities

Liaison Offices (LOs) function as a representative office and/or logistical/administrative hub for a United Nations peacekeeping
operation and are, therefore, usually based in a neighboring country, either in the capital city or in a regional centre near the
mission’s area of operations. There may be more than one LO, depending on mission requirements.

LOs support the mission in some key substantive areas, such as strategic transport for mission logistics/security and cross-border
relations. These offices play a key role in supporting start-up and should also be viewed by mission management as assets that
can play a constructive role in overall mission strategy. As such, senior managers should draw LOs and their respective
functions into mission planning, budgeting and recruiting during mission start-up

The Head of the Liaison Office (HOLO) acts under the authority of SRSG/HOM and is charged with managing the LO. The
HOLO usually reports on the activities of O/SRSG/HOM, through COS. However, when the LO mandate is primarily one of
logistical and/or administrative support, HOLO reports to SRSG/HOM, through DMS/CMS. Depending on the circumstances,
LO performs a wide range of substantive, administrative and logistical activities to support implementation of the mission’s
mandate. During the start-up phase, many of these tasks are critical because they are directly connected to the deployment of the
mission.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that LO has achieved IOC are the following:

Premises obtained, and functioning voice, data and encrypted data communications in place.

Draft work plan for LO that supports the mission plan produced and submitted to MHQ.

Capabilities established to provide substantive, logistical and/or administrative services to the mission, in a timely and
responsive manner.

Substantive services may include the following:
o Weekly reports on full range of regional issues that affect mission
o Advisory services on issues LO is positioned to have direct knowledge of
o Representational capacity in LO AOR

Logistical services may include the following:
o Facilitating delivery of capital equipment to mission
o Facilitating delivery of rations, fuel and water and other supplies, as necessary
o Facilitating payments and other financial transactions of mission, as necessary

Diplomatic contacts made with key partners, and HOLO credentials presented to Ministry of Foreign Affairs.

Diplomatic security negotiated with host government in full consultation with the UNDSS.

Relationship established with UNCT.

Capacities in place for hosting VIP visits (SRSG/HOM, etc.), as needed.

United Nations financial systems in place, banking facilities available for LO, and financial obligations and expenditures
can be entered into.

Logistical information and relevant host authority authorizations obtained for import of materials for LO.

Safety and security of FO achieved in accordance with MOSS/MORSS.

Critical tasks in preparation for mandate implementation

The critical start-up tasks HOLO should undertake preparing to begin mission operations are the following:

Ensure all mission components have access to LO contact details.

Establish key relationships with diplomatic community, host government (central and regional levels), the legislature,
media, private sector and civil society to communicate mission’s plan and position on specific issues.

Establish system for monitoring and addressing border issues, such as cross-border movement of goods and personnel,
natural resources, demarcation and traditional crossing rights.

Establish political reporting methodology with MHQ, ensuring joint structures, such as JMAC, are duly incorporated.

Report regularly on the full range of regional and operational issues that affect mission from LO perspective. (Political
reporting is necessary, but not enough.)

Help establish strategic transportation into area of operations, either through United Nations air/land/sea assets or by
encouraging commercial services to become active in mission AOR.

Establish communications (including secure communications) with UNHQ, MHQ and other LOs.

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Within larger missions, establish terms of reference for purpose and objectives of setting up LO so that personnel in the
main mission have common understanding, including establishing clear reporting lines and management accountability.
While HOLO reports to SRSG/HOM, she/he supports all components.

Critical managerial tasks and issues

The critical tasks that HOLO should undertake, at the direction of the SRSG/HOM, in managing mission start-up are the
following:
Planning
• Obtain draft mission concept, and identify how LO can support it.
• Develop LO work plan to support mission objectives and submit to COS or DMS/CMS.
• Establish LO area and issues of responsibility.
Budgeting

Ensure LO has staff familiar with RBB procedures.

Ensure the budget submission includes provisions for protocol functions (facilitating visits), check-in/check-out procedures,
etc.

Recruitment

Establish personnel requirements early.

Begin recruiting international staff as soon as possible, noting that personnel recruitment up to P-4 is an authority delegated
to the mission.

If applicable, establish procedures for receiving, deploying (check-in) and repatriating (check-out) mission staff (emphasis
on receiving/deploying in start-up phase). Identify partners for this activity set (i.e., partner hotels, vehicle leasing, medical
services, printing).

Hire national staff (drivers, receptionists, security guards, interpreters/translators, national political officers).

Consider political ramifications of decisions on recruiting national staff in relation to political considerations of
peacekeeping operation LO is servicing.

Logistical, financial and legal matters

Identify and secure physical facility for LO, noting MOSS requirements for conditions of possible office locations. If
physical office is not immediately available, explore temporary solutions as soon as possible (e.g., rent cars and short-term
office and/or meeting space).

Obtain advice from OLA at UNHQ or from MHQ on signing lease for LO premises.

Survey local providers of goods/services. Establish procedures for publishing tenders in indigenous press in relevant
languages (to increase positive economic impact of mission in region).

Begin process of opening necessary bank accounts. This will require site visits by United Nations Controller’s Office,
which involves considerable lead time.

Ensure access to petty cash.

Establish procedures and partners for financial activities.

Formalize legal status of LO with host government. If unable to do so, work to reach agreement with key host country
interlocutors, such as Ministry of Foreign Affairs and other relevant officials of host government.

Establish office administrative systems (personnel, finance, budget, records, etc.) and office logistical systems
(communication, supply, procurement, etc.).

Establish procedures and partnerships to help mission staff rest and recuperate.

For further guidance consult:

On management and integration as well as various support and substantive functions in United Nations peacekeeping
missions, United Nations Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org)

Contact mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8. Mission Support Components
8.1 Integrated Support Services (ISS)

Roles and responsibilities

The Office of Integrated Support Services (O/ISS) is responsible for the overall planning, coordination and delivery of technical,
logistical and operational services to the mission. Establishment of this type of mission infrastructure is vital to enabling
substantive elements and components to begin implementing the mission mandate. Under the direction of the Chief Integrated
Support Services (CISS), the work of O/ISS includes responsibility for forecasting, anticipating and providing guidance to other
components. The Deputy CISS is usually the highest ranking military Logistics Officer (colonel or equivalent) who is fully
integrated into the ISS structure and installed as United Nations staff.

During mission start-up, ISS plans and establishes the essential mission infrastructure to support both uniformed and civilian
components in terms of aviation, supply, engineering, transport, communications and information technology, property
management, movement control and Geographic Information Systems (GIS). JLOC plays an important role in this coordination.
ISS monitors progress in the establishment of this framework and coordinates with other mission components and UNHQ.

Figure 14: United Nations Field Mission Service Provision

Initial Operating Capability

The key start-up tasks that, once completed, indicate that ISS has achieved IOC are the following:

All section chiefs under CISS are identified/recruited and providing services to substantive staff and military and police
components.

All substantive components have the minimum necessary technical, logistical and operational support to begin
implementing the mandate.

ISS has sufficient contracts, infrastructure, equipment and personnel in place so that mission deployment can begin and
continue at a sustained or increased rate over many months.

CISS ensures that the following specific IOC is attained:

Aviation: Airports/heliports are operational. All necessary authorizations are obtained from host authorities. Regular
mission flights in/out and within the mission area are operating. Aviation maintenance and safety systems are

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 functioning by air operators under provisions of air charter agreements and TCCs compliance with terms of Letters of
Assist (LOA).

CITS: Continuous voice/data communication links are established, including secure communications such as the
SMART. Electronic mission phonebook is established and integrated with UNHQ phone directories. VHF
communications are operating within mission area. Public information ICT infrastructure, including radio broadcasting,
established, where needed. Mission-wide Intranet (including connection to DPKO/DFS Intranet) is in place and
accessible in MHQ and FOs.

Engineering: Surveys of necessary infrastructure, installations, power/water, etc. are completed. MHQ, FO and
contingent facilities/premises are fully functional. Forecast engineering requirements are incorporated into engineering
plan.

GIS: GIS systems (hardware, software & GIS dataset) from SDS fly-away kit are installed and set-up. GIS (planning
maps, satellite image maps, operation maps, etc.), including terrain analysis (camp site analysis, safety and security
analysis, etc.), are being provided, and basic GIS training (i.e., GPS) is being provided to military MHQ staff, United
Nations military observers and United Nations Police.

JLOC: Joint structure are established and manned by all relevant components. JLOC is providing coordination of daily
logistics requirements and priorities. Regular logistics forecasting and planning products are produced, based on MLT
priorities.

Movement control: Movement services are provided to all categories of personnel and components within the mission
area, including FOs, along with transport of equipment. Services are also provided for movement of personnel
entering/exiting mission area (including to/from LOs and logistics hubs) and special arrangements are available for VIP
reception on arrival/departure.

Property management: All incoming equipment is appropriately received, inspected and attributed to responsible
SAUs in Galileo. Inspection plan is established by PCIU for all UNOE held by SAUs. All incoming COE has
undergone initial inspection, and an ongoing inspection plan is established. Asset Disposal Unit is established. Property
Survey Board and Claims Review Board are established. Inventory is kept updated with SAUs at UNHQ.

Supply: Strategic deployment stocks (SDS) deliveries are received, inspected and warehoused. Equipment is
distributed to all mission components in accordance with kit allotments. Offices are fully equipped for all components.
Major local supply contracts are operational. Access for all SAUs to global systems contracts is established through
UNHQ. Forecast needs of each component are received and processed, in coordination with the Procurement Section.
Management of bulk fuel and rations contracts is in place.

Transport: Vehicle fleet, in line with mission needs, is in theatre. VAC and allocation plan is established and
implemented. Vehicle fleet maintenance, storage and workshop facilities are fully equipped. Dispatch services are in
place to manage vehicle pool, especially at MHQ.

Critical managerial tasks and issues

The critical tasks the CISS should undertake, at the direction of DMS/CMS, for managing mission start-up are the following:
Planning

Prior to deployment, participate in mission start-up planning at UNHQ.

Establish integrated logistics organization and set-up a structure that includes civilian, military and police components,
playing the role of high-level coordination.

Plan and delegate all logistics functions in the mission, including employment and tasking of all resources, both UNOE and
COE, regardless of component’s origin.

Forecast and develop replenishment schedules, priorities and other requirements for urgent operational requirements.

Develop and implement overall logistics support plans, particularly the infrastructure needed to provide logistic support
(e.g., main and regional/sector logistic bases, workshops, warehousing).

Review logistics and support plans prepared by the military contingent.

Lay foundation of mission support infrastructure with the AT and mission’s AT before the arrival of troops and substantive
elements.

Hold weekly planning coordination meetings with mission components/customers.

Follow logistics support plan checklist.

Budgeting

Forecast, well into the future, ISS support needs, as mission budget planning and forecasting relies heavily on ISS input.

During mission start-up, contribute to the early phases in the mission budgeting process, including:
– PMCA before mandate established
– Interim (first) budget (valid until a one-year budget is approved)

Act as budgeting facilitator, if called upon, for elements such as security, mine action and humanitarian affairs, to ensure
adequate measures are taken on their behalf during start-up. This is crucial to the success of those elements during
sustainment periods.

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(UNOE and its transportation (strategic lift) are initially covered by PMCA. The material resource plan identifies sources
based on availability and readiness, for example, SDS and United Nations reserve from UNLB, inter-mission transfers and
procurement -- direct to mission or transshipped via UNLB. Staff cost, travel, renting of premises, contracting, provision of
supplies and other expenditures at mission start-up are covered by PMCA. Consequences of under budgeting and
resourcing start-up of cantonment sites will cause considerable complications later down the line.)

Recruitment

For start-up team, favour selection of TAM members for three-month TDY, keeping in mind that individual TAM members
usually assess several sections.

Identify military Deputy CISS.

Ensure the Chiefs for Information Technology and Communication, Logistics, Transport, Engineering and Property
Management are on the ground from day one of mission start-up. By having a JLOC component on the ground from day
one, ISS can immediately get itself into a “rhythm” of close planning and working as a ”single entity”. By adding a COE
component, the mission will immediately be able to review and coordinate responses/changes to proposed MOUs on the
ground and identify shortfalls prior to the deployment of units. Units will then be able to be inspected immediately upon
arrival to ensure compliance with their MOU and any shortfalls can be identified and rectified as early as possible.

Review and modify proposed staffing, as required.

Participate in selection of section chiefs at UNHQ prior to AT deployment.

Consider deployment of technical staff from UNLB for limited time to support in-field delivery of SDS fly-away kits.

Monitor and closely manage individual contracted labour (labour required for short-term tasks and for which no posts will
be established).

Troop deployment

Work closely with Chief/JLOC to ensure timely induction of troops upon arrival in-country (including licensing and
fuelling).

Ensure troops are operational as quickly as possible, as they are a liability to mission if sitting at transit camps or port of
arrival.

Ensure supplies (fuel, rations, water, blood products) are given to deploying units, once self-sufficiency period is over (days
of supply defined by MOU).

Ensure supplies and support are given to re-hatted units upon transition. This may enlarge the number of supportable
elements at a very early stage of mission start-up. This, in turn, could require extensive support infrastructure and for
contracts to be in place to handle surge and to maintain operational capability.

Approve plans for staff officers’ accommodation and meals (full board in hotels during initial stage) if these personnel are
not receiving daily subsistence allowance/mission subsistence allowance (DSA/MSA). Ensure set up of staff officers’ camp
by Engineering Section and catering by Supply Section as quickly as possible. If not receiving appropriate allowances,
provide full support for such items as rations and water to military and United Nations Police staff officers, military
observers and United Nations Police teams (not self-sustaining elements of contingents).

Other Issues

Coordinate with CAS on the acquisition of land from local authorities for contingent headquarters and their forward bases
and for troop locations, as per requirements identified by the AT.

Set up Levels 2 and 3 medical unit facilities. Where acceptable clinical facilities are not readily available, the Engineering
Section provides prefabricated facilities for medical units to install medical equipment and provide services (SDS hospital
module).

Ensure that all military staff officers assigned to posts within ISS are under United Nations operational control of
DMS/CMS and tactical control of ISS, while remaining under administrative control of HOMC.

Set up JLOC with joint civilian–military management structure to review and prioritizes all requests for logistics support.
JLOC should enjoy a close working relationship with JOC, and they should be located closely together.

Control and allocate/task all UNOE and logistic unit COE in the most effective and economic manner.

With support of DMS/CMS, CAS and the Procurement Section, operationalize necessary life support system contracts (i.e.,
rations, fuel, water, accommodation).

Set up mission aerial port of debarkation (APOD), including airport terminal, with Aviation Section and Engineering
Section. Identify and approve airport and its facilities, airfields, fuelling, fire, air traffic control and handling services (SDS
APOD module).

Set up mission seaport of debarkation (SPOD) with the Engineering Section.

Identify or resource material handling (contracted or UNOE from SDS) and safe and secure storage/handling areas (SDS
SPOD module).

Set up mission logistics base and forward logistics bases (SDS LogBase module).

Set up mission transit camp (SDS Transit Camp module).

Establish infrastructure and services, such as ICT, movement services, aviation, transport, supply and GIS.

Ensure proper accounting and control of all property under SAU responsibility.

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Establish proper procedures for managing materiel and service requirements through requisitioning system.

Give special attention/emphasis to accounting for fuel and rations to identify areas of risk of mismanagement.

Help produce mission SOPs and ensure their implementation.

Organize the VAC (chair appointed by DMS/CMS) to consider the total number of available vehicles and recommend
allocation according to the reality on the ground.

Verify existence of SOMA/SOFA or draft relevant sections of SOMA/SOFA. CISS verifies provisions in SOMA/SOFA for
infrastructure availability to mission from host nation. Mission will require agreement with host government on office space
and warehousing facilities, use of airport facilities and arrangements for clearance of United Nations equipment and
supplies at the border.

Manage asset control across all SAU functions, including warehousing, to establish commonality and accuracy of asset-
management procedures and standards.

For further guidance consult:

DPKO/DFS Policy on Integrated Support Services, United Nations Peace Operations Guidance Framework (United Nations
Peace Operations Intranet Site: http://intranet.dpko.un.org.)

DPKO/DFS SOP on Material Resource Planning, , United Nations Peace Operations Guidance Framework (United Nations
Peace Operations Intranet Site: http://intranet.dpko.un.org.)

On field operations support of various components under ISS, 5000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, the Peacekeeping Best Practices Section at
[email protected]

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8.2 Administrative Services

Roles and responsibilities

During mission start-up, Administrative Services, headed by the Chief of Administrative Services (CAS), coordinates and
delivers administrative services that enable mission components to begin implementing the mission mandate. Administrative
Services advises DMS/CMS on all management matters related to personnel, finance, procurement and general services
throughout the different phases of mission start-up. General Services usually includes travel, mail and pouch services, and in
some missions, Receiving and Inspection (R&I), and Property Control and Inventory Unit (PCIU)). In smaller missions, General
Services may include the Medical Section.

Figure 15: United Nations Field Mission Support Services

Initial Operating Capability

The key start-up tasks that, once completed, indicate that CAS has achieved IOC are the following:

All section chiefs reporting to CAS identified, recruited and deployed to the mission.

Set-up systems installed and procedures for their sections established. Requisite goods bought, people recruited and
finances available.

All substantive components given sufficient administrative support to begin implementing their elements of the mandate.

Delegations of authority received, including for finance, procurement, recruitment and property management, in particular:
authority for procurement activities sub-delegated by DMS/CMS; delegation of authority for Certifying/Approving Officers
received; and delegation of authority received for renewal of UNLPs and for recruitment functions.

CAS ensures the following specific IOC are attained:
– Counseling: At least one international, one national and one UNV counselors have arrived in the mission. Staff are made
aware of counseling availability through induction process.
– Finance: United Nations computerized financial systems (i.e., ProGen and SunSystems) are functional. Mission banking
capacity and/or accounts are established. Authority to set up bank accounts has been received from UNHQ and local
banks contacted by CFO or OIC/Finance. Bank Signatories/Confirmation Officers are identified and processed.

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 Chequebooks for bank accounts are received. Financial transfer of monies from UNHQ is completed. Cashier services
are established, and safes and money security procedures are in place. The capacity exists to pay due salaries and mission
allowances, including for personnel in FOs.
– General Services: Travel service contracts are established for baggage and other mission travel requirements.
Arrangements are made with airport authorities to manage arrival of staff members. Records management systems are in
place (including MARS software and filing/archiving systems). The mail and pouch services are fully functional for
diplomatic pouch as well as civilian and military correspondence to/from mission. The system for managing diplomatic
pouch services to FOs is in place.
– Medical Services: Locally available medical facilities are identified, assessed and categorized. Local medical supply
options are assessed. Where there are no adequate local options available, mission-provided solutions are planned and
established for Levels 1, 2 and 3 medical facilities. Level 4 facilities are identified in or close to the mission area.
Medevac plans are in place, and delegations of authority for emergency evacuations are provided to Chief Medical
Officer/Force Medical Officer. Procedures are in place for medical inspections for arriving personnel and national staff,
as required.
– Personnel: All recruitment delegated authorities are obtained from UNHQ. All mission components have been briefed
on international and national staff recruitment processes. Procedures are in place for recruiting/hiring casual daily
workers and individual contractors. Galaxy rosters of suitable international candidates are available to all component
heads. Priority posts for recruitment are identified by and lists obtained from components. Personnel check-in, reception
and induction measures are in place for all categories of personnel.
– Procurement: Local Committee on Contracts (LCC) is established by DMS/CMS. Forecast needs are received and
processed by Procurement Section and integrated into an acquisition plan. Procurement processes are launched for basic
needs of all mission components. All SAUs have been briefed on and are aware of interim procurement arrangements in
place until the full systems are established. Local systems contracts tendered and vendors are selected in accordance with
United Nations procurement requirements.
– Staff welfare: Staff Welfare Committee is established. PX is established. Physical locations for indoor and outdoor
welfare activities (gym, recreation room, etc.) are identified and prepared for use. At least one welfare staff (if approved
in budget) is on board.
– Training: Induction training program is established and being regularly conducted. All incoming staff (civilian, military
and police) are receiving induction training. The development of additional training programmes is under way.
– UNV: UNV office in Bonn is apprised of and actively recruiting UNVs for budgeted UNV positions. Mission UNV
Manager is on board. Check-in and induction training for UNVs is integrated into regular procedures. Section managers
are briefed on the special position of UNVs in mission.

Critical managerial tasks and issues

The critical tasks CAS should undertake, at the direction of DMS/CMS, for managing mission start-up are the following:
Planning

Participate in mission start-up planning at UNHQ before deployment.

Plan and delegate all administrative functions in mission.

Task heads of sections to establish section and unit work plans and align work plans with the mission concept.

Assign resources to support the mission concept

Hold weekly planning coordination meetings with mission components/customers.

Budgeting

Focus on RBB preparation. The first RBB exercise is to be completed by start-up mission occurs at the start of fiscal year,
in July, following the date of mandate approval. The timeline can vary, according to circumstances. But the process should
be a central focus during initial start-up.

Recruitment

Participate in selection of section chiefs at UNHQ, prior to AT deployment.

Facilitate recruitment of Chiefs of Finance, Procurement, Personnel and General Services, and assist DMS/CMS and CISS
with recruitment of communications, engineering and transport staff for ISS, all of whom should be on the ground from day
one of mission start-up.

For start-up team, favour selection of TAM members for three-month TDY, keeping in mind that individual TAM members
usually assess several sections.

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Review and modify proposed staffing table, as required.

Oversee recruitment plan being undertaken by the Personnel Section.

Ensure CCPO briefs all sections on recruitment procedure and identifies priority posts in all support and substantive
sections so that a priority recruitment plan can be developed.

Meet regularly with CCPO to review progress against recruitment plan and identify bottlenecks. Where delays occur,
consider DMS/CMS contacting UNHQ early for additional support, including deployment of Tiger Teams or expedited
procedures.

In consultation with the mission’s Senior Political Office or COS, ensure CCPO establishes national staff recruitment
processes that allow for a wide pool of candidates to apply, will meet considerations of gender and will take into account
issues of balancing ethnicity and political considerations.

Ensure CCPO establishes procedures and arrangements for using individual contractors, outsourced temporary hiring
arrangements and daily workers, working directly with the units that use these contracted workers most frequently (e.g.,
Engineering Section).

Request and obtain authorization for general temporary assistance posts by Controller, through FBFD.

Ensure CCPO establishes a programme to monitor and control general temporary assistance posts and to assign them to
organizational units in mission.

Establish effective one-stop personnel reception and check-in procedures.

Ensure core minimum staff levels for mission start-up administration, particularly the necessary finance, procurement,
general services and personnel management teams.

Explain to the chiefs of mission components their roles in the recruitment process.

Use TDY assignments, as needed, for start-up, but plan accordingly for replacements.

Use Special Vacancy Announcements (SVAs) if the listing of mission on Galaxy is delayed or there are no generic roster
profiles in Nucleus.

Avoid making SVAs too specific, as this may be misunderstood as targeting specific candidates. Verify that requirements
are realistic and reasonably generic, as poorly written requirements could delay approval and posting to Galaxy.
Other

Task Chief of General Service Section with ensuring R&I and PCIU staff are among the first to arrive in the mission area.
In some missions, property management sections may fall under the responsibility of CISS and encompass PCIU, R&I,
COE, etc.

Coordinate with CISS for the acquisition of land from local authorities for contingent headquarters and forward contingent
locations, as per requirement identified by AT.

Ensure CAS support to CISS to operationalize the necessary life support system contracts (i.e., rations, fuel, water,
accommodation).

Help produce mission SOPs and ensure their implementation.

Ensure all requests for delegations of authority, establishment of bank accounts, etc. are acted on by UNHQ, on an urgent
basis.

Ensure major contracts (e.g., fuel, water, food supply contracts, camp services, other services) are in place and LCC is
convened/functioning to review contracts. Ensure there is a referral mechanism to HCC at UNHQ.

Ensure all mission SAUs are fully briefed on procedures for procurement and other expenditure.

Ensure Medical Services Section establishes mission medical and health facilities, in accordance with the medical plan.

Ensure Integrated Mission Training Cell (IMTC) establishes induction training that is compulsory for all incoming
personnel, both military and civilian, from the very beginning of mission. Ensure that training covers all cultural aspects,
with substantive explanations of cultural issues specific to host country.
For further guidance consult:

Office of the Assistant-Secretary-General for Field Support at the Department for Field Support

On personnel matters, the Field Personnel Division

On issues related to budget and financing, the Field Budget and Finance Division

On various administrative functions in United Nations peacekeeping operations, 5000 series of the United Nations Peace
Operations Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.3 Movement Control (MOVCON)

Roles and responsibilities

During mission start-up, the focus of the mission Movement Control (MOVCON) is on planning and arranging the safe and
efficient movement of military, police and civilian personnel and of equipment into and within the mission area, using all
available and practical modes of transport. MOVCON is also responsible for the intra-mission movement of UNOE.

Figure 16: Movement Control Reporting and Service Responsibilities

All mission components

Critical managerial tasks and issues

The critical tasks MOVCON should undertake in managing mission start-up are the following:
Movement planning

Secure access to APOD and SPOD through local authorities.

Establish inland transportation contract(s), as high priority upon arrival, since these processes can be time consuming.

Decide, at the earliest stage of mission planning, if transportation unit responsibilities will be provided by TCCs, and
include these arrangements in initial force generation requirements. If not, establish transport unit.

Draw up capability statements of TCC sector transport companies.

Develop the deployment movement plan in line with mission CONOPS.

Coordinate with JLOC on ready-to-receive dates of various deployment locations, and develop appropriate movement plan.

Coordinate with JLOC on logistically acceptable size of advance/reception parties.

Develop plan for receiving TCC advance/reception parties and main bodies, and get JLOC approval. Depending on
logistical facilities available, the main body of troops should only arrive after their COE has been delivered to Sector
Headquarters to ensure they are self-sustaining.

Coordinate closely with Movement Control Section (MCS) on all deployment issues. Usually, it is the responsibility of
MCS to arrange strategic movement to suitable major airports and seaports in or as near to the mission area. In-theatre
movement is then, usually, the responsibility of the mission MOVCON. Deployment of COE, however, is often a great

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 concern during start-up. Sometimes it is not practical to rely on local contractors who rarely have suitable transport
equipment in acceptable mechanical condition and who, in some cases, may even be hostile to the mission’s arrival. If
necessary, such contracts may be procured later, once the local economy has adapted to DPKO presence and the mission’s
requirements. In the interim, MCS can arrange the deployment of COE and UNOE on a door-to-door basis, until mission
MOVCON has in-theatre transportation arrangements in place.

Standardize MOVCON structures, functions and reference documentation.

Standardize staffing levels and templates (including grade and job description) for core functions, and provide guidelines
for additional staffing levels, according to mission size and geographical spread.
• Establish a mission start-up critical equipment package, maintained under SDS stocks at UNLB and readily available for AT
deployment to any start-up mission by suitable cargo aircraft within 48 hours.

Create SOPs for all MOVCON activities.

Establish transit camps and assembly areas for troop/police rotations. Assembly areas need to be located in the airport
vicinity. This issue is important in order to provide necessary accommodation, luggage check-in, planning for troops/police
deployment in the mission area and other operational requirement for outgoing/incoming troops/police as well as staging
area for pre-boarding troops on United Nations short-term aircraft, LOA aircraft.
Freight movement

On the first flight arrivals dedicated to MOVCON, the following Material Handling Equipment (MHE) should be sent: 2 x
15 tonne diesel forklifts (one for the airport or seaport and one for the warehouse); 1 x 3 tonne forklifts (diesel); 3 x PLS
trucks; 10 x flatracks for easier loading and offloading; 1 x lowbed for transporting forklifts; 2 x prefab containers for
offices at the airport or seaport and the warehouse; portable refrigerator in case of medical supply arrivals (one that can be
plugged into a cigarette lighter plug); 2 x jeeps; and 1 x pickup. (An alternative to a heavy lifting forklift is a heavy JCB
with forks.)

Make requests for additional trucks and MHE, and ensure specifications are correct. Inadequate transport equipment and
MHE will cause massive duplication of effort, unnecessary costs and operational disruption to the mission.

Check local market prices for truck hiring, freight forwarding and customs clearing (trucks, MHE, railroad, commercial air
providers and barges, storage and handling areas).

Establish freight movement system and procedures for moving freight within mission.

Request that Transport Section establish contracts for hiring local trucks and MHE, when needed.

Establish freight terminal and transit cargo warehouse.

Establish customs clearing contract (if not included in freight forwarding). UNCT customs clearing contract can be used
early in the mission.

Establish freight forwarding contract for domestic and international shipping.

Work with consignors to ensure in-bound shipments shipped under proper International Commercial Terms, depending on
nature of shipment and mode of transport (e.g., delivery duty unpaid will reduce United Nations involvement in port
operation and possibly inland transport).

Establish operational structures and procedures to meet the cargo movement requirements within the mission, by road and
sea.

Recruit experienced international staff and sufficient number of national staff.

Establish electronic cargo movement request (CMR) form for authorized movement of cargo within the mission area.

Establish data base of movement of all cargo (United Nations and non-United Nations) for statistical purposes.

Passenger movement

Establish procedures for passenger movement within mission.

Establish system of travel priorities.

Establish booking procedures for travel on United Nations mission assets.

Establish procedures for passenger check-in.

Establish system of baggage identification and tagging.

Coordinate with O/SRSG/HOM on designation and handling of VIP passengers.

Establish procedures for handling VIP flights.

Coordinate with airport authorities for access to VIP lounge and tarmac.

Establish military transit camp and staging area for rotating troops and FPUs. The staging area is important in order to
avoid exposing troops to weather conditions before boarding long-haul flights home.

Establish operational structures and procedures to meet the air movement requirements within the mission.

Establish a MOVCON terminal in regional headquarters and districts, i.e., wherever mission has scheduled flights.

Establish electronic movement of personnel (MOP) system for authorized movement of personnel within the mission area.

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Establish a database to capture and record passenger movement statistics.

Implement manual and electronic record archiving system.

Recruitment

Identify experienced staff members for posting to mission or for TDY assignment, possibly seeking help from Chiefs of
MOVCONs in existing missions.

Identify suitable personnel for employment as UNVs in MOVCON.

At the outset of a mission, Chief/MOVCON should be in place with a minimum of three international staff to enable
allocation of planning tasks, freight tasks, passenger tasks and reconnaissance of facilities in mission area.

Write job descriptions for all MOVCON posts.

Identify key positions to be filled by locally recruited staff.

Ensure each air terminal in the regions has at least one international staff assigned.

Ensure a minimum of 50 per cent of MOVCON staff are trained and certified in the handling of Dangerous Goods (DG).

Ensure initial start-up kit includes all relevant manuals or CDs.

For further guidance consult:

On MOVCON in United Nations peacekeeping operations, 5000 series of the United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Movement Control Section in the Department for Field Support

Mission BPO; if there is no BPO in mission, PBPS at [email protected]

International Air Transport Association Regulations (IATA)

IATA Airport Handling Manual

International Maritime Dangerous Goods Code (IMDG)

Field Mission Movement Control Manual (currently in draft)

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8.4 Transport

Roles and responsibilities

During mission start-up, the primary focus of the Transport Section is setting up the mission vehicle fleet and establishing
fuelling, recovery, repair and maintenance capacity. The Transport Section is responsible for vehicle allocation, driver testing,
licensing and vehicle registration. From the outset, Transport manages the vehicle fleet, including the CarLog system, all with
the aim of providing comprehensive and cost effective transportation services to meet the mission’s mandate. Support for the
FuelLog system as well as the provision of fuel and other Petroleum, Oil and Lubricants (POL) products is the responsibility of
the Supply Section.

Figure 17: Transport Reporting and Service Responsibilities

Chief of Integrated Support Services UNHQ

Reports to MOVCON Unit

Transport

Provides Service to

All mission components

Critical managerial tasks and issues

The critical tasks the Transport Section should undertake for managing mission start-up are the following:
Planning
• As a priority and working closely with the CISS/CTS and the Chief Engineer, the Chief Transport Officer (CTO) secures and
develops facilities to accommodate all aspects of the Transport Section’s operations, including workshop facilities, general
administration, parts and accessory stores, dispatch operations, central vehicle inventory control as well as adequate vehicle
parking. Particular attention is also needed to securing regional/sector transport operations and workshop facilities as these
will be critical to the support of mission vehicles operating away from MHQ.

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• Help the mission planning process by developing a concept for support of transport operations, taking into account the
availability of workshop space, store/warehouse space, equipment needs and staff required (mechanics, drivers, etc.), based
on the general infrastructure throughout mission area.
• Assist the Supply Section in developing POL supply plans by providing accurate forecasts for POL needs as well as assisting
with establishing a suitable POL supply distribution network throughout the mission area of operation.
• Articulate equipment needs of the new mission, based on the geographical location and climatic conditions (i.e., voltage,
right hand drive), and communicate them to DMS/CMS, UNLB and UNHQ. Ideally, the incoming CTO will have been a
member of the TAM or have had a significant role in the planning process for the new mission, and had surveyed conditions
on ground first-hand. If not a member of TAM, the incoming CTO should compare decisions made during the planning
process to the actual vehicle and equipment needs being requested. If changes are needed, CTO should raise issues with
DMS/CMS, immediately.
• Establish relationships with and take advantage of UNCT’s local knowledge to identify possible areas of piggybacking
mission support onto the UNCT. Plan and develop a system to piggyback on existing staff resource arrangements, such as
United Nations Office for Project Services (UNOPS) or UNDP, in order to enable the immediate functional set up of
Transport Section operations.
• Actively undertake market research of local areas to determine the type and level of support that can be provided and
outsourced. This can partially be achieved in advance through utilization of the global system contracts and associated
published dealer networks.
• Liaise with the various technical sections, such as MOVCON, Air Operations, Engineering and communications to plan for
the procurement of the heavy transport fleet, engineering equipment and MHE, Ground Support Equipment for airfield use
and any other specialized vehicular equipment.
• Refer to the Provisional Surface Transport section manual for all guidelines regarding transport operations in field missions.

Vehicles
• Before major staff deployment starts, prioritize the shipping and receipt of vehicles and equipment to the mission. The
primary source of vehicles in mission start-up will be the SDS and United Nations reserves held in UNLB. Additionally, the
possibility of inter-mission transfers may be considered. Vehicles from UNLB should arrive fully configured and equipped, if
feasible. Vehicles procured directly from the factory must be equipped in mission with communications, CarLog, licence
plates, flag mounts, etc. Vehicles procured from the factory have an average lead time of four to five months for regular
vehicles and up to 12 months for specialized vehicles. Thus, early action is essential.

• Follow established operational and safety standards with respect to the quality and condition of used (second-hand) vehicles
and equipment being transferred from other missions (see guidelines in the Surface Transport Manual Procedures for the
Field). Whenever possible, a joint inspection of vehicles/equipment should be undertaken together with the sending mission
prior to the finalization of the shipment/transfer. This applies to all vehicles sent from UNLB, either new (SDS) or fully
refurbished and tested (heavy vehicles from United Nations reserves).

• Apply standard ratios for the issuance of vehicles, in accordance with the standard cost manual for planning and budgetary
purposes. The actual allocation is governed by the Vehicle Allocation Committee (VEC), but it is implemented and
administered by the Transport Section. The VAC is established to allocate vehicle resources according to the approved ratios
and based on justified operational needs. Ratios are reviewed by the Surface Transport Section (STS) at UNHQ and further
reviewed by the ACABQ.

Driving
• Generate country and/or mission-specific SOP on driving requirements.
• Publish a drivers’ manual, as quickly as possible (samples available from UNLB, on request).
• Ensure driving assessment is done by highly qualified personnel and that driving permits are only issued to those who meet
the criteria established in Surface Transport Manual Procedures for the Field.
• Design and implement vehicle and road safety awareness campaigns from the mission’s inception.
• Maintain accurate records on issued driving licences and permits.

Recruitment
While working with CCPO to recruit and staff all essential transport functions, CTO should consider the following factors:
• Need for pool of national staff to provide transportation services from the outset.
• Use of IC contracts initially to speed up the process.
• Use of staff from other missions on TDY.
• Need for specialized driving skills, armoured vehicles, fuel trucks and other logistical needs.
• Need to ensure, from the outset, critical team presence during mission’s first six months and across all units.

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Based on the size of the mission, staff should be appropriately graded and experienced. The number of national staff required
should represent the size and various locations needed to support the mission.

Suggested staffing and levels typical for medium size mission are the following:
– Stores: One international (FS-5/FS-6 or P-2/P-3) and four national staff
– Inventory: One international (FS-5/FS-6 or P-2/P-3) and three national staff
–Workshop: One international (FS-5/FS-6 or P-2/P-3) and 20 national staff
– Dispatch: One international (FS-5/FS-6 or P-2/P-3)
– Damage/Accident Report Unit: One international (FS-5) and one national staff
– Office of Chief Transport Officer: One international (FS-7/ P-4) and two national staff

The Transport Section should strive to achieve an arrival schedule, as follows:

During first 30 days:
CTO/OIC Transport Section 01
Transport Officer/Asset Inventory Manager 01
Transport Officer/Stores 02
Transport Officer/Workshop 01
Transport Officer/CarLog, Fuel Log 01
Vehicle Mechanic 02
Dispatcher/Driving Tester/Fleet Operations 02
Total 10
From 60 to 90 days:
Deputy Chief Transport 01
Administrative Assistant 01
Stores / Inventory Assistant 01
Transport Officer/Asset Inventory Manager 01
Vehicle Mechanic 01
Dispatcher/Driving Tester/Fleet Operations 01
Total 06
For further guidance consult:
• Surface Transport Manual Procedures for the Field (provisional), United Nations Peace Operations Guidance Framework
(United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Automotive Workshop Safety Guidelines, United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)
• 5000 Series of United Nations Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org).
• Surface Transport Section in the Department for Field Support.
• Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission; contact the Peacekeeping Best Practices
Section at [email protected]

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8.5 Engineering

Roles and responsibilities

During mission start-up, the primary focus for the Engineering Section is to establish suitable facilities and services for MHQ,
the logistics base, component headquarters, substantive offices and facilities at the United Nations air terminal and port. This
work includes day labour or contract construction, provision of power, water, sewage and heating/air conditioning as well as
access roads, fortifications and perimeter protection. Engineering also plays a major service role during start-up by assisting
other mission support sections to establish their work facilities.

Figure 18: Engineering Reporting and Service Responsibilities

Critical managerial tasks and issues

The critical tasks the Engineering Section should undertake for managing mission start-up are the following:
Planning

Obtain standard drawing packages and design support from UNLB Engineering Standardization and Design Centre
(operational since 2008), UNHQ Engineering Section, other missions and other sources for camp design, observation
towers, perimeter walls, kitchen/dining areas, recreation areas, bunkers, ammunition storage, sewage systems, septic
tanks/soak pits and landfills, workshops, warehouses, water supply/distribution/storage facilities, roads and hardstand areas,
fuel storage facilities, helicopter landing facilities and medical facilities.

Ensure implementation of all Safety and Security Section recommendations in terms of compliance with MOSS, fire and
safety, and other standards as well as mission-specific requirements.

Obtain standard procurement specifications for expendable materials tools, etc. and standard statements of work (SOWs) for
works/services, for construction, repair and maintenance works, janitorial services, conservancy services, bulk water
supplies, well drilling, equipment maintenance services, etc.

Recommend to the Transport Section rental of mechanical engineering equipment.

Translate SOWs into local language, if applicable.

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Plan office space based on mission mandate, staffing table and standardized layouts for specialized facilities for start-up and
long-term operations (basic entitlements, as per manual, except for operations requiring confidentiality, enhanced space,
safety areas or large storages).

Identify potential deployment sites and existing facilities based on civilian, military, police, military observer team sites and
other mission element requirements.

Prepare site catalogue with DMS/CMS, including requests for government-owned sites.

Identify bulk material requirements.

With CPO, establish a procurement plan and purchasing strategies based on conditions and available resources in the field.

Work closely with Procurement Section to obtain necessary local building materials/supplies in order to begin required
construction projects as quickly as possible.

Identify sources for bulk water provision and feasible options for water production, supply and distribution to staff and
troops (60–100 litres per person per day).

Identify sources for power and back-up power, including provision of UNOE/COE generators (3 kVA/per day per person
plus 75 per cent back-up power). Determine feasibility of fuel provision (managed by Supply Section) for generators. It is
critical that the Engineering Section provides reasonably accurate forecasts for usage of all petroleum products they will
require.

Identify additional surge engineering capacity needed during start-up and deploy as early as possible.

Survey and make requests for landfill and dump sites and other waste management capabilities from local authorities, in
conjunction with O/DMS/CMS.

Work closely with DMS/CMS and Procurement Section to address urgent issues concerning heavy equipment during start-
up. Military multifunctional engineering contingents with heavy equipment often deploy too late to be useful at initial start-
up phase and may eventually lack some of the needed capabilities. Military engineering units are regularly used to support
civilian engineering units and to undertake, for example, road site preparation (horizontal construction). Only rarely can
these military engineering units take on major responsibilities for vertical construction (buildings).

Work with mission Environmental Officer to ensure environmental issues are considered from the outset. The
Environmental Officer is responsible for immediately drafting environmental mission objectives for SRSG/HOM approval,
through DMS/CMS, and for undertaking an environmental baseline study, developing an environmental action plan and
beginning an environmental log.

The Safety and Security Section must provide a threat analysis of security in deployment areas in order for the Engineering
Section to develop appropriate threat mitigation measures. The Engineering Section should not deploy any staff to any work
site without adequate protection.

Management

Establish work requirements and priorities for DMS/CMS approval, through CISS. High priorities usually include transit
facilities (transit camp and reception areas) and container terminal/warehouse (LogBase, APOD, SPOD) with R&I staff.

Confirm clear ToR for Chief Engineer and Military Force Engineer within mission ISS, including chain of command and
line of reporting. The Chief Engineer has tasking authority for all non-combat engineering operations. Military engineering
units represent an additional resource available to the civilian Chief Engineer and can be tasked, through CISS, in
coordination with HOMC.

Ensure military engineering units are available from the beginning of the mission.

In the event buildings management is separate from Engineering, clarify responsibilities in areas such as facilities
management, fortification works, camp management, fire control and environment. Regardless of who is given
responsibility for environment, the Engineering Section must be staffed with an Environmental Engineer from the beginning
of mission.

Help prepare mission SOPs for sector/regional engineer activity, working in collaboration with Finance Section and
Personnel Section, in areas including arrangements for services, such as petty cash, imprest account, funds and cash
advances, expendable and non-expendable assets management, recruitment of casual daily workers (CDWs) and
independent contractors (ICs) in the field and invoice processing.

Draft and issue Engineering SOPs, including construction safety guidelines, in accordance with United Nations and local
standards.

Assign an Engineer to COE Unit to assist with engineering related pre-deployment visits and verification.

Set-up

Establish mission service and utility plans and the service contracts for water, power, sewage and waste disposal. AT may
commence this process. However, if AT is not deployed, establish short-term arrangements during start-up while planning,
requisitioning and implementing long-term contracts.

Prioritize and coordinate with UNLB the delivery of engineer materials/assets/stores.

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Ensure immediate/earliest possible deployment of military engineer contingents for camp preparation and other heavy
works, to support mission start-up.

Assist COE in ensuring self-sustainment level of incoming contingents in regard to minor engineering efforts and in
compliance with MOU.

Assist Supply Section in ensuring fuel contract (for engineering requirements and power) is in place at mission start-up.

Arrange robust commodity systems contracts for start-up engineering needs, which should cover the “12 basic needs,”
including well drilling capacity, cement, steel, plywood, sand, gravel (see World Bank initial procurement model).

With Chief Aviation Officer (CAVO), undertake a detailed assessment of airports and airfields and their development needs
to meet mission requirements.
The Safety and Security Section maintains overall responsible for fire safety. A Fire Marshall must be recruited early to
undertake fire safety inspections and to prepare a Fire Safety Plan and an Evacuation Plan.

Recruitment

Immediately deploy the Chief Engineer with Engineer Asset Manager and Warehouse Manager as well as other key staff.
Ideally, there should be a minimum of 50 percent of engineering international staff deployed from the start of the mission.
To work effectively, the Engineering Section also needs to have asset management staff in place for R&I, inventory,
storing, etc.

Provide ToR and job descriptions for all possible Engineering Section staff (particularly for rapid recruitment of national
ICs).

Early on, establish processes to quickly recruit at least 20 national engineering staff.

For medium to large missions, immediately deploy one international Engineer for each of the six engineer sub-units
(electrical, civil, water/sanitation, architecture, environment and generator mechanics/maintenance), plus 10 UNVs as soon
as possible.

Take the necessary steps to ensure that at least two qualified Procurement Officers are dedicated to engineering-related
acquisition projects, from the commencement of the mission. Without a procurement capability, there will be no local
materials, no services and no outsourcing.

Identify manpower and establish local-workforce, based on recruitment plan.

Focusing on the immediate needs during start-up, hire CDWs and ICs to meet immediate requirements and for limited
periods of time.

Study the feasibility of large-scale public works projects required to support mission needs (e.g., roads, earthworks,
environmental works, etc).
For further guidance consult:

On various support functions in United Nations peacekeeping operations, 5000 Series of United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Engineering Section in the Department for Field Support

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section (PBPS) at [email protected]

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8.6 Joint Logistics Operations Centre (JLOC)

Roles and responsibilities

During mission start-up, the focus for the Joint Logistics Operations Center (JLOC) is on coordination and integration of
logistics support to the mission. JLOC also becomes the ISS focal point for logistical areas of cooperation and mutual assistance
between the mission and other United Nations agencies and their partners. JLOC coordinates logistical information sharing (GIS
data and maps, logistics surveys, etc.), logistics planning in conjunction with ISS (use of airports, seaports and access routes,
implementation of support requests for QIPs, infrastructure improvements, etc.) and logistical operations (movement control,
convoys and air operations).

Chief/JLOC is the principal adviser to CISS and Deputy CISS on logistics operations. Deputy CISS is the mission’s senior
military logistics staff officer and is fully integrated in ISS and provides the expert link to the mission military and the tasking of
military enabling logistical units.

During mission start-up, Chief/JLOC plays a major role in the coordination of essential logistics support with other components
of the mission, such as military, police, humanitarian and political. Chief/JLOC gets to know each customer and their needs
through a point of contact, before and throughout mission start-up. The critical success factor for Chief/JLOC is to establish
processes and get logistical operations up and running quickly, in order to guarantee the sustainability and success of the
mission.
Initial Operating Capability
The key levels of IOC that, once achieved, indicate that the start-up phase has been completed by Chief/JLOC are the following:

JLOC has enough personnel to plan, coordinate and conduct current logistics operations.

Suitable reporting systems are in place to provide clear situational awareness of all logistic operations.

Critical managerial tasks and issues

The critical tasks that JLOC should undertake for managing mission start-up are the following:
Planning (LogPlans)
Depending on the size of the mission, a LogPlans Unit or Desk Officer reports directly to Chief/JLOC. This Unit includes
civilian and military Logistics Planners. Depending on mandated activities (e.g., DDR, elections), the Unit may also have full-
time or as-needed seconded staff from substantive sections and the United Nations Police.
Tasks of LogPlans include the following:

Review Secretary-General reports, Security Council resolutions, military operational directives, DDR plans, election plans
and other policy documents to determine extent of support needed.

Identify all partners who will be requesting or providing support to mission. Meet with each of them and ensure they
understand mission support CONOPS.

Ensure Chief/JLOC is aware of priorities of TCCs and other mission components, and that Chief/JLOC maintains open and
collaborative communication with all partners, as an essential element of success of operation.

Conduct logistics risk evaluation, including assessing vulnerabilities of transport routes, holding areas and logistical
infrastructure.

Develop database that includes all necessary support and logistics information on the mission.

Write mission support CONOPS for all activities, ranging from the establishment of offices, military, police and observer
deployments to monitoring of DDR, elections, etc.

Write and update mission-specific elements of JLOC SOPs.

Write support elements of mission evacuation plans with mission CSO, and remain involved with contingency planning for
all operations, whether military or civilian.

Lead all reconnaissance visits to potential locations of deployment or mission activities.

While leading all reconnaissance visits, engage players from military, police or substantive sections, depending on the
activity. Coordinate visits with technical sections that may have a role in the future activities.

Prepare all mission support CONOPS with ISS technical sections.

Obtain agreement on clear distribution of roles, functions, responsibilities and obligations with CISS and SAU section
chiefs, defining lead and support roles, in this way providing SAUs with roadmaps, rather than constant guidance.

Also undertake:
o Liquidation plan
o Coordination of all major project activities
o Troop rotations

Ensure that plans, once approved and signed, are acted upon by the responsible operational units.

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Operations (LogOps)
Depending on the size of mission, an Operations Unit or Desk Officer reports to Chief/JLOC. This Unit may include seconded
representation from support technical sections. LogOps arranges and coordinates delivery of material support, as per plans
prepared by LogPlans.
Typical tasks of LogOps include the following:

Ensure all logistic plans are materially resourced, in the appropriate timeframe, as set out in support plans.

Support the section’s advise to Chief/JLOC of technical viability of logistics plan prepared by LogPlans, in particular
regarding the following :
o Advise Chief/JLOC of critical stock positions (days of supply) in mission logistics bases.
o Advise on stock re-deployments, as needed, throughout mission area.
o Advise on rationing, fuel, water, etc. in case of a crisis.

Monitor stocks in all mission locations and advise on actions related to critical deficiencies.

Advise on additional resources to be provided to military and police contingents if their deployments are dispersed beyond
self-sustainment capabilities.

The LogOps regional desks that consist of military and civilian logisticians, ensures logistics needs of regions and sectors
are well coordinated with regional/sector JLOC.

Coordinate all reconnaissance for new incoming units, new offices and activities, and asses the requirement for additional
resources that will need to be provided from mission stocks.

Rotations of military and police contingents coordinated to/from regions and sectors in mission AOR to points of strategic
airlifts out of and into mission.

The military/police/observer desk advises Chief/JLOC on needed support arrangements, including day-to-day routine issues
specific to military contingents/observers, police contingents and United Nations Police Officers.

Chief/JLOC, through Chief/LogOps, takes advice from military officers or civilian experts on technical matters related to
transport and movement of hazardous material (e.g., ammunition, fuel and/or mine action material). Depending on size of
mission and intensity of operations, this work may include individual technical or Mine Action Officers or specialty cells in
these areas.
Joint Movement Control Cell (JMCC)
If MOVCON is not integrated as a unit of JLOC, a JMCC is established to ensure proper coordination and liaison between
JLOC and MOVCON. As part of LogOps, JMCC provides technical advice on movement involved in accomplishing particular
tasks. With MOVCON, JMCC also prioritizes movement and levels of use of enabling COE assets, United Nations movement
assets and contracted capabilities. JMCC ensures that contingents use their own transportation assets, to the fullest capacity, for
transporting personnel and equipment. JMCC advises Chief/JLOC on using contingent-provided second- and first-line
resources.
Contingent-owned Equipment (COE)
The COE Unit is usually located in the Property Management Section. COE Desk advises Chief/JLOC on all matters related to
COE, on deficiencies in COE and how they will affect contingent’s operational capability. Based on this advice, Chief/JLOC
advises HOMC on COE issues and recommended actions, through normal channels.
Information and reporting
JLOC serves an important function through which Chief/JLOC maintains situational awareness of all mission components’
logistical support. The Information and Reporting Unit/desk analyzes logistics system, supply chains and other areas of JLOC
and reports problems.
In this regard, JLOC carries out tasks, as follows:

Advises on efficiency of current procedures and recommends improvements.

Maintains maps and databases on supported locations and movements.

Handles all reports and returns out of JLOC, including daily log SitRep and weekly/monthly summaries of logistics report.

Reviews log reports and summaries from regions and sectors.

Conducts briefings, logistical training, induction for new logistics staff, etc.

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Figure 19: JLOC Structures for Different Missions

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 JLOC STRUCTURE
Mission with no regions
CISS

JOC

CHIEF JLOC

Info/ Reporting Log Ops/Plans COE

MOVCON

Contingent/
Commodities
Observers

Budgeting

Plan, oversee and coordinate both current and future operations, paying particular attention to the next budget period and
considering RBB.

Provide logistics requirements to SAUs for their budget preparation.

Recruitment
Recruiting for specific JLOC structure may be challenging, as JLOC structure/organization is often quite dynamic as the mission
evolves and since the balance of workload changes dramatically between planning future operations and maintaining a
steady state. At first, potential organizational structures may involve divisions of responsibility between current and future
operations based on geographic or commodity responsibilities. If based on future and current operations, the first Deputy Chief/
JLOC is usually in charge of running current operations spanning one month to six weeks. SAUs enable current operations.
The second Deputy is in charge of planning operations spanning three to nine months and into the current budgetary period.

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For further guidance consult:

DPKO/DFS Policy on JLOC, United Nations Peace Operations Guidance Framework (United Nations Peace Operations
Intranet Site: http://intranet.dpko.un.org.)

DPKO/DFS SOP on Material Resource Planning, , United Nations Peace Operations Guidance Framework (United Nations
Peace Operations Intranet Site: http://intranet.dpko.un.org.)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org.)

On various support functions in United Nations peacekeeping operations, 5000 Series of United Nations Peace Operations
Guidance Framework.

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.7 Communication and Information Technology Service (CITS)

Roles and responsibilities

During mission start-up, the focus for the Communication and Information Technology Service (CITS) is to act as ICT service
provider for the mission — ensuring timely and secure communications and information exchange within and between United
Nations peacekeeping operations and between these operations and UNHQ. These services are central to meeting the core
strategic, operational and tactical mandates of United Nations missions. Peacekeeping operations are often conducted in
countries where native telecommunications infrastructure is non-existent or has been seriously compromised.

Field missions need a number of core ICT services based on radio (microwave, VHF, UHF, HF, AM/FM), telephone, imaging
and satellite technologies, as a layered means of communications. Such services are, in turn, interfaced with DPKO/DFS global
networks. The provision of data services is enhanced through the use of standardized software applications and systems.

There are two major branches of ICT services, as follows:

Telecommunications/Operations that is responsible for all ICT-related planning, supply-chain and budgetary management;
all telecommunications services through mission local area network and wide area network; and all ICT infrastructure and
assets.

Information Systems that is responsible for provision, integration, administration and support of all information systems
used in field missions.

The Information and Communications Technology Division (ICTD) has created a rapid response capability called ICT-DFS-
Advance Response Team (I-Dart) based in UNLB. I-Dart is a multidisciplinary group that can be deployed by ICTD on very
short notice to support a mission start-up.

Figure 20: CITS Reporting and Service Responsibilities

Critical managerial tasks and issues

The critical tasks CITS should undertake for managing mission start-up are the following:

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Planning

UNHQ prepares tasking order for the I-DART.

Using budget and resource templates, determine resource levels based on equipment ratios, terrain, topography, common
service agreements, mission size/mandate, local infrastructure and timelines.

UNHQ identifies CITS personnel and equipment to deploy as part of the AT deployment phase. ICT personnel are
traditionally among the first support staff arriving in missions, in order to ensure reliable and secure telecommunications are
provided and users have access to email and critical financial, human resources and supply chain information systems.

Ensure telecommunication and ICT services are available within 24 hours of arrival of telecommunication AT deployment
equipment. ICT equipment stored in SDS in UNLB is usually used for mission start-up. The timing of the arrival of
preconfigured server providing Lotus Notes connectivity depends on type of mission and financial/policy decision made
during planning. All of this is preconfigured in Brindisi by the AT before deployment to the mission area.

From the start of the mission, CITS should have an Asset Manager on the ground to plan assets management and warehouse
configuration.

Inform Engineering Section of space and power requirements for data center, satellite facilities, etc. Before commencing
any common services or projects, there should be close coordination between CITS and the Engineering Section.

Liaise with Procurement on the publication of expressions of interest (EOI) to supply ICT services, equipment, etc. and to
prioritize requisitions for supplies, services and equipment procured locally. Importantly, it should be remembered that
most services must be procured locally (repeater sites, Internet provider, local telephone lines, cell phone contract, etc.).
In-theatre ICT-related tasks

Establish and maintain continuous communication links to UNLB, UNHQ and other United Nations field missions as part
of the Mobile Deployable Telecommunications System (MDTS) deployment.

Provide VHF/HF communications in the operating MHQ building and to nearby areas, expanding as conditions permit to
the MHQ city and other offices.

Ensure contacts with the appropriate authorities to obtain licenses and frequencies to operate. This supposes authorization
from the host country, which sometimes can be extremely difficult to obtain. Some unethical entities may try to take
advantage of the absence of SOMA/SOFA to negotiate illicit payments for such authorizations. Such situation can arise in
regard to obligations to provide broadcasting facilities to PIO. Such pressures must be resisted and related concerns should
be brought to the attention of mission management for assistance with resolution.

Facilitate strategic radio communications for military contingents. Frequencies are not readily accessible in mission areas,
unless discussions have been carried out with host government beforehand. It is crucial that the pre-deployment mission
survey team deals with this issue before deployment.

Provide strategic (HQ to HQ) communications to military battalions.

Provide all communications services for civilian police components.

Provide internal and external telephone services to facilitate logistic and administrative communications.

Assist PIO to establish and maintain public information ICT infrastructure, including radio broadcasting, where needed.

Provide ICT equipment based on established equipment ratios.

Provide and support standardized software applications in line with United Nations governance requirements.

Provide email capabilities and access to Internet and information systems for approved personnel. Internet provision is a
core service provided by CITS.

Establish ICT support mechanisms, including help desk, for all ICT services.

Develop, maintain and implement Disaster Recovery and Business Continuity plans, including backing up critical data.

Recruitment
ICTD has its own rapid deployment team, called I-DART, which is stationed at UNLB. This team will be the first group arriving
to the mission area, together with a handful of ICTD staff.

Specific recruitment tasks include the following:

Select human resources from rapid-reaction roster of serving qualified ICT personnel and dispatched to field mission,
normally for 90 days, pending recruitment of long-term personnel.

From the start of the mission, ensure an Asset Manager is on the ground. I-DART includes one.
Other issues

One of the major challenges that CITS faces during mission start-up is the inability of mission management to identify and
select a MHQ that will accommodate staff when the mission reaches full staffing. A lack of adequate office space leads to

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 multiple locations. This dispersion of offices requires a more complex network architecture, making it harder to deploy and
maintain links between sites. This situation should be avoided.

The capacity staff members can expect from CITS includes the capacity to call home. If local PTT structure allows for
commercial contractor and personal calls, then those facilities should be used as a priority. As bandwidth is limited, priority
should be given to official business and not to personal or commercial contractor usage.

CITS provides services for mission core functions that are necessary to achieve mandate implementation. SAUs can expect
these services on condition of adequate pre-procurement consultation and in coordination with CITS on all issues, such as
installation, technical support, repairs, maintenance, training, etc. In the absence of such due diligence, CITS would have
major difficulty in ensuring adequate service. For example, do not buy photocopiers without a maintenance and service
contract. Do not order hi-tech equipment requiring highly specialized expertise to operate, unless training and services are
provided by the vendor.

If TAM it not able to identify a suitable MHQ structure, it is incumbent on the people carrying out the TAM to review the
greenfield options using prefab structures. The greenfield option is the most viable at the beginning of missions. However,
it is never ready during the start-up phase. A continuous change of premises consumes human and material resources, to the
detriment of the mission’s deployment.

CITS deployment plan includes two areas with fiscal responsibility: first, assets management (requiring tracking of who
gets what); second, telephone billing (requiring a way to account for the calls).
Information Management Systems
As outlined in section 3.3.2, the following is an overview of information management systems utilized in the management and
administration of multidimensional peacekeeping operations.
• Nucleus is an integrated system that automates the core Field Personnel Division (FPD) business processes and is tightly
interlinked with the Secretariat-wide administration and recruitment systems (Integrated Management Information System
(IMIS) and Galaxy). The data warehouse extracts and harmonizes historical data recorded in all human resources legacy
systems and provides a flexible online data inquiry module. A user can search for a person or a post and display all related
data, e.g., personnel actions, assignment records and other human resource data objects associated with a person. Nucleus is
a web-based application with the servers centrally located in UNHQ. Once data connectivity to UNHQ is established,
Nucleus should be operational.
• Galaxy eStaffing System is a United Nations core application system that integrates vacancy management, recruitment,
placement, mobility and promotion of United Nations staff. It consists of three websites -- world-wide Internet-based
jobs.un.org, world-wide Intranet-based myun.un.org and galaxy.un.org -- plus a reporting facility. It has been endorsed by
the General Assembly as the standard electronic staff selection tool of the Secretariat. Galaxy is a web-based application
with the servers centrally located in UNHQ and UNLB. Once data connectivity to UNHQ and UNLB is established, Galaxy
should be operational.
• The Galileo Inventory Management System automates inventory/asset and fleet management in field missions. It is made
up of a transactional system, a reporting system and an information portal. It fully automates activities, such as strategic
deployment stock (SDS) management, warehouse management, material release order management, spare parts and
expendable management, inter- and intra-mission transfer, receipt and inspection, issue/handover/return to stock,
description codification, maintenance, damage discrepancy report management, fleet management, and write-off and
disposal. This web-enabled system is based on a fully relational database and is centrally hosted and administered in the
UNLB. The system is currently deployed in all peacekeeping operations and six Department of Political Affairs (DPA)
special political missions as well as at UNLB and UNHQ. Once data connectivity to UNLB is established, Galileo should
be operational.
• The Mercury Procurement System automates procurement workflows in field missions. The application is made up of a
transactional system, a reporting system and an information portal. It fully automates such activities as vendor management,
requisitioning, sourcing, solicitation, purchase order (PO) creation and management, receiving and inspection, invoice
matching and global and local system contract management. This web-enabled system is based on a fully relational database
and is centrally hosted and administered at UNLB. The system is deployed in all peacekeeping operations and several DPA
special political missions as well as at UNLB and UNHQ. Once data connectivity to UNLB is established, Mercury should
be operational.
• The Funds Monitoring Tool (FMT) is a repository of data that consolidates all financial information in a near real-time
format. FMT collects and stores data from UNHQ and field financial systems such as IMIS, Mercury, SunSystems and
Peacekeeping Finance Division (PFD) spreadsheets. This lets users view almost real-time expenditures information, making
it easier to monitor budget implementation and make redeployment decisions. It also allows for financial performance
reports to be created that provide the latest information on financial expenditures. FMT is a web-based application with the
servers centrally located in UNHQ and UNLB. Once data connectivity to UNHQ and UNLB is established, FMT should be
operational.

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• The Enterprise Feedback Management System provides a complete life-cycle solution for creating surveys. This includes
survey creation, deployment, roll-out, monitoring and data analysis, all of which are necessary to complete any survey
project and make informed business decisions. This product lets users conduct web-based surveys, manage data and create
advanced reporting tools to gain insight into the data.
• The DPKO\DFS Peace Operations Intranet is the central repository of information for DPKO/DFS staff at UNHQ and in
field missions. Through the site, staff members can access official policy and guidance, reference materials, lessons learned
and best practices material, administrative forms and templates as well as the link to the UNHQ Intranet (iSeek) and links to
other field mission Intranets. The DPKO\DFS Peace Operations Intranet home page is http://intranet.dpko.un.org. Once data
connectivity to UNHQ is established and access granted, access to UNHQ intranet will be possible.
• Customer Relationship Management (CRM) is the set of business processes and supporting technologies used to acquire,
retain and enhance customer relationships. The CRM enterprise system chosen by the United Nations will automate the
business processes supporting the delivery of services. This will provide users with a seamless, single point of contact and
an integrated way of requesting services. This, in turn, will lead to greater productivity, ease of use, and accuracy. CRM will
empower personnel to be responsive in providing support and let the end user help themselves.
• The Government Claims Management System has replaced the Peacekeeping Database (PKDB, implemented in 1995). It
is an integrated modular system used by the MOU Claims Management Section of the Field Budget and Finance Division
(FBFD) to manage and track the flow of government claims from the originating MOU between the TCC and the United
Nations, the associated verification reports and the certification of the related claims.
• United Nations Field Payroll and Allowances System (ProGen System) is the official and standard United Nations field
payroll (national staff) and allowances processing system. It records and processes national staff salaries, including
entitlements and deductions, and produces pay slips, summary/detail payroll and utility reports. It records and processes
international staff allowances, including mission-related entitlements and deductions, and produces allowance statements,
summary/detail allowance processing and utility reports. It also produces other summary/detail and utility reports (e.g.,
historical payments, earnings, pension and earnings/deductions).
• SunSystems provides all United Nations field missions with a standard finance system and transactional and reporting
system: general ledger, accounts receivable/accounts payable (AR/AP), POs, invoices recording and payments. SunSystems
is the official financial reporting system for field missions (status of allotments, trial balance, expenditures, etc.). This is an
off-the-shelf system.
• SMART system uses a customized Lotus Notes mailbox to securely transmit daily and weekly SitReps to UNHQ. SMART
replaces the use of cryptofax for transmitting daily and weekly SitReps to UNHQ.

For further guidance consult:

On field operations support of CITS, 5000 Series of United Nations Peace Operations Guidance Framework (United
Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework

DPKO/DFS Information and Communications Technology Division (ICTD)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.8 Aviation

Roles and responsibilities

During mission start-up, the focus of the Aviation Section is on providing policy, procedures and guidance for implementing
operations; managing assigned aviation assets; supporting and monitoring all areas requiring aviation support; and liaising with
the civil aviation authority. The Aviation Section also focuses on planning the necessary development of new and existing
airfields (runways, parking and manoeuvring areas) and systems which support meteorology, air traffic control, flight following,
refuelling, fire rescue, ground handling services, cargo unloading and aircrew facilities. The Aviation Sections leads in the areas
of planning facilities, airport security, surveying helicopter landing sites (HLS), while it requisitions equipment, recruits and
train local staff and, overall, increases the airfield infrastructure and air navigation systems required to support continued
mission start-up and deployment.

Figure 21: Aviation Reporting and Service Responsibilities

UNHQ
Air Transport
Chief of Integrated Support Services
Reports to Section

AVIATION

Provides Service to

All Mission Components

Critical managerial tasks and issues

The critical tasks the Aviation Section should undertake for managing mission start-up are outlined below.
Initial Operational Capability

The critical task for Air Operations is the provision of airfield infrastructure. Airlifts into the mission cannot commence
without infrastructure in place to support the operation of aircraft and their unloading. Flights around the mission area are
similarly restricted by the need for substantial support in terms of surveying and preparing landing sites and runways,
meteorology and flight following. Improvement of airports takes a significant amount of time as well as staff, long before
aircraft can be deployed. Thus, recruitment of aviation staff is a priority, with emphasis on the Chief Aviation Officer
(CAVO) and the Airfields and Terminals Unit staff. Delays will result in the staff being diverted from mission capability
tasks to supporting ad-hoc flights.

The cost of aviation establishes the importance of auditable operations matching fuel and airport billing, for which
Technical Compliance Unit staff must provide support, at an early stage. Airport equipment will be available in SDS, but
personnel to operate it will need to be recruited early and provided with training, including Firemen and specialist airport
vehicle drivers. In many cases, there are no alternatives to aviation. Thus, adequate preparation will improve the mission’s
ability to implement its mandate. Operations can only be undertaken in accordance with international regulations, which
will be observed by the contracted and TCC aircrews. There are no short-cuts and many programmes’ planning stages are
lengthy. International Civil Aviation Organization (ICAO) consultants provide useful additional support and may be
available through an UNHQ inter-agency agreement to provide technical design support for airfield rehabilitation and

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 construction and to support coordination between the host government and the United Nations. However, this support tends
to be for medium- to long-term projects that will not be readily available unless rapidly expedited. ICAO is ideally suited to
become the neutral consultant to the host nation aviation authority and the mission CAVO, solving policy and
organizational matters.

Other key personnel requiring early recruitment include mission-experienced Professional level planners to be placed in
ATS/Logistics Support Division (LSD) and to work directly for the CAVO. These staff will support the development and
establishment of aviation for a period of up to two years. Once operating, airfields require minimum levels of staff
(outlined below). Due consideration should be given to recruiting English speaking aviation trained host country nationals
that are available for employment without harming the local economy. Higher levels of international staff may be expected.

DMS/CMS consults and coordinates between the host government and the United Nations, ICAO and becomes the neutral
consultant to the host nation aviation authority and the mission CAVO for solving policy and organizational matters. (See
United Nations Aviation Manual and Air Safety Manual for roles and responsibilities.)

Aviation Safety Officers provide oversight to the aviation programme. He/she is independent of the Aviation Section.
Although most reporting of concern is to the CAVO, an Aviation Safety Officer is directly responsible to the DMS/CMS
and is able to report directly any issues that cannot be resolved any other way. The post must be supported by the full
authority of the DMS/CMS. Early mission experience has shown that the Aviation Safety Officer is as vital in protecting
aviation staff from undue pressure to work without proper infrastructure as in ensuring that the Aviation Section has put in
place adequate measures to monitor aircrew performance and ground handling risks. The Aviation Safety Officer is not a
supervisor and should not be confused with Quality Assurance or Quality Control, but does ensure that supervision is in
place and that there is adequate indoctrination to achieve safety at all levels, including senior management. The Aviation
Safety Officer is able to step back from the frontline to review aviation risks at the macro level and recommend changes that
may include improved management techniques or staffing levels.

Planning

Undertake the strategic planning for all aviation aspects of mission-start up and ongoing development.

Expedite the development of aviation infrastructure and recruitment, as a priority, to enable safe and efficient mission
deployment.

Consult and coordinate regularly with ATS at UNHQ, which will have developed mission plans from TAM as well as plans
in effect regarding aircraft and equipment provision, and will provide UNHQ support to major projects and development.

Help with budget analysis and development.

Provide cost estimates for aviation requirements and field aviation publications.

Review staffing budget to ensure adequate posts for field aviation specialists.

Monitor and assess requirements for aviation support equipment.

Contribute to quality assurance.

Maintain current database of aviation information from mission performance reports and air carriers to develop aviation
trends analysis and lessons learned.

Receive projections for needed aviation support for personnel and cargo transportation from mission sections, which should
be available prior to mission deployment.

Receive projected needs for air reconnaissance from military and arms monitoring components.

Submit regular flight schedules through the CAVO to obtain DMS/CMS authorization for air task orders.

Plan for providing aircraft with night capability, whenever possible, in order to provide night time Casevac, according to
mission air operation exigencies.

With the Chief Medical Officer, develop Casevac/Medevac SOPs.

Establish a reliable aviation fuel supply system, in collaboration with the Supply Fuel Cell.

Establish or ensure availability of a properly supported Meteorological Office.

Plan to have a Parasar Team and adequate equipment for rescue operations.

Support commercial flight crews with accommodation and food when they are called to stay overnight during United
Nations mandated missions to TCC camps and elsewhere. TCC may need to guard aircraft during overnight and during
daylight visits.

As security and mine assessment provides clearances to Aviation to operate, ensure UNDSS provides accurate security
assessments and mine clearance certification to the Aviation Section. Security is also required in air terminal and at
entrance to aircraft.

Human Resources

Coordinate with FPD for screening and with CAVO for placement of Professional and Field Service aviation candidates for
DPKO/DFS missions.

Continually coordinate with FPD/DFS for progressive specialist aviation personnel career development.

Conduct formal initial and refresher aviation officer training courses and monitor mission on-the-job training programs.

Liaise continually with other United Nations agencies with aviation assets.

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Enforce SOMA provisions, especially if local aviation authorities try to impose their choice of candidates among local
aviation professionals.

Ensure that during mission start-up airfield engineering is handled only by dedicated airfield engineers.

Contracts

Participate in and oversee acquisition of aircraft charters, equipment and support services.

Assist in the establishment of fuel service contract with one or several oil companies, with Supply Section and Engineering
Section.

Ensure the refuelling of aircraft before each flight.

Retain values on contract payments.

Other issues

Remember that a robust management team with United Nations experience is essential at start-up. This is needed to ensure
that regulatory aspects complemented by staff with mission experience provide the required service, fully compliant with
the several layers of regulations applicable. Such regulations include those of the host nation civil aviation authority and
those of the countries from which aircraft are registered, the United Nations Aviation Standards and ICAO.

Establish and maintain contact with host country aviation authorities, whether civil or military.

Ensure that United Nations procedures and standards as well as international aviation regulations are followed, as long as
they are not in conflict with air carrier Civil Aviation Authorities (CAAs) and TCC regulations.

Coordinate activities and resources with the World Food Programme/United Nations Humanitarian Air Service
(WFP/UNHAS), if appropriate.

Make quick assessment/reconfirmation of aviation facilities.

Verify functionality of aviation facilities, in collaboration with the Engineering Section, with the aim of rendering facilities
compliant with United Nations, ICAO and international standards.

Verify security dispositive in collaboration with other sections (fuel, fire protection, etc.).

Ensure that airfields and air assets used by the United Nations (even international airports) are secured by United Nations
mission security.

As early as possible, make the requests for specific aviation materials (runways, aprons, mobile ATC towers, tugs, fuel
bowsers, stairs, fire trucks, manuals, windsocks, landing light kits, specific fire extinguishers, weather stations, radios).

Work closely with MOVCON and with the host national civil aviation authority on clearance of United Nations-leased
aircraft arriving in host country. Aviation is responsible for all activities airside, although MOVCON may provide
passenger escort duties and cargo loading/unloading duties. Requests for special flights are made direct to Air Operations
Unit (Air Ops), but requests for passenger seats on regular flights are made direct to MOVCON. Refer to United Nations
Aviation Manual for roles and functions of Air Ops, MOVCON and air safety.

Obtain access passes to aviation facilities for United Nations authorized staff and technical air crews. Generally, air crews
are United Nations contractors, not United Nations staff members.

Ensure air task requests are properly authorized by DMS/CMS, within capabilities of aircraft and crew assigned, and
achievable within operational environment.

Working with MOVCON, ensure that passenger boarding lists and freight movement requests are available, properly
completed and authorized.

Ensure aircrews are properly briefed and that supporting and fallback arrangements are established and valid.

For peacekeeping operations authorized by the Security Council under Chapter VII of the Charter, ensure fire and rescue,
United Nations security and live fire exercises are conducted and include civilian aviation authorities and local airport
authorities.

Ensure adequate staff and facilities are deployed before flights are permitted, with the minimum number of five staff at any
one airfield for aircraft handling requirements and excluding other tasks.

Remember that only the DMS/CMS, CISS and the CAVO may authorize flights, as per the DPKO Aviation Manual.
Military officers not on the United Nations payroll may act as CAVO’s for operational aspects, but they may not authorize
flights that might subject the United Nations to substantial financial commitment. Where a Chief Air Ops deputises for the
CAVO, then authority rests with CISS and DMS/CMS. A system must be established to cater for emergency flights,
whereby the DMS/CMS gives pre-clearance for any Casevac flight. Other flights generally require 72-hours notice for
adequate flight planning, clearances and security issues. The CAVO will be expected to deal directly with government
offices and the civil aviation authority on matters impacting United Nations air operations within the host country air space.

Air Ops is responsible to the CAVO for all day-to-day operation of aircraft and airfield support to aircraft, including flight
following, refuelling and aircrew briefing. The mission Air Operations Centre is part of the Air Ops Unit and is responsible for

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all planning and coordination. Each airfield in the mission will have air operations staff responsible to Chief/Air Ops for
supporting flight planning, aircraft and airfield activities.

For a medium size mission, Air Ops requires staff to fulfil the following individual tasks:
o P-4/P-5, Chief Air Ops, plus Administration Assistant and Driver
o Mission Air Operation Centre working two shifts comprising P-3 Chief, 2 x P-3 planners, P-3 Fleet Manager, 4 x
FS Planners, FS Long-term Planner, FS Freight Planner, FS Security and Clearances, national Air Task Order
Clerk
o Mission Support working three shifts comprising 3 x P-3 Duty Officers, 2 Air Ops Officer Flight Following, 6 Air
Ops Assistant Flight Following
o Main airfield working two shifts will requiring 2 x FS Air Ops Officers, 4 x FS Air Ops Assistants and 4 x national
Air Ops Assts, 6 x national Firemen per fire truck (two fire trucks for aircraft larger than An 26 such as C-130,
MD83, 3 fire trucks for Airbus 310)
o Sector airfields requiring a minimum of five staff, including 1 x P-3 and 1 x P-2 to act as OIC during the absence
of the Chief, plus FS Air Ops Assistant and 2 x Ramp Assistants and a national Airfield Driver, plus six national
Firemen per fire truck, as above

The Airfields and Terminals Unit (ATU) is especially essential during mission start-up and is responsible to the CAVO for:
provision of all aviation infrastructure, including the development of runways, parking areas, terminal buildings, ground support
equipment and vehicles (and the training of their use), hangars, fencing, air navigation equipment; and ensuring the provision of
and/or overseeing the contract management of services provided to the United Nations, such as ground handling, fire fighting,
meteorology, air traffic control and so on, but not management of their day-to-day activities.

For a medium size mission, ATU requires staff to fulfil the following individual tasks:

P-4 Chief ATU, plus Administrative Assistant and Driver, P-3 Training Officer, FS Sector Coordinator for each sector, 2 x
FS HLS Survey and Airfield Design, 2 x FS Helo Slung Load Team, FS Fire Officer, FS Special Airport Equipment and
Fire Equipment Trainer

The Technical Compliance Unit (TCU) is responsible to the CAVO for the independent quality assurance of aviation activities
and the separate quality control of contractor performances. The Unit also administers the financial and budget processes of the
section, particularly fuel and flying hours, reporting details as required to UNHQ, where aircraft contracts are paid.

For a medium size mission, TCU requires staff to fulfil the following individual tasks:
o P-4 Chief TCU, plus Administrative Assistant and Driver, P-3 Quality Assurance Officer, FS Quality Control
Officer, 2 x FS Technical Contract Managers (airframes/engines and avionics/electrics), FS Budget Officer, 2 x FS
Invoice Accountants

For further guidance consult:

DPKO/DFS 2005 Aviation Manual, World Food Programme (WFP) and DPKO/DFS Aviation Standards (AVSTADS),
Annex 6, Annex 14

Aviation Inspection & Recommendations Module, the Aviation Hazard Database, and other relevant electronic systems and
tools such as Aircrew Database, Aircraft Database, etc.

ICAO and IAATA

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS Air Transport section.

Communities of Practice (Lotus Notes)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.9 Aviation Safety

Roles and responsibilities

During mission start-up, the focus of the Aviation Safety Section is to provide the initial assessment of the risks associated with
aviation related activities (risk assessment indicators), develop and implement the other elements of the Mission Aviation Safety
Programme and provide timely advice to the mission’s management on any aviation safety related issues.

Figure 22: Aviation Safety Reporting and Service Responsibilities

Critical managerial tasks and issues

The critical tasks Aviation Safety should perform during mission start-up are the following:

Planning
• Ensure that aviation safety requirements are taken into consideration during mission budget analysis and development.
• Provide cost estimate for aviation safety requirements, including safety publications and equipment.
• Review staffing budget to ensure adequate posts for aviation safety specialists, in accordance with the projected air support
concept.

Human Resources
• Coordinate with the Personnel Section and with UNHQ Aviation Safety Section regarding the technical clearance, selection
and recruitment of candidates for mission Aviation Safety posts.

Other issues
• Establish the mission Aviation Safety Office in the MHQ, reporting directly to DMS/CMS.
• Submit official requests for provision of office space, communications equipment, desktop (laptop) and vehicle.
• Conduct safety surveys and identify aviation safety hazards.
• Prepare the initial Aviation Safety (risk assessment) Indicators matrix and a list of aviation safety concerns and
recommendations.

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• Advise DMS/CMS on the mission’s aviation safety posture.
• Develop and implement the Mission Aviation Safety Programme.
• Develop the mission Aviation Emergency Response Plan and prepare and conduct initial desk-top exercise.
• Establish coordination with the Aviation Section and MOVCON and the military, police and security components of the
mission.
• Establish safety reporting system. Once access is obtained to the Lotus Notes system, activate the Inspections and
Recommendations Module, in coordination with CITS. Ensure that DMS/CMS, Aviation and MOVCON specialists are
assigned with their respective roles and are able to produce relevant reports.
• Establish coordination with site managers and crews of the air operators and military units arriving to the mission.
• Liaise with national civil aviation and airport authorities of the host country.
• In coordination with Aviation Section, conduct initial inspections of the DFS contracted aircraft arriving to the mission.
• In coordination with MOVCON and the Aviation Section, conduct carrier assessments during deployment flights.
• Establish the Mission Aviation Safety Council and conduct meetings on an as-needed basis.
• Provide aviation safety briefings during the induction training.
• Conduct on-the-job training for the incoming Aviation Safety staff, if required.

For further guidance consult:

• ICAO SARPS
• National Aviation Rules and Regulations in the host country
• UN AVSTADS
• DPKO/DFS Aviation Safety Manual
• DPKO/DFS Aviation Manual
• DFS Aviation Safety Section
• On field support of Aviation Safety sections in Peacekeeping Operations, 5000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.10 Supply

Roles and responsibilities

During mission start-up, the focus of the Supply Section is on the release of supply assets from SDS; on setting up contracts for
rations, ground and aviation fuel; supply aspects of camp services (if under Supply), including janitorial, cleaning, waste
disposal and pest control; warehouse storage; and distribution of supply items needed by mission components to establish
offices and carry out their mandate. The Supply Section is a service provider to all mission components. It sets distribution
priorities, according to stock availability and to an agreed-to prioritization strategy.

Figure 23: Supply Reporting and Service Responsibilities

Reports to Chief of Integrated Support Services UNHQ

Supply Section

Supply

Provides Service to

All mission components

Critical managerial tasks and issues

The critical task the Supply Section should undertake for managing mission start-up are the following
Warehousing and storage

Receive SDS in collaboration with R&I Unit.

Identify appropriate warehousing to meet mission requirements, in accordance with the Supply Support Plan and potentially
with other SAUs. Select large warehouses with separate rooms for different categories of item storage. Also, consider
outsourcing mission warehousing operation to third party. Verification visits to sites should be undertaken with SAUs to
confirm site feasibility. Ideally, the main supply warehouse should be located within the main logistic base.

Manage the incoming United Nations-owned ISO 20-ft. containers, once containers emptied for storage space. (ISO 20-ft
containers are the responsibility of the staff member who signs for them.)

Issue office furniture, office equipment and stationery, as needed.

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Recruitment

Ensure a supply expert is deployed as part of the mission AT to guarantee the collection of key information on availability
of supply commodities.

Select UNHQ-based staff member for deployment on TDY to provide HQ related expertise.

Stagger arrivals in order to build in six-week overlap between relieving staff members, to avoid having sections unmanned
at any stage of start-up.

Maintain minimum capacity to ensure good record keeping and accountability for United Nations-owned materiel.

Ensure unit chiefs have the appropriate experience.

Supply team needs a minimum of four people, including: team leader, warehouse expert, recruitment manager, and budget
and plan acquisition planner.

Deploy staff with experience in large mission start-up.

Acquisition

Develop supply acquisition plan, taking into account mission allotments and material resource plan. Planning for Immediate
Operating Requirements (IORs) is done at UHQ, well before (three or four months) AT deployment.

Balance the complete lifecycle planning for mission and ensure immediate imperatives achieved.

Develop Statements of Work (SOWs) for all long-term local contracts. Bottled water for drinking is a large requirement
during start-up. There should be a separate long-term contract (contractor) for either purified bulk or bottled water.

Draw down from UNHQ systems contracts to meet requirements for supply commodities.

Establish local contracts for services, including security, cleaning, safety, laundry. Local systems contracts help achieve
real-time deliveries, but securing them depends on availability of adequate suppliers. If possible, procure non-technical
items locally.

Ensure that all locally-established systems contracts or support services contracts have optional extension periods (one year,
six plus six months, etc.) included in the contracts.

Avoid one-off purchases under local contracts. Instead, start with small systems contracts with fixed dollar-value amounts.
Make generic requisitions with item lists attached, instead of line item requisitions. Ensure local systems contracts are valid
for standard one-year duration or duration of mission mandate, whichever is shortest.

Obtain clear statements of requirements or technical specifications from clients.

Provide clients templates that include overall list of supply items and estimations of expected quantities needed.

Develop account codes guidelines. Account codes -- allocated lines of responsibility for managing categories of supplies --
are allocated differently from mission to mission; for example, cleaning services and cleaning supplies might be managed
by different sections.

Include body armour and helmets in first shipments because of the heightened possibility of evacuation during start-up
periods. Give priority to medical and security equipment and supplies.

Expect a heavy workload with rations and fuel supply vendor representatives during the start-up phase.

Ensure provision of Petroleum, Oil and Lubricants (POL)/rations and related services. POL and rations make up a very
large percentage of mission costs. The acquisition strategy should be established early in the mission lifecycle (i.e., UNHQ
interim short-term contract, local or UNHQ long-term contract). It is essential to establish POL and ration contracts early
during the mission. In most cases, these are contracts established by Supply Section UNHQ (SOW Part II drafted by the
Mission).

A Strategic Fuel Reserve (SFR) must be established early during the mission start-up or contractual arrangements must be
made with the vendor to hold the SFR for mission. All mission components need to be supported from the SFR, in case of
emergency. The SFR should be spread throughout the regions.

Ensure arrangements for military resources to guard POL, as a complement to civilian security arrangements in the case of
violent or extreme situations.

Supply section should consider:

Realistic estimate of POL/ration/catering/requirements, in collaboration with clients.

Host nation provided (rent free) or United Nations-owned facilities/storage needs and locations

Need for reserve holdings based on supply chain considerations

Need for POL retail and bulk deliveries to all key locations in the mission area

Accountability for POL and rations as well as fraud prevention

Enough technical staff (international, UNV and local) to manage service contracts

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For further guidance

DPKO/DFS Fuel Manual

On field operations support of Supply, 5000 Series of United Nations Peace Operations Guidance Framework (United
Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework

DFS, LSD, Supply Section

Warehouse guidelines for field operations

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.11 Property Management

Roles and responsibilities

During mission start-up, the focus of the Property Management Section is to ensure traceability, accountability and financial
liability of all property arriving in the mission, from the first day of operations. Critical areas include the early establishment of
Receiving and Inspection (R&I) operations for incoming United Nations Owned Equipment (UNOE) and of Contingent Owned
Equipment (COE) verification capacity to conduct arrival inspections of deploying contingents.

Additional key areas include the following:

Ensuring that the electronic systems, such as Galileo and COE databases, are prepared and ready for accurate and auditable
records of all UNOE and COE for property control and accountability.

Continuously recording of custody of equipment and assurance of accuracy and integrity of the electronic records associated
with assets.

Assuring the provision of analytical capabilities related to management of inventories to CISS.

Ensuring COE Unit and the Property Control and Inventory Unit (PCIU) functions are integrated with military and police
personnel.

Ensuring the Property Management Section supports CISS in identifying a commodity distribution strategy.

Figure 24: Property Management Reporting and Service Responsibilities

UNHQ
Reports to Chief of Integrated Support Services Property
Management
Section

Property Management

Provides Service to

All mission components

Critical managerial tasks and issues

The critical tasks Property Management should undertake for managing mission start-up are the following:
Planning

Supervise timely and efficient implementation of R&I, PCIU, COE, Claims and Asset Disposal Units start-up tasks.

Process SDS arrivals in accordance with consolidated requirements for SAUs, ensuring that priority is given accordingly.

Recruitment and staffing

Experienced Property Management staff should be deployed from the first day of the mission.

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Priorities and tasks for Property Management Units
Receiving and Inspection (R&I) Unit

R&I Unit staff should arrive among the first to the mission, in sufficient number and with needed qualifications. If needed,
the mission can request an initial team to deploy from UNLB.

SAUs must detach specialized asset managers to R&I, as early as possible, to assist R&I with asset identification and to
countersign R&I reports.

Dedicated R&I reception and inspection areas should be establish, if and when possible to include hard standing warehouse
storage capability, an area to maneuver sea containers and material handling capability. Alternatively, until the R&I Unit
has its own facilities, an R&I area can be conducted in SAU warehousing facilities.

With CITS, promptly set up Galileo so inventory data is entered directly into Galileo and reception of SDS is then
electronically acknowledged by UNLB.

Property Control and Inventory Unit (PCIU)

Ensure PCIU database manager acts as focal point for Galileo set-up.

Map out mission organization and logistics support structure to be adequately reflected in Galileo for asset traceability.

Organize training and briefings for incoming mission and contingent personnel on property management and accountability
for UNOE.

Prepare monthly reports on asset acquisition and holdings.

Support R&I Unit with initial verification accounting figures (purchase orders, etc.).

Start physical verification inspections of UNOE as soon as possible.

Establish Customer Service Desk to support UNOE end-users.

Property Survey & Claims Unit

Establish Claims Review Board (CRB) and Property Survey Board (PSB).

Open requisite databases (Excel for CRB and Galileo for PSB).

Property Disposal Unit

Prepare asset disposal strategy, taking into account national environmental policies on disposal for the mission area.

Prepare SOW to establish disposal contracts through Procurement Section. Priority should be given to disposal of tires, oil
and batteries and other Hazmat material.

Establish a dedicated storage area for asset disposal.

Disposal and liquidation planning should begin during start-up.

Contingent Owned Equipment (COE) Unit

Conduct arrival inspections of each contingent within 30 days of arrival.

When required, provide information on actual status of deployed COE to expedite finalization of MOU at UNHQ.

Activate COE database, ensuring that it replicates properly to UNHQ; that access control is setup, as per guidelines; and
that most recent drafts of MOUs are available and entered into the database.

Provide contingents with comprehensive COE arrival briefings, including issuance of key reference documents, including:
monthly serviceability reports, ammunition expenditure SOP, COE standards and verification checklists and an overall
inspection program.

Prepare and submit arrival inspection reports to FPFD and LSD.

Prepare mission-specific ToR for the establishment of the COE and MOU Management Review Board (CMMRB).

For further guidance consult:

On field operations support of Property Management, 5000 Series of United Nations Peace Operations Guidance
Framework

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework

COE and Property Management Support Section SSS/LSD/DFS [email protected]

United Nations COE Website: http://www.un.org/Depts/dpko/COE/home.shtml

Community of Practice in Lotus Notes for COE and Property Management

Mission BPO; if there is no BPO in mission, PBPS at [email protected]

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8.12 Joint Geographic Information Section (JGIS)

Roles and responsibilities

The Joint Geographic Information Section (JGIS) is headed by a civilian chief and comprises of geographic information experts
from civilian, military and police components. Its size and budget may vary depending on the requirements of the mission.

During mission start-up, the primary focus of the JGIS is to provide timely geographic information support to the military,
police and security components; the substantive offices; and the logistic and administrative support services within the mission.
This support includes geospatial intelligence and terrain analysis, paper maps and satellite imagery, Intranet map services and
training. JGIS works closely with the Cartographic Section in DFS and the GIS Centre of the Cartographic Section at UNLB in
the areas of technical support, standards adherence and project management.

Understanding the area of operation and its terrain, weather conditions, infrastructure as well as political, security and cultural
factors and how these affect each other are vital to United Nations peacekeeping operations, especially in areas with a high
security risk that may impose movement restrictions on the mission. JGIS provides terrain visualization and analysis by
integrating information from numerous sources to accurately portray terrain features and interpret the effects of the situation,
environment and weather on various aspects of peacekeeping operations (e.g., troop deployment, civilian policing, elections,
refugees and human rights monitoring, disarmament, de-mining, security and logistics support).

The availability of geospatial information, analysis and products is critical, not only during the mission start-up process, but also
during the pre-deployment planning phase. Data acquisition and the development of databases, therefore, should begin well
before the mission start-up phase.

Figure 25: JGIS Reporting and Service Responsibilities

Due to the highly technical nature of its work and large capacity requirements of its computing facilities, JGIS is one of the main
customers of the mission’s CITS in terms of technical support, storage and bandwidth usage.

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Critical managerial tasks and issues
The critical tasks JGIS should undertake for managing start-up are the following:
Planning

Receive local tasking from DMS/CMS and COS, through CISS.

Receive tasking from Cartographic Section in support of the DPKO/DFS and other senior officials at UNHQ.

Receive CONOPS and first-year budget from the Cartographic Section that also procures start-up equipment and identifies
rapidly deployable staff to serve as members of mission start-up team.

Determine geo-data requirements, including vector, imagery and gazetteers.

Determine software, hardware and GIS supplies requirements based on CONOPS.

Conduct acquisition of geo-data, software, hardware and other relevant GIS supplies.

Receive maps (planning, operational, satellite image, etc.) and geo-databases from Cartographic Section, beginning the first
day of JGIS start-up.

Ensure JGIS SDSs Fly-away Kit includes hardware and enough supplies for three months.

Establish clear scope of mission requirements based on mandated tasks (e.g., elections, border patrol, refugee monitoring) in
terms of maps, geo-databases and satellite imagery. Lead times for delivery of satellite imagery are usually within two
months, but they can be as long as six months. The production of maps and geo-databases can take even longer.

Work with military and police components in the mission to plan for needed services and prioritize immediate tasks (e.g.,
defining operational sectors).

Work with logistics components to plan for required services and prioritize immediate tasks (e.g., identification of
transportation networks, camp site analysis, air/sea-port analysis, water assessment, facility management).

Management
• Ensure operational integration of military, police and civilian personnel in JGIS.
• Emphasize that the military, police and civilian personnel in section are all working under the responsibility of Chief/JGIS.
• Ensure all mission components understand the range of geographic information services available to them and the role of the
Chief/JGIS in identifying and prioritizing support requirements.
• Ensure geographic information services are delivered without delay.
• Contact all UNCT members and local sources (national mapping agency, national census bureau, etc.) for available
geographic information (regional/city maps, gazetteers, statistics, etc.).
• Procure satellite imagery through the systems contract managed by UNHQ.
• Procure spatial software through the direct marketing agreement and/or systems contract managed by UNHQ.
• Identify other geo-data sources.

Set-up
• Allocate enough office space for large cartographic/GIS equipment, such as large-format plotters and scanners (each can be
up to five feet long) and image processing servers.
• Ensure enough cabinet space is available for map storage, supplies and consumables, data storage media, etc., including
security and disposal measures for sensitive documents.
• Request CITS to prioritize setting up appropriate servers and network connections for JGIS to use.
• Install workstations with enough capacity for graphics and imagery processing.
• Request ink and paper on day one as delivery may take up to six months in some regions.
• Ensure all SOPs on geographic information services are available and adhered to.

Recruitment
• Set priority on recruiting Professionals with one or more of following qualifications:
– Advanced degree in geographic information management
– Advanced degree in remote sensing
– Advanced degree in cartography
– Experience in GPS surveying
– Familiarity with peacekeeping operations and military sciences
• Ensure military candidates have a background in geographic information management, terrain analysis or topographic
engineering, preferably from G2 cell.
• Liaise with Force Generation Service (FGS) in the Office of Military Affairs/DPKO on recruitment of military officers.

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For further guidance consult:

On field operations support of Geographic Information, 5000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org.)

For technical support, the Cartographic Section in the Department of Field Support

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.13 Finance

Roles and responsibilities

During mission start-up, the focus of the Finance Section is on making sure all financial management systems and tools are
operational and available to mission components.

Initial Operating Capability

The key tasks that, once achieved, indicate that the Financial Section has achieved IOC are the following:

Computerized financial systems (i.e., SunSystems & Progen and backup servers) set up within the first two weeks of start-
up at MHQ.

Panels for Certifying Officers and Approving Officers identified and set up through FBFD and members of the Bank
Signatories Panel identified and set up through Treasury.

Processes initiated to establish mission banking capacity and/or accounts with the help of FBFD and Treasury. It is
essential for CFO or OIC Finance to maintain continuous contact with Treasury during the bank selection process.

Cashier’s services established and cash handling procedures in place.

Remittance request to fund bank accounts prepared by CFO and forwarded to OPPBA UNHQ for action.

Chequebooks requested for the local bank accounts.

Approval for establishment of cashier’s imprest given by the Controller.

Capacity to pay initial advances, salaries and allowances in place for all personnel, whether cash or bank transfer. The
initial capacity should be centralized, but it can be de-centralized at a suitable time based on available resources.

Chiefs of units (Payments, Cashier, Accounts and Payroll) deployed ahead of other staff in order to provide direction
throughout start-up – as it is difficult to allocated enough time for training new staff members.

Figure 26: Finance Reporting and Service Responsibilities

UNHQ
Reports to Chief of Integrated Support Services Field Budget
and Finance
Division

FINANCE

Provides Service to

All mission components

Critical managerial tasks and issues

The critical tasks the Finance Section should undertake for managing start-up are the following:

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Identify key international staff posts to be filled in the Finance Section, including CFO, the unit chiefs for Payroll, Payments
and Accounts and Cashier. The use of officers (with Approving Officer background) on temporary duty from other missions
is essential to fill the gap if the mission capacity is not yet established.

Fill key financial staffing appointments during initial start-up to ensure that mission’s finance capacity is commensurate
with the size of existing mission size. Until a minimum capacity is established, the mission may need to make use of UNDP
financial management arrangements, but only as temporary measure. Demand will rapidly outgrow UNDP capacity (likely
during the first month), which can delay payroll/invoice payments and financial transactions that can, in turn, lower staff
morale, etc.

Ensure all parties responsible for the set up of finance systems have been alerted and action has been taken. Parties involved
are FBFD, ICT and UNLB.

Ensure the Cashier’s Office has the necessary security systems installed and that they meet UNDSS guidelines.

Immediately put in place -- with the cooperation of other units, such as the Personnel Section and Security/ID, CITS and
PCIU and the military or police components -- a comprehensive check-in procedure to ensure new arrivals have proper IDs,
check-in forms, location of duty station and reporting units. These procedures should also allow them to receive initial
advances and be entered in the payroll system.

Ensure creation of personnel accounts in SunSystems and Progen are done systematically based on check-in information,
type of personnel and type of contracts and, in some cases, location of duty station.

Put in place systematic procedure to monitor advances provided for new arrivals of international staff, UNVs, United
Nations Police and military observers/staff officers. This procedure should also ensure recovery is done in subsequent
month.

Set-up petty cash for various support units, with the approval of the DMS/CMS, to allow local purchases for materials.

To ensure continuity of service, put in place a plan on how to replace TDY staff with mission staff. CFO should also plan
for the hiring and training of national staff on four main finance activities (payroll, accounts, cashier and
payments/disbursements).

For further guidance consult:

Field Finance Procedure Guidelines, United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)

Finance Community of Practice (accessible via Lotus Notes)

Field Budget and Finance Division in the Department of Field Support

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.14 Procurement

The Delegation of Procurement Authority is a written document and is granted by the Under-Secretary-General DFS to the
DMS/CMS. DMS/CMS sub-delegates this authority to their alternate OIC Administration (to be effective only at those times
when this person serves as OIC Administration in the absence of the CMS/DMS), the Chief Procurement Officer (CPO) and the
mission procurement staff.

Roles and responsibilities

The CPO or a Senior Procurement Officer possessing a Delegation of Procurement Authority should be included in the AT. To
the degree possible, advance planning at UNHQ should take place between the mission and the AT/DFS/Procurement Division
(PD) to determine how the mission’s critical materiel and contract services requirements will be met. A dedicated procurement
team should be established as soon as possible to ensure the mission can obtain the required goods and services needed to
establish the mission. This is a critical function and key to the expansion of the mission and absorption of additional staff. The
team should be appropriately staffed, as inadequate staffing is the primary cause of procurement failure and adverse audit
comments, purely because the size and scope of the workload at mission start-up exceeds the procurement resources available.
During mission start-up, the focus of the Procurement Section is on satisfying immediate operational requirements and on
establishing systems to ensure that requisitioners can request the required goods and services needed to implement the mission
mandate.

Figure 27: Procurement Reporting and Service Responsibilities

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Critical managerial tasks and issues7
Exceptional delegations

In certain circumstances, UNHQ may approve an exceptional Delegation of Procurement Authority to provide some
flexibility, for a limited period of time, to assist the mission in satisfying urgent requirements during start up. The need
for such an instrument should be considered well in advance of deployment and the appropriate senior management
approval is required at the UNHQ level.

Exceptional approval may be given to increase Delegations of Procurement Authority, approve exceptional expenditure
over approved Not-to-Exceed (NTEs) amount on system contracts, increase thresholds for Local Committees on
Contracts (LCCs)/Headquarters Committees on Contracts (HCCs), etc. These arrangements can be very effective in
missions with experienced and qualified procurement and LCC members. Use of exceptional delegations must be
justified and properly documented as they will always attract audit scrutiny.

Designations and written Delegations of Procurement Authority

Caution! Only those persons with a written Delegation of Procurement Authority can enter into a commitment on
behalf of the United Nations for requirements exceeding $2,500 (see direct expenditures below). The Delegation of
Procurement Authority specifies the dollar value threshold up to which the recipient is authorized to commit the
Organization. Anyone who does so or exceeds the thresholds in their Delegation of Procurement Authority is
contravening the financial regulations and rules and can be held personally financially responsible.

Designations: In accordance with the Secretary-General’s bulletin ST/SGB/2005/7, the CMS/DMS/CPO and OIC
Administration/OIC Procurement (if OIC period exceeds one consecutive month) must be “designated” in order to
receive a Delegation of Procurement Authority. Other procurement staff must be technically cleared under the
mission's delegated technical clearance authority or by the Director, Procurement Division, DM, if the staff member’s
position is higher than the mission's delegated technical clearance authority. The mission should liaise, well in
advance, with FPD, who currently initiates the designation process with the Department of Management.

Delegations of Procurement Authority: It is critical to ensure that the written Delegations of Procurement Authority
have been issued and accepted by the following:
- CMS/DMS (from the Under-Secretary-General of DFS)
- The alternate OIC Administration (from CMS/DMS and to be effective only when serving as OIC Administration in
the absence of CMS/DMS)
- CPO and technically cleared procurement staff (from CMS/DMS)

As regards the Delegation of Procurement Authority, certifying or approving functions are not transferable and the staff
member may be held personally liable for any abuse.

Staffing
Work actively to recruit and retain local staff who are bilingual in the host country’s official language and the mission’s
working language. Staff with legal and financial backgrounds are useful, if available, along with those with
procurement experience. Ensure that all incoming international staff can function in the mission’s working language.

Verify importation duty free status

Review what arrangements have been made through SOFA/SOMA or MOU for the importation and purchase of goods
and services on a duty free basis. Governmental entities in-country are often loathe to agree to this arrangement and in
the first weeks of the mission the CPO may find vendors and government officials reluctant to agree to this
requirement. Work with the mission’s Legal Advisor on these issues.

Inform clients of acquisition planning and the procurement process

7
At the time of the publishing of this guide, a proposal was submitted to increase the role of UNLB to assist in the start-up of new missions’
procurements and procurement sections. Separate guidance will be published should this initiative be approved.

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Meet as soon as possible with the clients (SAUs and end users) to ensure that they understand the basic requirements of
the procurement process and the importance of effective acquisition planning in the following order:

1. Acquisition Planning: The SAUs should develop, monitor and update acquisition plans in accordance with the
approved budget to ensure the timely submission of the requisitions to Procurement. The CPO should inform the
SAUs of the basic requirements of the procurement process, such as transparency, competition, advertising and
evaluation. The CPO should advise the clients about the benefits of the use of systems contracts and review
requirements for the short, medium and long term in order to establish local systems contracts, to the degree
possible.
The SAUs should determine if a requirement will be satisfied with existing stocks (SDS, supplied by another
mission, etc.), through an existing systems contract or if new procurement action will be undertaken.
The CPO should provide procurement timelines so that the acquisition plan includes realistic requisition
submission dates for timely procurement and delivery to be completed.

2. Requisitioning: SAUs raise requisitions, obtain approval by Certifying Officer, and send to Budget/Finance for
recording and onward transmission to Procurement. The requisition should identify whether the requirement is
available from an existing systems contract and, if not, it should describe the good/service to be procured using
generic performance oriented specifications and state quantity.

3. Procurement Action: Procurement receives the requisition, undertakes procurement action (with evaluation input
from the client, as required) and provides the client with a copy of the contract/purchase order.

Currently, there are two methods available to the SAUs for obtaining goods/services with a total value of $2,500 or
less. Petty cash – currently up to US$200 – and direct expenditure8 – currently up to US$2,500. The latter should be
used only for urgent and one-time purchases. However, requirements/invoices cannot be split to bypass higher levels of
approval and the SAUs must liaise with Budget/Finance to ensure the funds are available. Although the Finance
Manual provides further guidance on the use of these methods, the CMS/DMS should ensure that procedures are
promulgated for each method at the start of the mission.

In close cooperation with the Chief/Contracts Management (if there is one), review all PD initiated contracts/purchase
orders for goods and services. Among other things, this could affect ground services, fuel, rations, catering and
sometimes water. Work closely with PD to get copies of the contracts and, in particular, note the duration of the
contracts to ensure adequate acquisition planning is considered for ongoing requirements. Where service contracts are
being established, close attention should be paid to how effectively the mobilization is taking place as payment may be
connected to this process.

Procurement IT systems

Ensure the requisitioning and certifying process is in place. Usually, the first servers arriving from UNLB come pre-
loaded with Mercury. If this is not the case, it is crucial to create a manual system for obtaining, tracking and
maintaining records of the appropriate certifications and approvals. The early arrival of Mercury loaded servers is a
priority. All data collected by a manual system must be entered later into Mercury to ensure that the budgeting,
account tracking, procurement and finance systems maintain consistent and accurate data. Budgetary information
should be immediately loaded into the servers to ensure that the account balances between Mercury and SunSystems
are the same. CPO and procurement staff needs functioning IT systems to work effectively and efficiently, including
Mercury and Lotus Notes.

Requisitioning tracking and reporting systems are absolutely essential at mission start-up due to the nature of the
activities (breadth and volume). Therefore, the CPO should ensure that high priority is given the establishment of IT
systems support managed by a procurement-based staff member.

The creation of a centralized email address (i.e., [email protected]) is recommended to ensure

that all procurement activities are accessible by authorized procurement staff. This is also a useful mechanism for

8
At the time of the publishing of this guide, the Field Budget and Finance Division was reviewing the processing of direct expenditures and
was preparing further guidance. Check with the Finance Manual for updated guidance.

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 receipt of informal quotations.

Procurement section set-up and committees

Procurement Tools: Consult with PD, DFS and other missions for standard templates and use the Community of
Practice/Best Practices/UNLB database (under development). Ensure all staff is familiar with the rules, regulations and
procedures of the Procurement Manual that is available on-line.

Issues guidelines on the procurement case file documentation and management and on the creation of the file room and
filing system. Guidelines should stress the requirements for confidentiality of the files, limiting access to the file room
and on tracking the location of the files at all times.

Tender Opening Committee (TOC): CMS/DMS appoints the TOC members and ensures that the appropriate measures
to safeguard the security and confidentiality of the offers received are in place and operating efficiently. Formal offers
are to be directed to TOC and not to Procurement. Security measures may include a dedicated fax machine in a locked
room for the receipt of offers. The initial TOC may have had no previous experience, so the CPO may have the
responsibility for briefing them as to their roles and responsibilities.

Local Committee on Contracts (LCC): CMS/DMS appoints the LCC members. This decision should be undertaken in
close cooperation with UNHQ Headquarters Committee on Contracts (HCC) that is responsible for training and for
issuing guidance. Typically, the Chief Finance Officer (CFO) is the Chairperson. More guidance on the membership
can be found in the Procurement Manual. The CPO may also be called upon to brief new members of the LCC on their
roles and responsibilities

Procurement action

Ensure that all requisitions received by Procurement have been duly authorized by a Certifying Officer and that the
review and recording of the pre-encumbrance by Budget/Finance has been undertaken.

CPO prioritizes requisitions in accordance with immediate needs, such as safety and security, hospital and medical
evacuation services, office space, accommodations, power supply, water and customs clearance. This is done in close
cooperation with SAUs, Finance and the R&I Unit and under the direction of the DMS/CMS. Small initial budgets
may hinder procurement, as there is usually not enough money to cover all of the start-up costs. Therefore, the CPO
should consider putting in place local systems contracts to cover future anticipated needs as the budget becomes
available.

Note on facilities: Remain informed of the progress in the finalization of the SOFA/SOMA, which provides the
framework for access to facilities provided by host government (e.g., free use of facilities and equipment). It is not
always possible to use competitive bidding for leasing facilities, so the CPO should review the applicability of the
exception of dealing with single leasing source allowed under United Nations Financial Rules and Regulations No.
105.16 and the Procurement Manual. The CPO should, however, work closely with the requisitioners to ensure that
leasehold agreements are subjected, where possible, to a technical and financial comparison. Even in the extreme
urgency to commence mission start-up, agreements between landlords and SAU’s/other United Nations staff without
the appropriate delegation of procurement authority are not acceptable, as this contravenes the financial regulations and
rules. Any existing leases agreements should be reviewed with a view to renegotiating them to ensure competitive
terms. Make sure to seek the advice of the mission’s Legal Advisors on these issues.

Although United Nations PD systems contracts should typically be used to the extent possible, there are some cases it
may not be in the interest of the United Nations to use them. The mission must keep in mind that the requirement of
international competitive bidding, to the degree possible, is not waived in a start-up mission; but neither is the need to
receive the goods and services in a timely manner. The CPO and requisitioners must work together to ensure that the
rules, regulations and procedures are met and that there is a technical solution that satisfies the requirement.

Establish which United Nations agencies are operating within the mission area. Work closely with them, PD and other
neighbouring missions to ”piggyback” on their contracts, including international and local systems contracts (security
guards, travel, grounds/cleaning services, stationery supplies, toner cartridges, tires, etc.).

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In some cases, such as procurement that falls under Core Requirements, the mission may need to seek approval from
PD if procurement is not made from an existing systems contract. The mission must ensure that they receive a Local
Procurement Authority from PD for any requirements that exceed their Delegation of Procurement Authority before
commencing procurement activity.

Undertake advertising, to the degree possible, and bidding of the requirements based on the Procurement Manual. The
CPO and staff should undertake market surveys in order to build the local vendor database to be used in addition to
Procurement Division’s existing database of potential vendors. Request neighbouring missions, UNDP and other
UNCT agencies to share vendor databases. Where there are different cultural groups, ethnic minorities, etc., CPO
should be careful that every effort is made to ensure that all groups are solicited, to promote transparency and
competition and to avoid “price-fixing”. Very early in the mission’s existence, it is beneficial to convene “How to do
Business with the UN” seminars for local vendors. If possible, they should be conducted in the local language(s). This
initiative can be very beneficial in terms of creating a competitive pool, educating potential vendors and promoting
vendor confidence in the United Nations procurement activity.

For further guidance consult:

United Nations Procurement Manual, United Nations Peace Operations Guidance Framework (United Nations Peace
Operations Intranet Site: http://intranet.dpko.un.org)

Procurement Section in the Department of Field Support and the Procurement Division in the Department of
Management at http://www.un.org/depts/ptd/

Procurement Community of Practice – to register go to http//:cop.dfs.un.org/

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best
Practices Section at [email protected]

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8.15 Personnel

Roles and responsibilities

The Personnel Section works under the overall authority of DMS/CMS and is headed by the Chief Civilian Personnel Officer
(CCPO). During a mission start-up, the focus of the Personnel Section should be on establishing the internal mission
recruitment process. The Personnel Section plans human resources requirements, manages the recruitment of mission staff,
advises on human resources policies, exercises delegated authority in administering benefits and allowances, and it coordinates
staff-management relations. In particular, the CCPO is responsible for the staff selection process, in accordance with the relevant
Secretariat Administrative Instructions (ST/AIs) and SOPs.

Figure 28: Personnel Reporting and Service Responsibilities

All non-uniformed civilian components in the mission

Initial Operating Capability

The key tasks that, once completed, indicate that the Personnel Section has achieved IOC are the following:

Obtain necessary designations, certifications and delegations of authority for the CCPO.

Ensure human resources IT systems are functioning.

Critical managerial tasks and issues

The critical tasks the Personnel Section should undertake for managing mission start-up are the following:

Planning

Meet with substantive and administrative sides of mission to develop a recruitment strategy and a work plan to meet
recruitment needs, manage expectations and clarify rules and procedures. Base work plan on prioritized recruitment needs,
taking into account political aspects in the mission’s area of operation (e.g., need for balanced representation of locally-
recruited staff from different ethnic, regional and/or political groups).

Immediately establish fully functioning Time and Attendance Unit. The Unit is dedicated to monitoring the attendance and
compensatory time off (CTO) of the United Nations Police, military observers and staff officers.

In the work plan, identify and agree to the following:
o Critical staff to recruit
o Personnel staff to support each section in recruitment

Initial temporary solutions

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Begin recruitment before approval of staffing tables and budgets. Review rosters and identify candidates for TDY (section
chiefs can do this as well).

Review TAM survey of local labour market to assess the availability of candidates with needed skills and languages.

Develop/review proposed staffing table.

Ensure the use of staff and grade levels proposed in budget submission are consistent with United Nations policies.

Establish working relationship with UNCT and assess level of assistance the agencies can provide at start-up (e.g.,
information on local conditions, recruitment of local staff).

Request deployment of Tiger Team and/or delegated recruitment authority from FPD to provide temporary assistance in
filling vacancies.

To avoid delays in permanent post assignment, mission start-ups could use staff members on TDY for the first three months
of activity. This can be very advantageous for the mission; but it must be managed realistically. Disadvantages include risk
of not having successor in place before TDY contract ends and not having enough time/effort dedicated to efficient
handover to eventual successor. Section chiefs ensure continuity for their post and subordinate posts. Provisional placement
is up to a maximum of 90 days, pending the competitive selection process of staff from downsizing or liquidating missions.
TDY is a temporary assignment from a releasing mission, not a contract. Initial TDY staff should usually return to their
parent office after three months in a start-up mission.

Ensure section chiefs on TDY carry out timely and complete handover to their successors. Ensuring TDY presence in
mission for contractually agreed to time does not constitute fulfillment of duty. It is every manager’s professional duty to
ensure efficient continuity for her/his mission post, despite any organizational challenges.

A mission does not have budget for post salaries during mission start-up and only pays Mission Subsistence Allowance
(MSA) to TDY staff from releasing mission.

Permanent post assignment

Priority recruitment is needed for the Chief of the International Staff Unit and Chief of the National Staff Unit (P-3 or FS)
within the Personnel Section and locally-recruited Human Resources Assistants with knowledge of local languages and
official working language(s) of mission.

The process of completing permanent post assignment during mission start-ups can be lengthy. Several factors can increase
delays in definitively filling staffing tables, including, but not limited to, the following:
o Selected staff members sometimes need to settle outstanding issues and hand-over before accepting or being able to
move to start-up mission.
o Releasing missions can have difficulty replacing departing TDY staff member, which can lead to delayed departure to
the start-up mission.

Avoid deploying staff members who have not performed certain managerial or supervisory functions during previous
mission start-ups. The mission start-up process requires seasoned veterans to fill first TDY posts.

Recruit CCPO (P-5/P-4) as soon as possible.

In coordination with FPD, ensure local salary scales, MSA and DSA rates and cycles are established as soon as possible.

Other issues

Establish recruitment procedures for locally-recruited and international staff, including the methods for advertising posts
(newspapers, radio, Internet), receiving applications, testing, interviewing and selection panels.

Establish mechanisms for efficient induction and check-in of personnel.

Establish arrangements for efficient medical clearance of staff upon their recruitment.

Identify training needs of personnel.

Circulate information on major human resources issues to ensure newly recruited personnel are aware of United Nations
standards of conduct, duties and obligations, benefits and entitlements.

Appoint a gender focal point in the section.

Ensure appropriate use of staff categories, such as the following:
o National professional officers (NPOs): NPOs have the same classification/recruitment criteria as professional posts.
Therefore, functions must be equivalent to professional-level functions. As such, ensure the local labour market offers
required skills to fill NPO posts. NPOs should not be used for financial savings. NPOs must either contribute to
national capacity-building (i.e., human rights, political affairs, HIV, gender, DDR) or have skills related to the national
context (e.g., local knowledge of laws, customs, languages or political systems that cannot be provided by international
staff). Examples where NPOs have been used in support functions include conduct and discipline (for understanding
culture and outreach), engineering, air operations (for knowledge of local conditions, laws and liaison with local
authorities), security and medical.

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 o United Nations Volunteers (UNV): UNVs cannot supervise United Nations staff members, whether international or
national. UNVs cannot hold fiduciary responsibilities or hold positions with procurement functions.
o Locally-recruited staff: Locally-recruited staff who serve at the General Services level primarily perform support
functions.
o Independent contractors (ICs).

For further guidance consult:

DPKO/DFS Human Resources Handbook

DPKO/DFS SOPs on recruitment, selection and on-boarding of staff for field missions

OHRM Handbook

General Assembly resolution 63/250 (on human resources reform) and 47/226 30 April 1993 (on the goal of reaching 50-
50 gender balance)

Field Personnel Division in the Department of Field Support

Human Resources Community of Practice (including all mission AIs) – to register go to http://cop.dfs.un.org/

United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.16 Medical Services

Roles and responsibilities

During mission start-up, the focus of the Medical Services Section is on establishing appropriate medical facilities and services
for arriving civilian staff members, national staff and uniformed non-contingent personnel.

Figure 29: Medical Services Reporting and Service Responsibilities

Critical tasks and issues

The critical tasks the Medical Service Section should undertake for managing mission start-up (set-out in three phases) are as
follows:
Immediate phase (first 30 days)

Find suitable facilities and set up a basic treatment unit (in a central location, office/room with communications, power,
water, etc.) and draw up a duty roster for medical health coverage of deployed personnel, taking into account the different
needs of women and men.

Ensure advance party members have personal medical kits and that the medical team has first aid kit(s) and trauma bag(s).

Establish liaison or contact with local medical facilities and immediately initiate arrangements for support, including
laboratory and dental services (through letters, LOA or MOU).

Clearly define and establish Casevac/Medevac arrangements locally with existing resources in the host country and, if
available, establish arrangements for assistance from regional United Nations missions.

Identify sources and establish contacts with local suppliers for drugs and medical consumables.

Conduct pre-deployment medical briefs and health education for the AT (based on the epidemiology of the mission area).

Ensure all personnel are well informed, through briefings and guidelines, about health and hygiene issues in the mission
area.

Carry out education on stress management, stress intervention and stress debriefing after service, as necessary.

Mid – term phase (30 to 90 days)

Arrange reception of SDS medical stores and equipments (R&I) and the establishment of the Level 1 facility.

In conjunction with the COE team, verify the arrival of TCC medical equipments/stores, and ensure they meet the United
Nations standards for adequate pharmaceuticals for 60 days.

Identify deployment location(s) of TCC medical facilities. Establish arrangements for medical support for civilian mission
staff in regions/sectors (especially Level 2 health care, if available), including basic supply for female staff.

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Based on survey conducted by UNHQ Medical Services Division, establish MOUs for Level 3/4 support from local
hospitals, where available, and in neighbouring countries. Work in consultation with regional United Nations missions, if
appropriate.

Recruit medical staff, both local and international, to fill vacant positions.

Conduct initial medical exams for national staff being recruited.

Conduct medical briefing and health education updates for the entire mission.

Clarify the distinctive roles and responsibilities of the Chief Medical Officer (CMO) and Force Medical Officer (FMO),
upon arrival of FMO to the mission area.

Clarify the DMS/CMS control over Force Medical Services, in accordance with existing guidance from UNHQ.

Long-term phase (beyond 90 days)

Establish the additional or peripheral capabilities necessary to fully establish UNOE Level 1 facilities.

Finalize arrangements for strategic Aero-medical Evacuation (AME) and contracts for Levels 3/4 out of mission medical
support.

Finalize arrangements for TCC medical support (referral of patients and AME), when TCC assets are being utilized.

Conduct regular planned visits to mission medical facilities for assessments and evaluations, and provide medical education
and briefs on health risk to all staff.

Monitor environmental health care or public health care in order to prevent infections.

Staffing

The CMO/FMO is one of the first managers to arrive in the mission area (during first or second week of mission start-up).
He/she should be joined by the Head Nurse, Pharmacist and Administrative Officer, within the first two weeks.

Post that should handled under accelerated recruitment at the outset include: Head Nurse, Pharmacist, Assistant,
Administrative Officer and Deputy CMO; and for sectors: one P-3 Medical Officer, one UNV Medical Officer and one
national Medical Officer (taking gender balance into account).

Conduct national staff entry medical examinations.

For further guidance consult:

On medical support in peacekeeping operations, 5000 series of United Nations Peace Operations Guidance Framework.
(United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org.)

UNHQ Medical Services Division for technical support

Communities of Practice (accessible through Lotus Notes)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.17 General Services

Roles and responsibilities

During mission start-up, the focus of General Services is on coordinating administrative assistance functions, such as travel,
records management and diplomatic pouch management.

Figure 30: General Services Reporting and Service Responsibilities

Critical managerial tasks and issues

The critical tasks the General Services Section should undertake for managing mission start-up are the following:
Planning

Participation on the LCC will be a major aspect of the Chief of General Services agenda during the initial start-up period.

Also, supervise timely and efficient implementation of the following tasks:

Records management:
- Implement Peacekeeping File Classification Scheme in all mission business units.
- Establish a mission records centre to manage semi-active files of substantive and administrative business units, ensuring
that the centre has basic environmental controls.

Travel
- Draft ToR for travel service contracts, in collaboration with the Procurement Section.
- Establish one or several travel service contracts, in collaboration with the Procurement Section.

Mail and pouch:

- Establish contract for diplomatic pouch operations.

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 - Work with military components on establishing military entitlements to mail services.
- Establish contract for shipping military mail and budget for this, in advance. An average military mail shipping contract
can cost up to $500,000 a year.
- Establish messenger/courier service for MHQ.
- Ensure that receipt system is in place for diplomatic mail into mission regions. Establish a clear chain of custody of
diplomatic mail. Deploy reliable staff to regions to handle such General Services responsibilities. (These posts are very
important, but are often neglected in planning budgets. This means the Regional Administrative Office assistants are
often mandated to handle these tasks, part-time.)
- Establish contracts for cleaning services, and waste and trash collection.
- Establish contracts for translation and conference services.
- Establish contracts for ground maintenance.

Budgeting

Anticipate full cost of military mail shipping contract.

Budget for regional General Services posts that can act as custodians for diplomatic mail.

Establish a standing arrangement with the host government for the use of a morgue.

Budget for repatriation of remains.

Recruitment

Identify and recruit experienced a Travel Management Officer, with skills in drafting ToR for travel service contracts and
daily management of travel services.

Identify and recruit an experienced Records Manager.

Identify and recruit an experienced Mail and Pouch Service Manager. Anticipate the need for regional General Services
posts that can act as custodians for diplomatic mail.
For further guidance consult:

On field operations support of General Services, 5000 Series of United Nations Peace Operations Guidance Framework
(United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.18 United Nations Volunteers (UNV)

Background on UNV involvement in United Nations missions

UNV volunteers have been serving in United Nations missions since 1992. They complement DPKO/DFS and the Department
of Political Affairs (DPA) field operations supported by DFS, including post-conflict elections under the auspices of Electoral
Assistance Division (EAD)/DPA.

UNV participation in United Nations missions is, among other things, intended to achieve the following:
• Showcase the importance of volunteerism in achieving sustainable peace.
• Contribute to social cohesion, community confidence, local capacity-building and the “light footprint” approach.
• Provide ad hoc functions or skills that are not normally available in the Secretariat.
• Open United Nations missions to non-traditional staffing and add to the diversity of civilian staff components, particularly
by engaging interested “global citizens” who are eager to share some of their time and expertise.

The collaboration with UNV was cemented in a global MOU signed between DPKO/DFS and UNDP (on behalf of UNV) in
November 2003. This MOU, together with the UNV volunteers Conditions of Service, govern the involvement of UNV in
United Nations missions, in addition to DFS/DPKO/DPA- or mission-specific instructions that apply to all mission-associated
personnel (e.g., codes of conduct, non-family status of missions, MOSS). The MOU and Conditions of Service are subject to
periodic updates and amendments.

Profiles of UNV volunteers

Most UNV volunteers are internationals, who are usually recruited from their home country. A UNV can, in exceptional cases,
be recruited locally, as long as they comply with UNV’s minimum criteria regarding age, education and experience; are properly
cleared and rostered by UNV headquarters for ToR in question; and are competitively selected for the position in question.
Furthermore, there is a growing tendency to recruit national UNV who serve in their own country alongside internationals.
During the planning stage of a mission, a proper balance between international and national UNV should be sought.

The general profile of a UNV volunteer serving with a United Nations mission is that of a mid-career professional, on average
39 years old, with a higher education and 10 years or more of specialized working experience and, often, with a family.

UNV volunteers are not United Nations staff members. They receive a package of volunteer allowances to cover all the costs
related to their participation in United Nations missions. The duration of contracts of UNV volunteers serving with missions
usually follows either the mandate or the budgetary cycle of the mission (i.e., usually short-term six-month contracts that are
renewable). UNV contracts and extensions are administered by UNV headquarters and are subject to the terms of the mission
mandate and/or actual mission requirements as well as the availability of funds for the contract period. Ad hoc contract durations
at the request of a UNV or his/her direct supervisor or section chief are not accommodated.

UNV volunteers are recruited in accordance with the mission’s mandate and approved staffing table (i.e., taking into account
authorized strength per section/division and the mission, as a whole, as well as functional titles as designated in the staffing
table), which is reflected in an Exchange of Letters (EOL) agreed to by DFS and UNV for each budgetary cycle or amendment.
The professional profiles and number of UNV in any given mission is decided on the basis of the mission’s mandate, its overall
structure and operational requirements.

UNV volunteers serve in the civilian pillar of United Nations missions and can be employed in over 100 professional categories,
in the following areas:

• Substantive (e.g., child protection, civil affairs, DDR, gender, human rights, legal and judicial, political affairs, public
information, recovery, return and re-integration, rule of law, SSR)
• Electoral (e.g., general coordination and/or administration, logistics, civic/voter education)
• Technical mission support (e.g., aviation, camp management, CITS, COE, engineering, fuel and rations, logistics,
MOVCON, supply, transport)
• Administrative (e.g., budget, contracts management, finance, general services, personnel, procurement, training)
• Medical (including staff counselling).

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Involvement of UNV in mission planning
Whenever a UNV component is envisaged for new missions, it is essential that the UNV Programme be involved in UNV
staffing preparation and planning at the earliest possible stage, including in TAMs or other reconnaissance exercises. This will
guarantee optimal and realistic UNV staffing, for instance where internationals or national can/should be used, or in terms of
profiles or expertise UNV can or cannot provide (e.g., areas of expertise may exist on the UNV roster that do not exist in
Galaxy/Nucleus; conversely, UNV may be limited in providing expertise in certain areas, such as security).

UNV Programme Manager and UNV Support Office

Throughout the lifecycle of a United Nations mission, including during mission start-up, a UNV Support Office embedded
within the mission is responsible for managing the mission’s UNV component. The UNV Support Office is headed by a UNV
Programme Manager. The establishment and composition of a UNV Support Office will depend, in each case, on the complexity
and size of the UNV’s role within the mission.

• UNV Programme Manager: The UNV Programme Manager is part of the group of administrative section chiefs and
should be included in relevant administrative, security and other managerial meetings. The Programme Manager falls under
the authority of DMS/CMS, although, in some cases, DMS/CMS may delegate day-to-day routine reporting to the Chief
Administrative Services (CAS). The identification and recruitment of the UNV Programme Manager is the responsibility of
UNV headquarters. The Programme Manager will be deployed (following clearance by the mission’s administration) as
soon as requested by DFS or the mission. Ideally, this should happen only when the EOL pertaining to the operation has
been signed. However, exceptions to this rule have been made in order not to jeopardize operations. Such request should be
sent well before the first UNV volunteer is expected to be deployed to the mission. The selection and recruitment of the
Programme Manager usually takes three to four weeks. The Programme Manager should be on board several weeks prior to
the first UNV deployment in order to establish the UNV Support Office, clarify administrative and finance processes and
entitlements, initiate and manage priority selections and recruitments, prepare country-specific information and briefings,
anticipate accommodation issues, etc.

• UNV Support Office: The UNV Support Office is a service provider to the mission, as a whole, and to specific sections
and divisions of the mission. As such, the Office carries out all human resources functions for the mission’s UNV
component, including selection and recruitment, post management, issuance of contracts and contract extensions, leave
monitoring, field deployment, and initial and continuous briefings. This also includes involvement of the UNV Programme
Manager in the annual budget exercise. Particularly critical human resources functions during mission start-up include the
identification and recruitment of the most urgently needed UNV positions, in consultation with respective section/division
chiefs. This entails careful drafting of ToRs, planning recruitment travel and reception/initial accommodation as well as
reconnaissance and preparation of the work site/office where the volunteer(s) will be fielded.

The UNV Support Office is also a service provider to UNV volunteers serving with the mission, both individually and as a
group. The Support Office carries out support functions, such as ensuring timely payment of allowances (in close
collaboration with the mission’s Finance Section), counselling, ensuring UNV recognition and visibility through public
information activities (including newsletters), organizing welfare activities and continuous learning activities. Particularly
critical support functions during mission start-up include identification of appropriate UNV accommodation (e.g.,
identification of security-cleared commercial hotels and negotiating rates; establishment of listings of potential landlords
and accommodation for long-term rent; negotiating with the mission’s administration to make available containers, transit
camps or other lodging; or, as a last resort, setting up a UNV guesthouse with support from the mission). Additional work
of the Office includes design of pre- and post-deployment briefings (both in writing and for group presentations).

Additionally, as the UNV Programme’s mandate is to promote the idea of volunteerism as a force for sustainable peace and
development, the UNV Support Office also carries out volunteer activities. Participation in such volunteer, charity or
community activities is an integral part of UNV volunteers’ ToRs, and many missions have, in the past, lent concrete
support to such initiatives (even though this may not always be easy in start-up environments).

During mission start-up, adequate logistical support is expected from the mission in order to get the UNV Support Office up
and running as soon as possible (i.e., office space, furniture, computer and communications equipment and connections,
transportation, possible recruitment of national staff). UNV often play essential support roles during mission start-up and
usually come on board more quickly than United Nations staff. A UNV Support Office that is sufficiently equipped and
established to assume its recruitment tasks can make a significant contribution to the success of mission start-up.

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Selection and recruitment principles and processes

The recruitment of UNV volunteers is the sole prerogative and responsibility of the UNV Programme. The UNV Programme
receives approximately 40,000 applications per year, which allows it to be highly selective. The UNV roster, on which every
UNV candidate must be registered, currently includes more than 6,000 qualified candidates. The recruitment period of UNV
volunteers is relatively short: approximately two to three weeks (or less, if required) for humanitarian and crisis-related
assignments and four to six weeks for regular deployment.

• ToR need to be provided for each UNV position according to a standard format that specifies the assignment details
(including length of assignment and duty station, if possible), description of duties, required qualifications and professional
expertise as well as technical and language skills. As UNV volunteers are not United Nations staff members, responsibilities
included in the ToR should not include those that are restricted to United Nations staff, such as financial decision-making or
acting as Certifying Officer or an armed security officer. It is advisable not to resort to generic ToRs or functional titles, but
to reflect, as precisely as possible, the nature and requirements of the assignment. The UNV Programme Manager can assist
section chiefs in drafting ToRs. The UNV Programme will review the ToR ensuring the inclusion of volunteerism for peace
and development.
• Requests for CVs of appropriate candidates must be sent to the UNV Programme Manager, together with the ToR. The
request can contain additional requirements with regard to the preferred profile of candidates (e.g., to ensure proper gender
balance and geographical distribution within the section in question).
• Missions should refrain from submitting individuals internally known to the organization for recruitment by UNV and
should respect a transparent and competitive selection process. Under no circumstances will UNV entertain candidates
identified by the mission outside the normal recruitment channels, unless under exceptional circumstances where UNV is
unable to identify an appropriate candidate.
• Based on the information contained in the request and ToR, UNV will identify, preselect and submit at least three potential
candidates per vacant position to be forwarded to the mission for final selection.
• Before making a selection, it is highly advisable that the section carries out a technical interview with each of the
candidates. The section should inform the UNV Programme Manager of the selection of the candidates in order of
preference.
• If warranted (e.g., given time constraints) and requested, UNV can clear candidates on behalf of the mission.
• The actual recruitment of the selected candidates by UNV headquarters will be subject to such requirements as a written
acceptance by the candidate, a positive pre-departure interview (i.e., on top of earlier rostering and technical interviews to
ensure strong motivation and volunteering aspects of assignment), medical and government clearance (e.g., exit visa,
military/civil service requirements).
• The UNV Programme Manager will inform the receiving mission of the estimated arrival of the candidate. The UNV
Programme Manager will arrange for security clearance and entry/permanent visas for incoming UNV volunteers, with
support from the mission.
• Upon arrival in the mission area, the UNV Programme Manager arranges all arrival, check-in, orientation, administrative
and introductory matters, both in the framework of a UNV-specific induction as well as part of the mission induction. UNV
volunteers must also be properly briefed and trained, as appropriate, by their respective section prior to taking up their
functions. A UNV ID card will be issued in addition to a mission badge/ID. The UNV ID should be designed not to over-
emphasize UNV status that is a contractual issue which does not affect UNV competencies or qualifications.
• Sections must give top priority to designating duty stations, to making facilities in the sectors available and operational and
to deploying UNV volunteers to their final duty station as soon as possible upon arrival to the mission area. If this is not
possible, UNV volunteers should be employed at the MHQ and be officially based there until deployment becomes
possible. UNV volunteers can, during the course of their assignment, be transferred to another duty station within the
mission area where their services are most needed, provided sufficient notice is given to the volunteer(s) in question and the
financial implications of such a move for the volunteer(s) are taken into due consideration.

Miscellaneous issues

• Direction: UNV volunteers must at all times be under the overall direction and substantive supervision of the mission and
perform their functions under the authority of, and in full compliance with, the instructions of DPKO/DFS or the mission
and any person acting on DPKO/DFS’s behalf.
• Managerial duties: UNV volunteers may exercise managerial duties in exceptional situations when, by virtue of their
function and location, they have responsibility for staff members who provide direct support to them, such as when they act

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 as Officer-in-Charge of a section, are designated as head of an office or unit, are supervising national and/or international
United Nations staff, are contributing to performance appraisals for such staff or are managing UNOE and assets. In such
cases, however, the mission must retain general oversight and direction. Additionally, an international staff member of the
mission, even when stationed in another mission location, will maintain supervisory responsibility and monitor the good
exercise of such managerial duties.
• Absence of direct supervisor: The above includes situations which frequently occur in start-up environments, when UNV
volunteer(s) arrive prior to the United Nations staff who are supposed to supervise them. In such cases, United Nations staff
at the next hierarchical level must provide guidance and supervision to the UNV volunteer(s). For example, in the absence
of a Supply Officer who would normally supervise a UNV Warehouse Manager, the latter should be supervised directly by
the Office Administrator in the respective sector or by the Chief Supply Officer when the UNV position is based at the
MHQ. The same is true for substantive UNV positions. In the absence, for instance, of a Chief Gender Advisor, a UNV
Gender Officer may fall under the direct supervision of a DSRSG.
• Equipment: The mission will provide and maintain all office, transportation, communication and related equipment,
materials and other facilities that may be necessary for the UNV volunteers to accomplish their tasks within their area of
operation. The mission will determine the levels of material resources necessary for the UNV volunteers to perform their
functions and will provide these from the resources of the mission. Equipment-to-staff ratios will apply to UNV volunteers
in the same way as they do to international civilian mission staff.
• Assets: In accordance with the applicable United Nations rules and regulations regarding accountability for UNOE, a
distinction shall be made between individual or actual user equipment and multi-user equipment that may be assigned to the
UNV volunteer. Assignment of multi-user equipment to a UNV volunteer will only be made on an exceptional basis where
there is an absence of a pertinent international staff member at the duty station.
• Official travel within the mission area: A travel allowance must be paid for each over-night stay outside of the duty
station. Such travel entitlement should be identical to the internal travel allowances that United Nations staff receive for the
same travel. However, if inadequate, the UNV Programme Manager may propose an alternative arrangement to the CFO,
for approval by the CAS or CMS/DMS. Regardless of the arrangement for the travel allowance, volunteer living allowance
(VLA) will continue to be paid in full during official travel.
• MORSS: Residential security entitlements are reimbursed to UNV volunteers at 100 per cent.
• HDSS: Hazard pay for UNV volunteers is paid at a different rate and based on a different mode of calculation than is the
case for United Nations staff, namely on the basis of full calendar months. (See art. 13.1.3 UNV COS on amount of HDSS
and method of payment.)
• Coordination of rules and entitlements: The UNV Support Office should liaise with the human resources section, on a
regular basis, in order to ensure that similar rules and processes (e.g., pertaining to leave monitoring, including R&R, or
verification of travel) are similarly interpreted and applied.

For further guidance consult:

• Nearest UNV Support Office or UNV headquarters in Bonn, Germany

• For contacts and other information, UNV website at www.unvolunteers.org
• On field operations support of the United Nations Volunteer programme, 5000 Series of United Nations Peace Operations
Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org
• Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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8.19 Integrated Mission Training Cell (IMTC)

Roles and responsibilities

The Integrated Mission Training Cell (IMTC) is responsible for providing training services to the mission’s peacekeeping
personnel (civilian, police and military) and the UNCT, where applicable. This is achieved through identifying mission training
needs and by planning, developing, organizing, implementing and evaluating mission training programmes to improve overall
staff performance and aid the implementation of the mandate.

The Chief of IMTC is a civilian training officer who is responsible for coordinating the mission training program which is done
in collaboration with the IMTC military and police Training Officers. The Chief/IMTC may report to CAS, DMS/CMS or to
COS and maintains a technical reporting line to the Integrated Training Service of DPKO. Heads of the military and police
components in the mission continue to exercise United Nations operational control over their respective Training Officers in the
IMTC.

IMTC staff take an integrated approach to training and share joint responsibility for the mission training program. IMTC is
responsible for the production of a consolidated annual training plan for the mission that ensures the coordination of training
between all mission units and components, thus preventing unnecessary duplication. Chief/IMTC manages the training budget
and the annual training plan.

Mission-specific induction training and Rapid Deployment Training Teams (RDTT)

Mission-specific induction training is a key deliverable presented as soon as personnel begin arriving in the mission area and,
therefore, it is a priority during the mission start-up process. Where a start-up mission lacks IOC for training, it can request ITS
to provide a RDTT. RDTT is part of the ITS training support during the initial deployment phase of a new United Nations
peacekeeping mission.

The RDTT will help to establish an IMTC, initial training capacity, and/or transition training in the case of transition from a
regional organization to a United Nations mission. The RDTT will deploy for the required time with the necessary training aids
and materials to support the specific training needs of the mission start-up phase and the establishment of the IMTC. To ensure
that the training needs of a new mission are met, DPKO will participate in the mission planning process and evaluate the
possible uses of the Training Rapid Deployment Team undertaken to establish an early and efficient training capacity for the
mission.

Initial Operating Capacity

The key tasks that, once completed, indicate that the IMTC has achieved IOC are as follows:

Chief of the IMTC and at least two Trainers and two Administrative Officers have been deployed.

IMTC is conducting a mission –specific induction course for all incoming personnel (civilian, military and police)
immediately upon their arrival.

IMTC office and instructional facilities for military, police and civilian trainers are co-located.

Dedicated training room with a capacity of at least 30 is at the disposal of the IMTC.

IMTC is managing and implementing the training budget, in conjunction with the Budget Officer.

Preliminary Training Needs Assessment (TNA) has been conducted by the IMTC.

IMTC has access to and is using the e-TMS, a training tracking system developed by UNLB.

Critical managerial tasks and issues

The critical tasks the IMTC should undertake for managing mission start-up are the following:

Planning

Conduct a preliminary TNA. The next stage is to develop a mission training plan that is based on this TNA, taking into
account gender equality and acting within the constraints of the training budget of the mission established at UNHQ during
the mission planning process.

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Develop a plan of what the IMTC will require in terms of facilities (e.g., training rooms) and equipment once the mission
enters the mandate implementation stage and is at full-strength. The Chief/IMTC should then coordinate with the
O/DMS/CMS and JLOC to ensure that these facility and equipment requirements are included in the plans of the
DMS/CMS.

Recruitment

Establishing a recruitment plan with the CCPO. Recruitment should focus on staffing the IMTC with a combination of
Training Officers and Administrative Officers (taking into account the principle of gender balance) to allow for the
immediate coordination and delivery of induction training.

Budget

Coordinate with the Budget Officer to enable the Chief/IMTC to start managing the mission training budget. At a minimum,
she/he should be tracking all expenditure of the training budget and be notified whenever funds are spent.

Other tasks

Gain access to e-TMS and track all training. If e-TMS is not yet in place, the IMTC should contact DPKO/ITS to begin the
process for gaining access. In the interim, the IMTC must, at a minimum, track who has attended induction.

For further guidance consult:

Peacekeeping Training Community of Practice – to register go to http://cop.dfs.un.org/

Integrated Training Section at the Department for Peacekeeping Operations

United Nations peacekeeping training website at http://intranet.dpko.un.org/dpko/pages/WebPageDetail.aspx?pageid=342

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9. Substantive Components

9.1 Political Affairs

Roles and responsibilities

The Political Affairs Office (PAO) provides a critical role in early assessments and situational awareness of the mission’s
political environment to the SRSG/HOM and the mission’s senior leadership.

As such, the key tasks of Political Affairs may include the following:
• Analysis/reporting/strategizing: Providing regular updates for target groups at MHQ, in the UNCT and
representatives of Member States based in the country.
• Advocacy: Advocate for good practices. Advise senior management, and advise authorities at the local level.
• Mediation: Support national reconciliation by preparing the ground for higher level mediation exercises.

PAO also makes recommendations on the design and implementation of the political elements of the mission concept and ISF.
PAO should be established as soon as possible to undertake detailed political analysis and planning. The role of the PAO is
especially critical in the start-up phase of a peacekeeping operation if a finalized peace agreement is not in place or if a long-
term political transition is under way.

Initial Operating Capability

The key tasks that, once completed, indicate that PAO has achieved IOC are the following:

High-quality political analysis under way. Reporting and analysis shared with joint mission structures.

Initial analytical products completed.

Monitoring system for peace process implementation set up and working.

Priority political information requirements received from mission leadership and collection efforts to meet these
requirements begun.

Substantive contributions to mission planning process have occurred.

PAO work plan approved and initial implementation begun.

Substantive contributions being made to the mission’s integrated analytical products, through JMAC.

Network of political contacts established and expanding.

Component’s RBB generated and submitted.

Critical tasks in preparation for mandate implementation

The critical start-up tasks PAO should undertake preparing for mission operations are the following:

Ensure mission is either involved in or fully aware of any ongoing political and peace negotiations or processes.

Develop, in consultation with other relevant components, a political strategy on political end state/exit strategy for the
United Nations.

Offer advice to SRSG/HOM on critical aspects of the mission implementation plan, the political environment and political
strategy.

Provide leadership to incoming Political Affairs Officers and guidance on United Nations principles, including, impartiality,
in dealing with political interlocutors and facilitating inclusive dialogue that engages all stakeholders.

Engage in conflict mediation between actors in the peace process.

Engage with experienced UNCT members to make use of their local knowledge and contacts, including with women’s
organizations.

Develop monitoring system for implementation of any political or peace agreement related to mission mandate.

Loan staff to JMAC as soon as enough PAO staff are available.

Initiate forum between PAO, DMS/CMS and the Human Rights Office to share information and coordinate activities at
MHQ level, especially if there is no FO structure.

Critical tasks: mission management

The critical tasks that the Head of PAO (HOPAO) should undertake, at the direction of the SRSG/HOM, in managing mission
start-up are the following:
Planning

Generate PAO work plan within the context of United Nations mission implementation plan.

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Request/ensure clear divisions of labour between PAO and other substantive components, such as civil affairs and human
rights.

As a priority during start-up, conceptualize, plan and establish new political institutions under transitional administration
mandate.

Provide advice to SRSG/HOM as part of review and validation of the draft integrated strategic framework, and provide
political oversight for IMPP.

Budgeting

Obtain guidance from DMS/CMS and produce RBB submission, as per direction of mission COS, to ensure sufficient
resources. In particular, hold detailed discussions as soon as possible with Budget Officers and General Services on any
resources needed for hosting conferences, workshops, etc.

Discuss with relevant components (including administration, logistics and personnel) the likely nature of support required
for political process (e.g., special flights).

Recruitment

Ensure PAO is made fully aware of recruitment procedures by CAS and CCPO as well as by Tiger Team, if present.
Request a full list of all candidates, not just the shortlist.

Ensure that a recruitment plan is developed with clear targets for advancing the goal of achieving gender balance, in line
with organizational commitments.

Ensure PAO staff have relevant country knowledge and language skills.

Enlist help of DPKO/DPA at UNHQ to identify potential candidates with the necessary, requisite skills, especially Political
Affairs Officers involved in integrated mission task force (IMTF) or the IMPP, to help with transfer of operational and
planning responsibility from UNHQ to the new mission.

When selecting Political Affairs Officers, it is important to strike a balance between people from the region who bring
strong understanding of regional issues but may have their own agenda (something inevitable), with people who have no
regional attachment but possess the needed skills. Political Affairs Officers tend to be civil servants/diplomats who have
good analytical skills. The mission should also look for profiles of former politicians/party activists because of their
understanding of the political process. However, people with this profile are difficult to find.

Be prepared for lengthy recruitment process (in relation to other units) because of the specialized skills needed for Political
Affairs Officers.

Other issues

Assume lead role in political reporting to UNHQ, and establish coordination mechanism for compiling necessary inputs
from other mission components, including the use of sex-disaggregated data in all reporting. Establish a small reporting
team to ensure timely and quality reporting, especially in the form of code cables.

Establish effective channels of communication and relationships with parent Integrated Operations Team (IOT) within
DPKO/Office of Operations.

Devise effective PAO handover or storage processes to safeguard important and unique institutional knowledge for the
benefit of future PAOs and the mission as a whole.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations of Political Affairs, 4000 Series of the United Nations Peace Operations Guidance Framework

United Nations Peacekeeping Operations Principles and Guidelines, 1000 Series of United Nations Peace Operations
Guidance Framework

Draft Guidelines for Political Affairs Officers to support implementation of Security Council Resolution 1325 (2000) on
women, peace and security

DPKO/DFS Situation Centre via front office email: [email protected]

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.2 Public Information

Roles and responsibilities

The Public Information Office (PIO) of a peacekeeping operation is responsible for communicating to key target audiences and
stakeholders on behalf of the mission, for managing the operation’s media relations and crisis communications activities and for
formulating and implementing the mission communications strategy.

The main objectives of the communications strategy are the effective promotion, explanation and implementation of the mission
mandate. The communications plan will outline measures to target audiences, generate and disseminate key messages, assess
and determine specific communications tools and tactics, effectively promote media relations through regular press briefings and
outreach activities as well as the production and dissemination of public information material. PIO is also responsible for
monitoring local and international media and for the design, generation, implementation and maintenance of communications
platforms to transmit mission messages.

The role of PIO is especially critical during the start-up phase of a peacekeeping operation, as this is when the host population’s
expectations and uncertainties are high. During start-up, PIO helps build consent for the mission and its work. PIO informs the
population about and builds support for the peace process. It also informs international stakeholders about mission progress and
provides the mission with a public voice, especially in crisis communications situations.

The Chief of PIO (Chief/PIO) formulates the mission public information strategy, in close consultation with relevant senior
mission officials and UNHQ mission planners, while also supervising its implementation. The Chief/PIO is a senior official on
mission and should attend MLT meetings as a full member. The Chief/PIO ensures that information products reach and are
understood by target audiences. Chief/PIO advises mission officials and relevant offices at UNHQ on the trends and the
developments in the media and on potential public relations crises or challenges. Chief/PIO serves as the primary adviser to the
SRSG/HOM and MLT on issues related to public and media relations and on local and global perceptions of the mission.

The Chief/PIO may have a counterpart in the mission’s uniformed services command. They should work closely on the
mission’s communications strategy(s) and on outreach. Mission military and police command structures are encouraged to
include Public Information Officers, as appropriate.

UNHQ may dispatch an AT to the mission area preceding formal approval of the mandate of a new peacekeeping operation.
UNHQ planners or, at the very latest, the TAM should formulate recommendations regarding the AT, including on budgetary
resources. The Team should, at a minimum, include one Senior Public Information Officer (preferably the Chief/PIO or the
Spokesperson of the future mission) and one Resources Management and Planning Officer. If there are plans to set up a mission
radio station, the AT should also include a Broadcast Technology Officer. The AT should use local contractors for services, such
as photography, video, radio production and translation.

Minimum equipment requirements during this period include basic communications equipment needed to establish the mission’s
public personality. Other equipment might include a mobile broadcast unit, depending on decisions taken by early mission
planners. Budgetary provisions should cover staff costs; costs of equipment to be deployed (including transportation charges);
preliminary public information activities, such as radio announcements, newspaper advertising, leaflets and other publicity; and
rental of equipment and services, including photo and video coverage.

Prior to the start of the mandate, the AT should be augmented by the early deployment of personnel to form a core public
information team. The core team should be operational by day one of the mandate. Responsible offices at UNHQ should be able
to rely on a core team including the Chief/PIO, the Spokesperson, a Resources Management and Planning Officer, radio and
video personnel, a Photographer and an Outreach and Advocacy Officer.

Initial Operating Capability

The key tasks that, once completed, indicate that PIO has achieved IOC are as follows:

Chief/PIO and/or Spokesperson in place with interpretation/translation local staff on board. International and national Press
Officers recruited, as necessary.

Contact information distributed.

Regular press briefing schedule established.

Media monitoring in place and circulated daily to SMG and UNHQ relevant offices.

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Public information strategy completed and agreed to by MLT and SRSG/HOM.

Initial activities planned and/or under way to explain mission mandate activity and manage expectations of target audiences.

PIO work plan in place, budgeted and being implemented.

As a SAU, specialist public information supplies planned for and budgeted. Support units notified of requirements beyond
standard mission office supply ratios.

Initial production component in place, with primary staff on board. Where appropriate, essential media/broadcast
authorizations obtained from host authorities and infrastructure procured or shipped from SDS. Needed public information
equipment (e.g., broadcast equipment) budgeted, procured and/or deployed from UNLB.

Adequate staff on the ground to implement public information strategy (e.g., each FO has Professional staff member in
place with support staff and basic operational equipment).

Regular liaison ongoing with all components to coordinate public information priorities with overall mission
communication strategy.

Mission Internet site established, in collaboration with ICTD and the Department of Public Information (DPI) using CMS
template.

If strategy includes a stand-alone radio operation, follow-up SOFA/SOMA negotiations on radio licences and frequencies
complete. Alternative strategies (i.e., arrangements with local broadcasters) are developed in case the set-up of radio station
is delayed.

Critical managerial tasks and issues

The critical tasks the Chief/PIO should undertake, at the direction of the SRSG/HOM, for managing mission start-up are the
following:

Planning

Review mission plan for key events that might need public information support (especially related to sexual and gender-
based violence and protection of women and girls) and may involve the adjustment of senior engagement or resource levels,
factoring in lead times for information campaigns.

Anticipate early public relations challenges and negative perceptions of mission during start-up months, including those
related to non-signatories to the peace agreement, acquisition of land and property for MHQ, arrival of vehicle fleet,
behaviour of personnel, etc.

With SRSG/HOM, develop public information strategy, including, but not limited to, the following aspects:

Identify target audiences, such as local and international media, parties to conflict, civil society groups and
organizations, local opinion makers, key Member States, NGOs, donors and mission personnel.

Identify and develop key messages that support mission priorities and operational objectives and that manage
expectations.

Identify the best delivery system to reach each target audience (i.e., local/international media, radio, television, print,
theatre, town criers, SMS).

Share public information/media strategy with all senior mission officials, particularly mission support, military and
police components and relevant units at UNHQ.

Establish regular press briefings and contacts with key media.

Advise on public information-related requirements (e.g., broadcast frequencies) to be included in SOMA.

Develop work plan that includes staff deployment timelines, equipment requirements (including radio and/or video
production, broadcast facilities and equipment).

Draft budgets and staffing tables for personnel.

Encourage all offices, in developing work plans and budgets, to consider need for public information message to support
activity as well as possible negative public relations consequences of any planned activity.

Ensure close working relationship with Public Information Officers in the police and military components as well as with
Public Information sections within UNCT. Clarify that the civilian PIO/Spokesperson takes the lead to ensure consistency
on public messaging.

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Budgeting

Work closely with mission CITS to ensure that sufficient equipment is budgeted for and can be procured for both MHQ and
FOs. Additional specialized equipment might include mobile broadcast unit, depending on decisions of early mission
planners.

To avoid lengthy procurement processes, contact relevant units (DPI, DPKO and DFS) at UNHQ to ensure requested
equipment is available, either through systems contract or held at SDS.

Ensure budgetary provisions cover: staff costs and equipment costs (including transportation charges); preliminary public
information activities, such as radio announcements, newspaper advertising, leaflets and other publicity; the rental of
equipment and services, such as photo and video coverage; and related systems contracts.

Ensure budget requests include training of staff, particularly national staff and locally recruited interpreters and translators.

Ensure budget includes interpretation personnel and equipment and translation of public information documents into local
languages, as necessary.

Recruitment

Help select Chief/PIO/Spokesperson. Priority should be given to candidates speaking the local language and having
experience in United Nations field missions.

Ensure early recruitment of national staff with an emphasis on gender balance. Ensure coverage of full range of relevant
tasks and skills, including interpretation and translation. All staff must be appropriately vetted in terms of political
affiliation.

Ensure enough staff is in place to run press conferences and monitor media in national languages.

Ensure recruitment of key staff to establish PIO, including the following:
o Information Officer (to perform community outreach)
o Photographer and/or Video Producer (needed as early as possible to disseminate images and video to media,
electronic news sites, web and UNHQ)
o Radio Producer, Broadcast Technology Officer (preferably with a strong ICT background for missions with radio
stations)
o Professional Administrative Officer
o Webmaster or Graphics Designer
o Press Officer (to draft content for website, press releases, publications, etc.)
o Several general Information Officers and local staff, including translators/guide, junior press officers

Ensure recruitment of key staff to start FO PIO sections, including: one international Press Officer, a translator/interpreter
and one national officer.

Other issues

Establish internal information system to ensure mission-related media monitoring is circulated to senior mission leaders
daily and quickly, especially during crisis situations.

Liaise regularly with PIO within other mission components and UNCT to ensure coherent and coordinated approach to
public information. For example, Chief/PIO might convene an information and advocacy working group including Public
Information sections from all UNCT members.

Inform United Nations agencies and their NGO partners on what to expect when the peacekeeping operation arrives in their
areas of operation. Brief these agencies/partners on mandate, composition and basic features of the operation.

Devise gender sensitive strategies that foster teamwork and communication among PIO staff.

Establish mission-wide circulation system for press releases, press briefings and official statements and media monitoring.

Establish daily contact with UNHQ Spokesperson’s Office.

Establish mission website using mission content management system template to present regularly updated information on
mission activities and with background information on mission in local languages. Ensure site includes link to UNHQ-
maintained site specific to mission. Ensure site conforms to UNHQ guidelines.

Provide content for mission Intranet, which is a tool for conveying internal mission information, current information and
alerts. It also makes available United Nations policy and guidance materials, and mission templates and forms.

Put in place archiving/record-keeping system for all PIO output, including photographs and video material.

Put mechanism in place to communicate with other PIOs in the region.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On public information in field missions, 4000 Series of United Nations Peace Operations Guidance Framework (United
Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

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Focal point in the Department of Public Information, Peace and Security Section, Telephone: (212) 963-1262

Focal point in the Office of the Spokesman for the Secretary-General

Focal point in the Department of Peacekeeping Operations, Public Affairs Unit, Telephone: (917) 367-5044

Focal Point for Support to Information Components of Peace Missions, UNHQ, Telephone: (212) 963-3423

Focal Point for Support to Information Components of Peace Missions in Europe, UNHQ, Telephone: (212) 963-6846

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.3 Spokesperson

Roles and responsibilities

The Spokesperson assumes primary responsibility for publicly communicating mission strategy and key messages. She/he issues
statements and gives briefings on behalf of the SRSG/HOM and the mission to national and international media. She/he also
maintains daily relations with national and international media, arranges for media representatives to meet with senior mission
officials and facilitates the daily work of journalists covering the mission. The Spokesperson responds in a timely fashion to
disinformation, false information and rumors.

Depending upon the size and complexity of the mission, those planning the mission structure may suggest that the
Spokesperson’s Office either come under the PIO or be part of the O/SRSG/HOM. However, that post is generally situated in
the public information component to ensure continuity of messaging and strategic communications.

The Spokesperson usually has a military counterpart, with whom the civilian spokesperson should maintain close ties. Normally,
they share the podium during regular press briefings, with the civilian spokesperson acting as Chief Spokesperson. The police
component of the mission may also have a spokesperson, again who must work in close coordination with the mission
Spokesperson.

One of the key Chief/PIO responsibilities is to ensure that all mission components as well as UNCT on the ground speak with
“one voice” and that their communications are coordinated. (See section 9.2 on the PIO.) Depending on the circumstances and
due to heightened media interest in a new mission during the start-up phase, a Spokesperson is a critical mission element. Every
mission must, therefore, appoint/recruit a Spokesperson from the moment the mission is deployed, if not sooner.

Initial Operating Capability

The key tasks that, once completed, indicate that the Office of the Spokesperson has achieved IOC are the following:

Spokesperson in place and attending all senior-level meetings, as requested by SRSG/HOM.

Stand-in for absences designated.

Strong linkages established with information personnel of host authority and with local and international journalists,

Media accreditation system established for journalists seeking to work with mission.

Regular media briefings scheduled.

Crisis management media plan in place.

Critical tasks in preparation for mandate implementation

The critical tasks the Office of the Spokesperson should undertake in preparing to begin mission operations are the following:

Work closely and actively with national, regional and international media to develop accurate understanding of the mission
plan, its activities and other related matters.

With the Chief/PIO, develop strategies and mechanisms to enhance the use of “one voice” by all United Nations
organizations in-country.

Raise awareness of core thematic areas within the context of the mission public information strategy.

Prepare press releases and background notices for media use.

Provide regular and special briefings for media.

Facilitate, as appropriate, visits by accredited media within mission area.

Ensure mission information is disseminated to international media list serves.

Stay in daily contact with the Office of the Spokesperson for the Secretary-General.

Critical tasks: mission management

The critical tasks that the Spokesperson should undertake, at the direction of Chief/PIO or SRSG/HOM, in managing mission
start-up are the following:

Planning

As soon as a Spokesperson is appointed, he/she should plan for the establishment of the following: a regular press briefing
schedule, the press office, systems for media monitoring, contacts with local and international media, and regular
communications with UNHQ Spokesperson’s Office.

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Budgeting

Ensure the Office of the Spokesperson is included in PIO RBB process and that enough resources are allocated to
implement Spokesperson activities, in accordance with mission implementation plan.

Recruitment

Recruit national staff or staff with local language skills for translation/interpretation, local press relations, media monitoring
and office assistance.

If called for in mission staffing table, recruit qualified Deputy Spokesperson.

Other issues

Create and regularly update an email contact list of media and other target audiences to receive all statements and briefing
transcripts.

Facilitate media contacts for senior mission officials.

Establish accreditation system for media.

Establish contact with spokespersons of other United Nations entities and other international organizations in the mission
area.

Set up and administer Press Office or Media Relations Unit.

Set up media-monitoring system to track coverage of mission and other relevant news and to help identify trends and
formulate advice to the Chief/PIO and SRSG/HOM.

Establish and maintain regular contact with Office of the Spokesperson for Secretary-General to amplify mission message.

Create archiving system to file all spokesperson and United Nations official statements to media.

Establish, as early as possible, best practices to guide work of the Office, including:
- Ensure, whenever feasible, the information provided in written form to national journalists is in the national
language(s).
- Ensure, whenever feasible, questions raised to the Spokesperson or PIO by national media are addressed in the national
language(s).
- Ensure messages are crafted in simple form and avoid using United Nations jargon, as much as possible.
- Disseminate briefing transcripts to media, mission and UNHQ officials on the same day as press briefing.
- Ensure interpretation is accurate. Quickly correct any mistakes/omissions made by interpreters.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On public information in field missions, 4000 Series of United Nations Peace Operations Guidance Framework (United
Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Focal point in the Department of Public Information, Peace and Security Section, Telephone: (212) 963-1262

Focal point in the Department of Peacekeeping Operations, Public Affairs Unit, Telephone: (917) 367-5044

Focal Point for Support to Information Components of Peace Missions, UNHQ, Telephone: (212) 963-3423

Focal Point for Support to Information Components of Peace Missions in Europe, UNHQ, Telephone: (212) 963-6846

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.4 Civil Affairs

Roles and responsibilities

The Civil Affairs component is a flexible resource within United Nations peacekeeping missions. They are civilian components
that typically work at sub-national or local political levels to facilitate the implementation of peacekeeping mandates and to
strengthen conditions and structures conducive to sustainable peace.

While Civil Affairs activities vary considerably from mission to mission, they fall into one or more of these three core roles:
• Cross-mission representation/liaison, monitoring and facilitation at the local level
• Confidence-building, conflict management and support to reconciliation (including QIPs)
• Support to the restoration and extension of state authority

Cross-mission representation/liaison, monitoring and facilitation at the local level is typically the principal role of the Civil
Affairs Office -- particularly in the mission start-up phase -- and it is undertaken in most missions.

Management oversight of Civil Affairs is the responsibility of the SRSG/HOM and is usually delegated to a DSRSG. In
missions with two DSRSGs, Civil Affairs may report through the political pillar where they are performing a sub-national
political function, amongst their other tasks. Oversight of the function by the DSRSG/Resident/Humanitarian Coordinator may
be appropriate in cases where their primary focus becomes operational support to state institutions and where Civil Affairs
represents a key interface locally to the work of the UNCT. The Head of the Civil Affairs Office is responsible for oversight at
the operational level and plays a crucial role in providing strategic direction, setting objectives and determining appropriate
activities.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Head of Civil Affairs has achieved IOC are the following:

Civil Affairs work plan completed, budgeted and implementation begun.

International and/or national Professional officers in place in key field locations. Local language assistants in place and
trained to a demonstrated level of competence.

FOs in key locations opened, equipped and operational, with enough resources (e.g., radios, vehicles and computers) for
staff to perform their duties.

Local government partners/counterparts and other key local interlocutors identified.

Working relationships with relevant United Nations agencies, funds and programmes established.

Opportunities identified for collecting information at the local level to support planning for future activities, other
components or external actors.

Reporting mechanisms established, and objective daily and weekly reports submitted to MHQ.

Critical tasks in preparation for mandate implementation

The critical tasks that the Head of Civil Affairs should undertake in preparing to implement the mandate are the following:

Civil Affairs Officers deploy to key field locations and establish contacts with local authorities and civil society
organizations, including women’s organizations and non-governmental interest groups.

Civil Affairs Officers begin to inform local actors about mission mandate and operations. This may include community
outreach through town hall-style meetings for the provision of information and the promotion of public discussion about
key issues.

Civil Affairs Officers begin providing the mission with information about local conditions and developments and on the
roles and perspectives of different sectors of the population concerning the peace process and the mission. These tasks may
include preliminary needs assessments and should draw on UNCT capacities at the local level, where existing. A gender
perspective should be integrated in the Civil Affairs Officers work from the beginning.

Civil Affairs Officers participate in coordination and information sharing mechanisms, where they exist at the local level; or
initiate them in collaboration with other actors, where they do not exist.

Civil Affairs at MHQ establishes a QIPs programme, directed by SRSG/HOM. (See section 4.3.3.g for details on QIPs.)

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Critical tasks: mission management and other issues
The critical tasks that the Head of Civil Affairs should undertake, at the direction of the SRSG/HOM or DSRSG, for managing
mission start-up are the following:
Planning

Write Civil Affairs work plan with clearly identified success criteria and benchmarks, based on mission plan and in
consultation with COS. Establish priorities and policies for Civil Affairs activities. Allocate work assignments, including
staffing, deployment and administration. Identify key skills needed among Civil Affairs Officers, draft related ToRs and
indicate number of staff needed to accomplish tasks.

Ensure close cooperation with sections that are not deployed in the FOs, such as Gender Advisers.

Budgeting

Actively participate in RBB process.

Develop budget within work plan that includes resources for outreach activities, such as: conferences and meetings with
civil society; training for staff, local authorities and civil society organizations; reconciliation programmes; a sufficient
number of national professional officers; QIPs funds; and a mobility budget. Make provisions for consultants/outside
analysts, if required.

Take lead in ensuring funding is allocated for QIPs as soon as possible. (See 4.3.3.g for more details on QIPs.)

Recruitment

Actively recruit Professional international and national staff and UNV volunteers and Language Assistants (with local
dialects) to ensure enough staff are available to implement work plan and mission plan. Recruit international staff with local
language skills and local knowledge and with appropriate skills in mediation and/or convening activities, where appropriate.
Operate as the eyes and ears of mission at the field level, and ensure a presence at each FO. Ensure that gender balance is
taken into account in all recruitment processes.

Develop and manage Civil Affairs staff, including developing a culture of respect for national counterparts and involvement
with local actors.

Establish a rotation system providing for staff to serve in field duty station for no longer than 18 months before moving to a
different FO. This allows for staff to get a better understanding of the overall situation in the country, furthers a team spirit
among Civil Affairs Officers, prevents staff from becoming too invested with local actors and ensures fairness, given that
some duty stations may be harsher than others.

Ensure that experienced and highly qualified staff are sent to the field, rather than kept at MHQ, particularly in missions
with a mandate to support the extension of state authority.

Facilitate opportunities for staff promotion, in line with existing human resources guidelines.

Other issues

Ensure coordination mechanism established with Political Affairs Office and other mission components, where appropriate,
to ensure information is shared appropriately and programmed activities are coordinated. Where present, the mission’s
JMAC may take the lead in coordination. (During mission start-up, all units tend to be understaffed and must work together
to maximize impact on ground.)

Discuss issues related to MOSS with Chief Security Advisor to minimize efficiency implications related to attempting to
meet MOSS standards, such as the inability of Civil Affairs Officers to move around in the field when their colleagues are
on leave.

Try to secure exceptions to certain United Nations regulations that hinder Civil Affairs activities in the field. For example,
while United Nations regulations prohibit transport of local officials in United Nations vehicles, this may be the only mode
of transport to meetings in some cases.

For further guidance consult:

DPKO/DFS Policy on Civil Affairs

On QIPs, see also section 4.3.3.g in the Field Guide and DPKO/DFS Policy and Guidelines on QIPs, United Nations Peace
Operations Guidance Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations of Civil Affairs, 4000 Series of United Nations Peace Operations Guidance Framework

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Community of Practice network for Civil Affairs (accessible via Lotus Notes)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.5 Electoral Assistance

Roles and responsibilities

The Electoral component’s mandate is different for every mission. It is established directly by the Security Council and
elaborated through a needs assessment mission carried out by the Electoral Assistance Division of the Department of Political
Affairs (EAD/DPA) and reports of the Secretary-General. Most United Nations electoral mandates consist of the provision of
technical assistance to the national electoral authority. The United Nation does not observe elections if it is providing technical
assistance. The United Nations may assist national and international observers in providing coordination of observers,
background information and logistical support, if requested and when such request is viewed as appropriate for United Nations
assistance by the United Nations Focal Point for Electoral Assistance (Under-Secretary-General for Political Affairs) or the
Security Council or the General Assembly.

Generally, the Chief Electoral Officer (CEO) will be directly responsible for the implementation of electoral mandates. He/she
usually reports to the DSRSG or SRSG/HOM. The CEO will have an indirect line to the EAD/DPA, which assists the United
Nations Focal Point for Electoral Assistance.

Within the mission, the Electoral component is responsible for coordinating and ensuring coherence with other United Nations
mission components, particularly administration (recruitment, finance/payroll, procurement, logistics, transport, budget),
political and civil affairs, public information and security (military, police, United Nations security).

The Electoral component is responsible for regular reporting on the electoral process to the SRSG and DSRSG and, through
them, to UNHQ. More frequent working-level contact is maintained between the Electoral component and EAD/DPA, which
backstops the work of the Electoral component from UNHQ. Since an electoral process is inherently political, close
information-sharing practices should be established between the Electoral component and the Political Affairs Office and the
Civil Affairs Office. It is equally important to establish a working relationship with the Gender Adviser to support gender-
sensitive electoral processes.

The implementation of electoral assistance may also involve United Nations agencies, particularly UNDP, with UNOPS and
other non-United Nations electoral entities such as the International Foundation for Election Services (IFES), the European
Commission and the National Democratic Institute. In such cases, efforts are made to provide international electoral assistance
in an integrated manner. In fact, it is often very useful if the Security Council mandate spells out a lead coordination role for the
United Nations mission to prevent duplication of efforts and confusion in the provision of electoral assistance to the national
authorities.

Electoral support often stems from a provision in a peace agreement to which the United Nations mission is asked to assist to
implement or through a Security Council resolution (often both). In certain cases, the whole electoral assistance project can be
managed by the UNDP office on the ground. That, however, depends on the capacity of the UNDP Country Office and other
factors. The level and structure of integration of the United Nations mission will also influence the division of roles and
responsibilities within the mission and with the UNDP Country Office. The division of labor between different entities (e.g.,
mission Electoral component, UNDP, IFES) depends on the country situation and is mostly determined during the initial needs
assessment.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Electoral component has achieved IOC are the following:

Needs assessment mission report completed.

Security Council resolution with electoral mandate adopted.

Mission concept established or amended to include elections.

Electoral RBB and work plan completed.

Electoral component MHQ core team operational.

Recruitment process initiated for remaining Electoral component staff.

First version of the United Nations Electoral concept of operations adopted.

Material and infrastructure plans commenced for Electoral component.

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Critical tasks in preparation for mandate implementation
Activities that signal the Electoral component has reached its capacity to implement the mission plan are the following:

Revised version of the United Nations Electoral concept of operations issued.

Electoral process operational plans being issued by the national Electoral Management Bodies.

Electoral component staffing recruitment, induction, training and deployment completed.

Electoral component staff e-PAS work plans completed.

Implementation of electoral mandate is under way.

Electoral FOs established with adequate resources.

Electoral staff deployed in all electoral FOs with adequate resources, including MOSS/MORSS compliance.

Critical tasks: mission management

The critical tasks that the Electoral component should undertake for managing mission start-up are the following:

Planning

The first “planning exercise” is the needs assessment mission from UNHQ (EAD/DPA) during which the assessment mission
will try to define the scope of the electoral assistance provided, with staffing chart and budget, as well as to define
challenges/issues. Ideally, this should occur when UNHQ dispatches its initial TAM. The electoral needs assessment will
define the scope of electoral assistance provided, including a staffing chart and other material needs. It should be noted that
resources per electoral staff may be different from what is usually calculated for other civilian staff, due to the nature of the
electoral work. For example, two UNVs are often dispatched to a remote FO, in which case at least one vehicle will need to be
assigned to a pair of UNVs.

EAD/DPA at the UNHQ level should be closely consulted in the budgetary process leading up to the submission of the budget
to ACABQ. The United Nations mission budget should include provisions to ensure that all electoral staff facilities, particularly
UNVs in the field, are MOSS/MORSS compliant, early on.

The second stage in planning happens once the core staff is on board and a concept of operations is developed. Next, an
operational plan needs to be developed with the national election commission, with timeline and budget. This is the critical
planning tool, since it is from this that logistics, procurement, air ops/transport and other needs will be defined. The operational
plan can only be developed, though, if the national election commission is functional and most, if not all, the main electoral legal
framework is in place. If the national election commission and legal framework are not in place (constitution and electoral law
that defines what electoral system, what constituency delimitation, what voter registration system, etc.), it may be difficult to
come up with a workable operational plan and budget.

Proper election planning requires very early planning, since elections have an “end date” and are time-sensitive. Much of the
electoral work is actually conducted months (if not more than a year in post-conflict situations) in advance of the election day.
This needs to be acknowledged, as early as possible, by the United Nations mission and by other stakeholders. Once the
electoral mandate and concept of operations are in place, procurement needs to commence immediately. The earlier
procurement is in process and completed, the smoother electoral planning can be carried out. Early planning and procurement
also reduce the cost of elections.

Logistics planning is done through the Logistics Officer in the Electoral component and the logistics components of the mission.
Something that is confusing as regards the United Nations mission, in that the Electoral component Logistics Officer is a
specialist on elections logistics. The administrative and logistical needs of the Electoral component staff (i.e., transport of office
equipment) must be met by the United Nations mission logistics components.

The operational plan will be revised, as necessary, to ensure its relevance to the actual electoral situation. The operational plan
should be shared within the United Nations system and with other international partners who are planning to assist the electoral
process, with a view to ensuring a high level of cooperation and coordination in the provision of support.

In some circumstances a large, highly organized and efficient United Nations electoral assistance operation can proceed with
little regard for national ownership or capacity transfer to the national electoral authorities. Planning of electoral assistance

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activities should, therefore, appropriately reflect the need to ensure sustainability and capacity-building as its core objectives.
This becomes difficult, though, when electoral timelines are tight and there is political pressure on the United Nations mission to
“ensure success” of the elections. That is why early engagement and planning of the elections (including voter registration) is
critical to keeping costs down and build national capacity.

At times, the second- and third-general elections can take place when the United Nations mission is downsizing, withdrawing
and/or transitioning (for example, from a peacekeeping mission to peacebuilding processes). In these cases, transfer of electoral
assistance responsibilities (from a peacekeeping mission to a country office set up) has to be planned well in advance.
Unfortunately, so far, modalities on how this transfer should occur have not been formalized. Usually, they occur in an ad hoc
manner, varying from country to country.

Budgeting

As stated above, the needs assessment mission should be able to determine what staffing and other requirements the Electoral
component will have and, at the UNHQ level, EAD/DPA should be consulted during the budget submission process. There may
be a gap between when financial resources are requested and when resources (financial, human, material) are actually delivered
to the mission. There is also often a gap between the total resources requested through the budget and those actually approved.
The time lag between United Nations electoral budget formulation, budget approval and the availability of funding means that
Electoral components have to consider extra-budgetary resources. As a result, electoral resources may come from multiple
sources.

Given the time constraints under which electoral assistance has to be provided and the need to ensure speedy deployment of the
core electoral team, consideration could be given to include in the budget provisions for general temporary assistance (GTA)
funds to allow the mission to quickly deploy a small team of electoral personnel, using those funds, until the full competitive
process for selection of the electoral team is finalized.

An indicative list of budget items that should be considered would include personnel (P, GS, FS, UNVs, consultants, national,
NPOs), office equipment and supplies (usually administration elaborates these on the basis of the number of staff, however,
electoral components may have specific needs that justify additional resources), transport (vehicles), communication, acquisition
of electoral infrastructure (including premises) and material, rentals, and air ops time (hours), if possible. Moreover, it is
important that a budget includes costs of making all electoral staff facilities MOSS and MORSS compliant, early on during the
mission. In too many cases, electoral staff are requested to work without being MOSS or MORSS compliant due to the lack of
or delays in procurement of necessary equipment.

Recruitment

Although each electoral staffing table will be configured according to its mandate, several posts are vital to forming an effective
core electoral team, as follows:
• Chief Electoral Officer (CEO)
• Chief of Operations
• Logistics Officer
• Legal Officer (especially if there is not adequate electoral legal framework in place)
• Outreach Officer (civic education, media, public outreach)
• Field Coordination Officer
• Electoral Affairs/District Electoral Officer
• Training Officer

It should be borne in mind that because elections are time-sensitive, and much of the electoral work is conducted months in
advance of the election day (often a year in advance, starting from the preparation of voter registration), the timely deployment
of electoral staff is critical.

There are five categories of staff, as follows:

• International electoral experts identified through the United Nations electoral expert roster, maintained by EAD/DPA
• UNVs
• General Service and FS staff
• National staff (local staff and national professional officers)

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 • Consultants (national and international)

The fact that different electoral staff might be employed by different United Nations entities (DPKO/Secretariat, UNDP,
UNOPS, etc.) with different rules and regulations complicates deployment of United Nations electoral staff.

All electoral positions in the field are to be filled with candidates from the electoral roster maintained by EAD/DPA in
Nucleus/Galaxy. Upon receipt of the staffing table, EAD will search for qualified candidates for each position, on a priority
basis, and submit a list of interested candidates to the mission for their final selection. EAD then enters the candidates in the
recruitment tracks created in Nucleus, and FPD proceeds with recruitment and deployment.

Should GTA funds be available for a rapid-deployment team in the initial stages of the mission, EAD will suggest candidates for
the composition of the team. Those candidates, if interested, will then be considered for the long-term positions and will
undergo the regular procedures for selection and recruitment. All recruitment processes should aim to advance the goal of
achieving gender balance, in line with organizational commitments.

For additional details on critical tasks for managing mission start-up, refer to EAD/DPA manual Operations for Electoral
Mandates in United Nations Missions (draft 2008).

Other issues

Closer to the voter registration and to election day, frequent interagency or intra-United Nations meetings will be useful to
ensure different parts of the United Nations system are working in tandem and with coherence.

For further guidance consult:

EAD/DPA manual Operations for Electoral Mandates in United Nations Missions (draft 2008).

DPKO/DFS-DPA Joint Guidelines on Enhancing the Role of Women in Post-Conflict Electoral Processes (2007)

Women & Elections Guide to promoting the participation of women in elections ( published by the United Nations in 2005)

On electoral assistance in field operations see 4000 Series of United Nations Peace Operations Guidance Framework
(United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

Electoral Assistance Division/Department of Political Affairs (EAD), +1 917 367 8737

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.6 Human Rights

Roles and responsibilities

The early establishment and functioning of a Human Rights component (HRC) is essential to strengthen confidence among the
population, help rebuilding societies in post-conflict environments, ensure that past and current human rights violations are
promptly investigated from the onset of a mission, help prevent future violations, support national authorities and institutions to
establish mechanisms to end impunity that is often prevailing in post-conflict contexts and to ensure that human rights are
mainstreamed in all mission activities. HRC contributes to the protection of human rights through immediate and long-term
actions, including empowering the host country population to assert and claim their human rights and by enabling state and other
national institutions to fulfill their responsibility to implement human rights. HRC issues periodic public reports on the human
rights situation, which constitute a key protection, promotion and advocacy tool at the disposal of the mission senior leadership.
Core human rights functions and activities undertaken by HRC in support of the mission mandate typically include the
following:
• Monitoring of institutions, laws, practice and incidents of violations
• Investigation of human rights violations
• Assessment and analysis of the human rights situation
• Reporting
• Advocacy and intervention
• Human rights advising, support for institutional reform and capacity-building
• Supporting United Nations human rights mechanisms
• Human rights coordination and mainstreaming across peace operations and UNCT
The Head of the Human Rights component (HHRC) is the representative of the High Commissioner for Human Rights
(OHCHR) in the host country and acts as the human rights adviser to the SRSG/HOM. HHRC has a dual reporting line to the
OHCHR and the SRSG/HOM (or DSRSG). This arrangement follows the reporting model of the DSRSG as Resident
Coordinator to the UNDP Administrator/UNDG chair, and/or as Humanitarian Coordinator to the Emergency Relief
Coordinator. HHRC is also a member of the Humanitarian Country Team (HCT).

HHRC has direct access to the SRSG/HOM and is part of the SMG, SMT, MLT and all other decision- and strategy-making
bodies at mission level. HHRC is also the representative of the OHCHR within the UNCT.
Initial Operating Capability
The key start-up tasks that, once completed, indicate that HHRC has achieved IOC are the following:
• HRC work plan completed, budgeted, approved and implementation begun.
• Core MHQ staff in place.
• FOs in key locations equipped and operational.
• Human rights reporting lines to OHCHR and to DPKO/DFS through the SRSG clarified in mission.
• Human rights monitoring and reporting system established and functioning, including procedures for handling sensitive
information.
• HHRC integrated into UNCT, HCT and mission strategic and decision-making information flows.
• Contacts with main civil society representatives, government authorities and institutions established.
• Network of local contacts initiated and steadily expanded.
Critical tasks in preparation for mandate implementation
The critical tasks the HRC should undertake preparing to begin mission operations are the following:
• Devise and set up information processing system that will maintain confidentiality of victims, witnesses and other sources.
• Ensure reporting system includes dissemination within mission to DPKO/DFS and OHCHR, with recommendations for
corrective action.
• Develop options for follow-up action that can include:
– Public statements through SRSG/HOM and/or OHCHR
– Diplomatic demarches with national authorities
– Recommendations to UNCT, HCT, etc.
• Institute monitoring, investigation and reporting methodologies for human rights violations, with an emphasis on women’s
rights.
• Establish network of official, civil society, United Nations, diplomatic, donor and implementing agency contacts.
• Advise SRSG/HOM and relevant DSRSG to advocate for the promotion and protection of human rights during their initial
meetings with:

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 – Political leaders and other government officials
– Law enforcement agencies
– Media
– Diplomatic representatives
– Civil society representatives
– Other national and international actors
• Through SRSG/HOM and DSRSG, advocate, coordinate and promote mainstreaming of human rights in all integrated
mission activities and policies (including UNCT and HCT).
• Obtain agreement with host government (e.g., in context of SOFA/SOMA negotiations) on best operational modalities
possible for Human Rights Officers, including:
– Freedom of movement
– Access to all detention facilities
– Commitment of host authorities to refrain from reprisals, etc.
• Ensure human rights standards are preserved in any ongoing peace negotiation or conflict mediation activity.
• Itemize potential programmes to enforce national protection and promotion of human rights.
• Coordinate mainstreaming of human rights in security sector reform initiatives and obtain support from the host government
in incorporating human rights protection in security sector reform.

Critical tasks: mission management

The critical tasks the HHRC should undertake, at the direction of the SRSG/HOM and in consultation with OHCHR, for
managing mission start-up are the following:
Planning
• Develop HRC work plan and establish clear ToRs for all staff.
• Ensure broader objectives of mission concept reflect respect for human rights.
• Work with COS, DMS/CMS, CSA and heads of other substantive units deploying to FOs (especially the Political Affairs
Office (PAO)) in planning staff deployment to FOs.
• Inform OHCHR of all plans to facilitate deployment (and other) processes.
• Work with colleagues in closely related areas, such as:
– Rule of law/judicial
– Gender
– Child protection
– United Nations Police
– Military
– Security sector reform
– Civil Affairs Office
– Political Affairs Office
– Humanitarian affairs
– UNCT (in particular the United Nations Children’s Fund (UNICEF) and the United Nations High Commissioner for
Refugees (UNHCR)) and the humanitarian clusters, where established
– International Committee of the Red Cross (ICRC) and other international NGOs with human rights and protection
mandates
– Local NGOs and relevant institutions
• Plan for capacity-building of local partners on human rights, training and other activities, and ensure resources are in place to
support such programmes.
• Conduct preliminary capacity and needs assessments of local human rights actors (civil society) and relevant national
authorities/institutions, including law enforcement agencies and judiciary.

Budgeting
• Prepare HRC submission for RBB, in consultation with O/DMS/CMS and OHCHR (RBB is especially critical if HRC must
establish significant FO structure).
• Ensure budget submission includes requests for specialized equipment and other aspects, as needed, including:
– Sufficient terrain-appropriate vehicles, including armoured, where necessary (often beyond normal standard in terms of
staff per vehicle)
– Proper communications gear
– Cameras and other recording devices
– Secure information processing and storage equipment (ICT and hardware) for FOs and MHQ

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 – Transportation costs (paying United Nations and humanitarian flights, ability to contract other transportation means when
common transport assets not accessible)
Recruitment
• Establish recruitment plan with O/DMS/CMS and CCPO in coordination with O/COS and in consultation with OHCHR
Peace Missions Support Unit and Geographic Desk in Geneva, with clear targets for advancing the goal of achieving gender
balance, in line with organizational commitments.
• Ensure initial team is made up of experienced (and technically cleared) Human Rights Officers who can establish early
monitoring and reporting systems.
• Ensure national professional officers and local language interpreters are identified and recruited, as quickly as possible.

Other issues
• Designate Senior Human Rights Officers as liaisons with military and police components. Work with Integrated Mission
Training Cell/Integrated Training Services and military and police components to ensure all staff – including uniformed
personnel – receive human rights training.
• Ensure liaison established/assigned to JMAC.
• In non-permissive environments, establish modalities for access to local population with CSA, JMAC, PAO and other United
Nations entities that may have information and contacts.
• Implement mainstreaming of human rights (an established policy).
• In coordination with OHCHR, agree with SRSG/HOM on modalities for releasing public human rights reports, in accordance
with Policy Directive on Public Reporting by Human Rights Components of Peace Operations.
• Coordinate with OHCHR, O/SRSG/HOM, Spokesperson and Chief/PIO on procedures concerning public statements related
to human rights issues.

For further guidance consult:

Key official reference material:
• For human rights guidance, Policies and Practices Database on the DPKO Intranet (4000 series-Human Rights),
http://intranet.dpko.un.org/dpko/pages/PoliciesandPractices.aspx
• Secretary-General Policy Committee Decision No. 2005/24 on Human Rights in Integrated Missions
• Secretary-General Policy Committee Decision No. 2006/47 on Rule of Law
• Secretary-General Policy Committee Decision No. 2007/11 on Security Sector Reform
• OHCHR/DPKO/DFS/DPA Policy Directive on Public Reporting by Human Rights Components of Peace Operations

OHCHR contacts:
• Peace Mission Support Unit; Email: [email protected]
• Methodology, Education and Training Unit; Email: [email protected]
• Rule of Law and Democracy Unit; Email: [email protected]
• Africa Unit; Email: [email protected]
• Middle East and North Africa Unit; Email: [email protected]
• Asia Pacific Unit; Email: [email protected]
• Europe, North America and Central Asia Unit; Email: [email protected]
• Latin America and Caribbean Unit; Email: [email protected]
• National Institutions Unit ; Email: [email protected]
• Coordinator Voluntary Fund for Technical Cooperation; Email: [email protected]

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.7 Justice

Roles and responsibilities

The primary objective of the Justice component is to assist national authorities in the re-establishment, strengthening and/or
reform of the judicial and legal systems, so as to uphold the rule of law and facilitate the maintenance of peace and security.
Most mission Justice components focus on the criminal justice system since post-conflict settings are often characterized by
high levels of serious crime, including organized crime, and by the absence of law and order. A functioning criminal justice
system is required to prevent such circumstances from jeopardizing the security of the population, allowing impunity for past
and current crimes, including sexual and gender based violence, and hindering rehabilitation and reconstruction efforts. Justice
components may also be engaged in civil law issues such as property and identification matters, particularly where such matters
are closely linked to the implementation of a peace agreement, the causes of insecurity or the underlying causes of the conflict.

The Justice component performs a wide range of functions, including, but not limited to, the following:

Mapping and assessing the host country’s judicial and legal systems

Providing a gender justice analysis on all national judicial process and legislation

Assisting national stakeholders in the development of national reform strategies

Coordinating and convening national, international and United Nations stakeholders

Acting as the centre of information and analysis on developments and United Nations and bilateral agency activities in the
justice sector

Mobilizing resources for national actors to carry out legal and judicial reform projects

Providing technical assistance to national counterparts

Advising mission leadership and mission colleagues on matters relating to the host country’s judicial and legal systems

The Justice component is usually headed by a Chief Judicial Affairs Officer or Senior Judicial Affairs Officer who reports to the
SRSG/HOM through a designated DSRSG. The head of the Justice component is a member of the SMG. In some missions,
Justice components may include corrections experts, if there is no separate Corrections component. (See section 9.8 for
information on the Corrections component.)

During the start-up phase, the Justice component develops its organizational structure and an achievable mandate
implementation work plan, with clear objectives and benchmarks; recruits national and international staff; conducts induction
training for incoming national and international Judicial Affairs Officers; and develops linkages within the mission, in particular
with corrections, police, human rights, gender and protection-related components and with partners within the UNCT.

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the Justice component has achieved IOC are the following:

Justice component work plan is completed.

Core staff members are in place to ensure that work plan can be carried out.

Staff members are deployed to FOs, as needed.

Dedicated legal system monitoring unit/section is established within the mission, in cooperation with OHCHR, to carry out
systemic monitoring of the justice system and provide ongoing evaluation of the impact of reform programmes and
activities.

A standardized reporting system is established and operational.

Justice component is integrated into mission strategic and decision-making information flows and mechanisms.

Working relations are established with other mission components (particularly corrections, police, human rights, gender and
protection-related components) and United Nations agencies engaged in justice and legal reform activities.

Critical tasks in preparation for mandate implementation

The critical tasks the Justice component should undertake in preparing to begin mission operations are the following:

Coordinate with SRSG/HOM and relevant DSRSG to highlight the importance of the rule of law for the consolidation of
peace in their initial meetings with national political leaders, police, judiciary, professional organizations, NGOs, local
media, diplomatic representatives, civil society and other relevant actors.

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Obtain the agreement of the host government on operational modalities for Judicial Affairs Officers, including access to
court proceedings, court records and detention facilities.

Carry out an initial mapping of the justice sector and applicable legal framework to identify and develop profiles of key
institutions, actors and laws, particularly those relating to criminal justice.

Undertake a baseline assessment of the justice sector to identify gaps, obstacles and needs.

Obtain, translate and analyze laws of the host country that are relevant to the work of the Justice component, including the
provision of technical assistance for legal and constitutional reform.

Facilitate effective cooperation and coordination mechanisms between national police, judicial, prosecutorial, criminal
defence and corrections systems to ensure a balanced and coherent approach to criminal justice system reform.

Initiate consultations with national authorities, professional organizations, NGOs, civil society, donors and assistance
providers for the development of a national justice reform strategy.

Support the development of a joint United Nations justice support programme (e.g. with DPKO, UNDP, OHCHR, the
United Nations Children’s Fund (UNICEF), the United Nations Development Fund for Women (UNIFEM), the United
Nations Office on Drugs and Crime (UNODC), UNHCR).

Propose QIPs to the QIPs Committee to immediately “jump start” the capacity of national justice institutions.

In close cooperation with UNCT and other assistance providers, support and facilitate programmes and projects for the
rehabilitation, refurbishment and equipment of the necessary institutional infrastructure.

Support the establishment of an international United Nations agency/donor coordination mechanism. Develop a
methodology to map current and planned donor involvement in the sector as well as to help identify where further donor
support is required, with special attention to supporting a gender justice programmes and projects.

Critical tasks: mission management

The critical tasks that the Justice component should undertake in managing mission start-up are the following:

Planning

Develop the justice component work plan.

Establish clear ToRs for all staff and develop individual work plans.

Plan the deployment of staff to FOs.

Establish effective coordination mechanisms with other mission components (particularly corrections, police, human rights,
gender and protection-related components) as well as UNCT counterparts.

Prepare and provide gender sensitive training programme for incoming staff.

Conduct initial mapping as well as baseline assessment of the justice sector to identify gaps, obstacles and needs.

Budgeting

Prepare submission for RBB, ensuring that resources are budgeted for training of international and national professional
officers, consultants for specialized expertise/skills and professional translation services.

Recruitment

Recruit international Judicial Affairs Officers, including those with specific professional profiles required for the mission.

Recruit national Judicial Affairs Officers with experience in the legal traditions of host country.

Recruit local language interpreters, as needed, to translate laws and other legal documents.

Aim for gender balance in the recruitment of staff.

Where to go for further guidance

Secretary-General’s report on the rule of law and transitional justice in conflict and post-conflict countries, August 2004

Secretary-General’s report on enhancing United Nations support for the rule of law, December 2006

Secretary-General’s interim report on the rule of law at the national and international levels, August 2007

Secretary-General’s decision 2006/47 on the rule of law, November 2006

Guidance note of the Secretary-General on a United Nations approach to the rule of law assistance

Guidance note of the Secretary-General on a United Nations approach to justice for children

OHCHR rule of law tools

UNDP access to justice practice note

UNDP Programming for Justice: Access for All

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UNODC Criminal Justice Assessment Toolkit

DPKO/DFS Guidelines for Integrating Gender Perspectives into the Work of United Nations Police in Peacekeeping
Missions (June 2008)

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations support for judicial and legal systems, 4000 Series of United Nations Peace Operations Guidance
Framework

For information-sharing opportunities with United Nations colleagues and access to a repository of over 1,000 relevant
policy and guidance documents, register for the Rule of Law Community of Practice Network at
http://cop.unlb.org/ruleoflaw or send an email to [email protected] with REGISTER in the subject line.

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.8 Corrections

Roles and responsibilities

The objective of corrections support in peacekeeping operations is to contribute to the maintenance of sustainable peace and
security by providing essential support to national staff to develop and manage a viable, safe and secure, gender sensitive and
humane prison system free of human rights violations, through the transfer of knowledge and skills. In a peacekeeping
environment in which the prison system has collapsed or is very weak, the primary approach taken by the Corrections
component of a peacekeeping operation will generally be a combination of strategic advisory support and, where sufficient
personnel are deployed, backstopping of the prison system.
Corrections support in peacekeeping operations is confined to that which is essential to the maintenance of peace and security.
As such, it does not seek to undertake the full range of activities that would establish a comprehensive rehabilitative prison
system but, rather, it lays the foundation for the long-term development of such a system. The involvement of civil society, of
development partners and of bilateral donors is a key aspect of any peacekeeping prison support programme.
The function is established as either a specialized Corrections component or as part of a larger rule of law component that
includes both justice and corrections capacities. Usually, these components report to the DSRSG. During the start-up phase, the
Chief of the Corrections component reviews plans and budgets for all corrections components. The Chief must make sure they
are in line with the mission plan and mandate, ensuring that policy, administrative, logistical and communications support is
adequate. The mandate will vary greatly between missions and this will dictate both the size of the component and the scope of
the tasks to be undertaken.

The work plan of the Corrections component should flow from the mission’s implementation plan and, as much as possible,
planning should be coordinated among all pillars of the justice system.

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the Justice component has achieved IOC are the following:
• Working relationship with all relevant sections, in particular justice, human rights, gender and protection-related
components, clarified and established to ensure a coordinated and balanced approach.
• Working relationship with national prison authorities and counterparts established.
• National staff identified in a gender balanced manner, guaranteeing that female personnel are assigned to oversee
women-specific corrections services.
• Contact established with United Nations agencies that may be involved in prisons issues, such as UNDP, UNODC,
UNICEF, OHCHR as well as NGOs, civil society and faith-based organizations.
• In conjunction with national authorities, preliminary assessments reviewed, security and travel permitting and, where
necessary, further comprehensive assessments of facilities, organizational structures, legislation, policy and staff
conducted.
• Work plan/concept of operations completed, addressing training, procedural and policy gaps identified in the
assessment and gap analysis.
• Opportunities for co-location of staff with local prison authorities identified, and mentoring commenced to develop the
capacity of national prison staff and give ownership to the national authorities. This should also include administrative
offices within the prison system such as personnel, finance and planning.

Critical tasks in preparation for mandate implementation

The critical tasks the Corrections component should undertake in preparing for mandate implementation are the following:

Following the initial assessment, assistance to the prison authorities should be given to develop a training plan for national
staff. The plan should cover operational staff and concentrate on security, safety, human rights and gender equality.

In most cases, it may be necessary to provide support for conducting interim staff training, while a comprehensive staff
induction programme is being developed.

In partnership with other mission components, any gaps that had been identified in legislation and policy should be
addressed.

Where required, recruitment procedures developed and recruitment commenced.

Mission-specific prisons induction training for both new civilian staff and seconded Prisons Officers should be developed.

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Assessment of local political environment conducted, in particular as regards the political will of the government for
strengthening/reestablishing a credible prison system.

Training needs analyses (TNA) conducted with the full involvement of national authorities, and a training strategy
developed.

Training facilities and training equipment identified and arrangements made with other mission components for assistance
to the local prison system, where required. Training workshops can be a good starting point for training national staff.

Where possible, co-locate international staff with local prison authorities.

Develop relevant SOPs.

Be aware of the reporting lines and requirements of regular reports. Also, identify the kind of reports that are required by
DPKO, and develop reporting templates for both mission-internal and mission-to-UNHQ reporting.

Be sure to work with United Nations agencies and other organizations operating in the country relating to prisons issues.

Win the confidence and trust of national authorities through regular contact and assist with small, critical projects in the
prisons.

The implementation of the component plan requires direct involvement with the national authorities. National authorities
should be in the lead at every stage.

Critical tasks: mission management

The critical tasks the Chief of the Corrections component should undertake, at the direction of the DSRSG, for managing
mission start-up are the following:

Planning

Be aware of inputs to be included in periodic Secretary-General reports and ensure components activities are well covered.

Some programmatic activities should be reported to DPKO directly or through the Criminal Law and Judicial Assistance
Section (CLJAS) via a variety of formats, including, but not restricted to, code cables, e-mails and telephone conversation
with focal points.

The unit work plan as well as the prisons plans, in particular, should be harmonized with that of other components working
on the criminal justice system -- such as justice, police, human rights, gender, child protection, HIV/AIDS and civil affairs -
- to ensure a holistic approach to criminal justice issues.

Identify and engage partners in programmes. Involve NGOs and civil society, such as women’s organizations, in planning
and implementation strategies.

Ensure peace support activities are grounded in the provisions of the peace agreement and Security Council resolutions.

Be aware of host country government priorities.

Be aware of lessons learned in earlier programmes and elsewhere.

Budget

Ensure that seconded officers are budgeted for. If not, liaise with the DSRSG on the possibility of utilizing other
component posts.

Be conversant with the RBB process and how to justify requirements for new posts.

Liaise with CLJAS focal points regarding the budget process.

Include in budget submissions expenses for travel, conferences and training.

Ensure that prisons reform projects are taken into consideration to receive QIPs funding.

Liaise with partners and donors on possible projects. Main partners on corrections issues usually are UNDP, UNODC,
UNICEF, OHCHR, UNIFEM and ICRC. The usual donor countries are United Kingdom, the European Union, the United
States of America, Sweden, Denmark, Norway, Netherlands and Canada. Some countries/donors have preferences in
investing in particular countries and have their individual formats for submission of project proposals. Some missions have
trust funds, and donors should be approached to contribute funds into these mission trust funds for specific prisons projects.

Recruitment

Become informed of recruitment rules and procedures.

Review personnel requirements early. Pay special attention to the need for translators and interpreters, if required. Although
not initially known, the requirement for correctional specialists may be identified. These are normally acquired as part of the
seconded staff or, in some cases, UNVs.

It is important to recruit national professional officers and other national staff as contained in the budget as soon as possible.

Begin recruiting international staff as soon as possible. Liaise with Personnel Officer and CLJAS focal points for assistance.

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The offices of CLJAS in New York have a list of seconded staff from contributing countries. Pay attention to the need for
any technical specialists, professional, seconded and UNVs. Deployment of civilian staff should normally precede
deployment of uniformed seconded staff.

When co-locating staff, thought must be given to the places of co-location, as it may not be possible to co-locate in all
prisons. Also, ensure sufficient logistical support is available, such as vehicles, computers and office space.

Aim for gender balance in all recruitment processes.

For further guidance consult:

United Nation Standards Minimum Rules: http://intranet.dpko.un.org/dpko/pages/home.aspx

Community of Practice network for Rule of Law: http://cop.unlb.org/ruleoflaw

United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org

Executive Corrections Management in UN Peacekeeping

Prison Support Guidance Manual: http://intranet.dpko.un.org/dpko/pages/home.aspx

Human Rights and Prisons - Manual for Human Rights Training for Prisons Officials:
http://intranet.dpko.un.org/dpko/pages/home.aspx

United Nations Peacekeeping Operations, Principles and Guidelines, Peace Operations Guidance Framework

Supporting National Prison Systems: Lessons Learned and Best Practices for Peacekeeping Operations:
http://intranet.dpko.un.org/dpko/pages/home.aspx

DPKO/DFS Policy on Prison Support in UN Peacekeeping Operations United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)Technical Assessment Mission
reports: http://intranet.dpko.un.org/dpko/pages/home.aspx

DPKO/DFS Guidelines for Integrating Gender Perspectives into the Work of United Nations Police in Peacekeeping
Missions, United Nations Peace Operations Guidance Framework (United Nations Peace Operations Intranet Site:
http://intranet.dpko.un.org)

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.9 Security Sector Reform

Roles and responsibilities

United Nations missions are increasingly requested to assist national authorities in the development of effective and accountable
security institutions on the basis of non-discrimination, full respect for human rights and the rule of law. Lessons from past
experiences demonstrate that early and coordinated engagement in security sector reform (SSR) can have a significantly greater
impact on peace implementation and on longer-term development than late and ad hoc involvement. If so mandated, a mission
should therefore have SSR components functional as soon as possible to assess the needs of the security sector in a holistic way;
facilitate the adoption and implementation of a locally-owned vision that guarantees freedom from fear and want for all; and that
provides the requisite legitimacy and policy direction for all other support related to security provision and governance.

The SSR Support Unit performs various functions, in accordance with the mission’s mandate and based on the particular needs
and conditions of the country in question, including, but not limited to, the following:

Establishing an enabling environment conducive to SSR.

Undertaking needs assessments and strategic planning.

Facilitating national dialogue on SSR issues.

Providing technical advice and support to components of the security sector.

Supporting coordination and resource mobilization.

Facilitating and supporting capacity-building for oversight mechanisms.

Monitoring, evaluating and reviewing SSR efforts.

The SSR Support Unit reports to the relevant DSRSG. The Chief of the SSR Support Unit is a member of the SMG and can be
requested to provide direct advice to SRSG/HOM on SSR-related matters. The SSR Support Unit is also responsible for
reporting to DPKO and for inputting into the regular Secretary-General’s reports and other relevant mechanisms, such as the
Office of Rule of Law and Security Institutions’ Monthly Field Report. Finally, the SSR Support Unit is mandated to produce
public update reports on the evolution of the reform process to help maintain momentum, operationalize and consolidate local
ownership and to help facilitate and encourage public space for the discussion and governance of the security sector.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the SSR Support Unit has achieved IOC are the following:

Core MHQ staff in place.

SSR Support Unit’s work plan approved and being implemented.

SSR reporting lines to DSRSG and DPKO clarified in mission.

Monitoring and reporting system established and functioning, including special procedures for handling sensitive materials
about justice and security organizations.

Chief of SSR Support Unit integrated into mission strategic and decision-making information flows.

Network of local contacts initiated and steadily expanded, including civil society including women’s organizations, think
tanks and academic organizations.

Critical tasks in preparation for mandate implementation

The key tasks the SSR Support Unit should undertake preparing to begin mission operations are the following:

Ensure SSR issues are considered and discussed in any ongoing peace negotiations or conflict mediation activities, as early
as possible in the peace process.

Identify areas of SSR collaboration and support with the host government.

Establish network of representatives from: local authorities, including security sector actors; civil society, including
women’s organizations; the United Nations system; regional organizations; diplomatic missions; donors; and implementing
agencies, both bilateral and multilateral.

Devise a comprehensive and consultative process integrating gender-related aspects for the assessment of the security
sector, including elements such as the following:

Strategic environment review

Threat analysis

Functional analysis

Gap analysis

Financial assessment

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Coordinate with mission actors, if applicable, to ensure coherence of approach, creation of synergies and joint planning,
including the following:

SRSG

Relevant DSRSG

Human Rights Office

Police component

Military component

Justice component

DDR

Corrections component

Gender Adviser

Civil Affairs Office

Institute monitoring and reporting methodologies for SSR processes and progress.

Through the SRSG and the relevant DSRSG, advocate, coordinate and promote the mainstreaming of SSR in the relevant
mission activities and policies.

Critical tasks: mission management

The critical tasks that the SSR Support Unit should undertake, at the direction of the SRSG/HOM DSRSG, in consultation with
DPKO, for managing mission start-up are the following:

Planning

Develop the work plan of the SSR Support Unit and establish clear ToRs for all staff.

Inform DPKO of all plans to facilitate deployment and other processes.

Work with United Nations colleagues in closely related areas, such as:

Human rights

Police

Military

Justice

DDR

Corrections

Gender

UNCT (in particular UNDP)

Local and international NGOs with human rights and protection mandates

Relevant regional dimensions of SSR

Plan for training of local partners on SSR principles and for other capacity-building programmes, and ensure resources are
in place to support such programmes.

Conduct preliminary capacity and needs assessments of the local authorities and civil society organizations expected to be
involved in SSR.

Budgeting

Prepare the SSR Support Unit’s submission for the RBB, in consultation with the DMS/CMS and DPKO.

Ensure budget submission includes request for the following:

Public communications

Short-term consultancies

Events management and expenses (including training)

Vehicles rental and maintenance

Administration and office expenses

Travel expenses

Local research and analysis company

Recruitment

Establish a recruitment plan with DMS/CMS and CCPO, in coordination with COS and SSR team at DPKO.

Ensure that the initial team is made up of experienced and technically-cleared SSR Officers.

Ensure that local language interpreters are identified and recruited, as quickly as possible.

Consider gender balance in all recruitment processes.

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Other issues

Coordinate with the SRSG/HOM and the relevant DSRSG on procedures and protocol for interacting with local
authorities, including security sector actors.

Coordinate with Spokesperson and Chief/PIO on technical and substantive issues related to SSR public
communications initiatives.

Coordinate with the Integrated Mission Training Cell (IMTC) on potential SSR capacity-building and training
activities.

For further guidance consult:

Report of the Secretary-General on Securing peace and development: the role of the United Nations in supporting
security sector reform (A/62/659 and S/2008/39) 23 January 2008

Decisions of the Secretary-General and summary record of discussion from the Policy Committee meeting of 16
February 2007, 21 February 2007

On management and integration of mission operations, 3000 Series of the United Nations Peace Operations Guidance
Framework (United Nations Peace Operations Intranet Site: http://intranet.dpko.un.org)

On field operations of SSR, 4000 Series of the United Nations Peace Operations Guidance Framework

Contact DPKO SSR Team, Telephone: +1 917-367-3763, Email: [email protected]

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best
Practices Section at [email protected]

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9.10 Mine Action

Roles and responsibilities

Peacekeeping operations in a post-conflict scenario will normally require the support of a Mine Action Coordination Centre
(MACC). This will usually be established by the United Nations Mine Action Service (UNMAS) through its implementing
partner UNOPS. A MACC may already exist in a country or region with a historic Explosive Remnants of War (ERW)
problem. In this case, UNMAS will seek funding to expand the existing MACC to meet the additional requirements of
peacekeeping mission support.

In cases where there is no existing MACC, UNMAS will deploy under the Framework for Mine Action Planning and Rapid
Response (RRP) that was developed as part of the 2001 Mine Action Strategy. It provides an overarching structure and approach
within which UNMAS -- along with members of the Inter-Agency Coordination Group for Mine Action -- monitors mine and
ERW threats globally, identifies and plans appropriate responses with members of the United Nations Mine Action Team and
facilitates the rapid deployment of assessment missions and operational assets.

Although not designed to address mine action requirements beyond the emergency phase, the RRP guides the emergency
deployment of appropriate resources and creates an environment conducive to longer-term planning. The Framework can be
implemented in response to either emergency humanitarian or peacekeeping operations. The RRP will aim to establish a MACC
within a two-week period. The MACC will report to SRSG/HOM and fulfill an advisory role on SMT.

During mission start-up, MACC will operate on two levels: providing immediate capacity to deal with ERW; and gathering
information on the threat posed by ERW, what impact it will have and how best to mitigate the impact.

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that MACC has achieved IOC are the following:

SRSG/HOM and other senior managers fully aware of the nature of the ERW threat and the impact that it will have on
operations.

Immediate landmine and ERW threat established through activities including:
o Liaison with host country military, other United Nations agencies, NGOs and local government conducted
o Reconnaissance of Main Supply Routes (MSRs), airports and proposed United Nations infrastructure conducted
and review related to Explosive Ordnance Disposal (EOD) conducted, as required
o Field assessment missions to identified or suspected contaminated areas conducted

Landmine safety training (LSP) delivered to the staff of DPKO (civilian and military), United Nations agencies and NGOs,
as required/requested.

“At risk” groups identified and a plan for the delivery of Mine Risk Education (MRE) established.

In coordination with UNDSS, a landmine and ERW threat map produced showing which areas are unsafe to travel.

Critical tasks in preparation for mandate implementation

The critical tasks the MACC should undertake in preparing of mandate implementation are the following:

MACC fully established and all infrastructures in place.

Nature of the ERW threat established, and the necessary assets and capacity to deal with it in-country.

Statements of Work written; Request for Proposal process completed; contracts awarded.

National Technical Standards and Guidelines (NTSGs) written and approved.

All Mine Action organizations and their assets accredited to conduct operations in the host country, in compliance with
Internationals Mine Action Standards (IMAS) and NTSGs.

Development and acceptance of Mine Action tasking prioritization, ensuring that gender equality considerations are taken
into account.

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Critical managerial tasks and issues

The critical tasks the MACC should undertake in managing mission start-up are the following:

Planning

Develop the strategic plan, in consultation with the national authority.

Develop annual plan, including the integration of available assets and priority settings.

Budget

Follow-up on Mine Action contribution from the mission concept, submission of RBB.

Work with UNMAS UNHQ to mobilize funds through the Voluntary Trust Fund for Mine Action to compliment the
mission budget.

Approach Mine Action Support Group (MASG) group of donors.

Make submissions to emergency appeals and alternative trust funds and funding mechanism.

Recruitment

Deploy staff from the rapid response roster to fill immediate needs.

Review personnel requirements, both national and international.

Work with UNOPS to produce definitive ToRs, advertise positions and conduct interviews.

Aim to have all staff in-country within 45 days.

Advertise, interview and induct national staff within 30 days.

Consider gender balance commitments in all recruitment processes.

For further guidance consult:

United Nations Mine Action Service, email: [email protected], Website: www.mineaction.org

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.11 Disarmament, Demobilization and Reintegration

Roles and responsibilities

The objective of a disarmament, demobilization and reintegration (DDR) process is to contribute to security and stability in
post-conflict environments in support of a peace/political process so that recovery and development can begin. DDR of ex-
combatants is a complex process with political, military, security, humanitarian and socio-economic dimensions. The DDR
process, therefore, needs to be closely coordinated with various sections of the peacekeeping mission, United Nations agencies,
national and local actors as well as communities, faction leaders and the combatants. Within the mission, a DDR component
should be set up, although the placement of the component in a particular “pillar” will depend on the specific country context
and/or phase of the peace process. In any case, the section should have close access to both political/rule of law and
humanitarian/development pillars. Some missions have piloted “integrated” DDR units comprising personnel from United
Nations agencies. This arrangement requires a MOU on administrative and operational matters.

The specific DDR responsibilities of a peacekeeping mission are derived from the mission mandate and from a political
agreement, such as a peace or ceasefire agreement, between the parties to the conflict. The DDR component of a mission
usually supports national actors in the implementation of all aspects of a DDR programme. This can involve the strategic and
operational planning of the programme as well as support for its implementation, including the collection, documentation,
control and disposal of weapons and ammunition; the construction of cantonment sites or assembly areas; the processing of
DDR participants in those sites; the provision of transitional safety allowances; and the support to reintegration programmes,
such as training or employment projects.

Initial Operating Capabilities

The key tasks that, once completed, indicate that DDR has achieved IOC are the following:

A DDR Chief deployed, together with a Planning Officer and Reporting Officer. With an integrated DDR unit, a Deputy
Chief (usually from UNDP) should be deployed.

Strategic framework for United Nations engagement in DDR finalized.

Detailed field assessment carried out, which should include the following:
o Causes, dynamics and context of the armed conflict
o Basic information about target armed groups
o Identification of DDR participants, with equal emphasis on vulnerable groups (children, women and disabled
people)
o Identification and background assessment of women associated with the fighting forces
o Distribution and availability of weapons
o Institutional capacities of national stakeholders in areas related to DDR
o Survey of socio-economic conditions and the capacity of local communities to absorb ex-combatants and their
dependents
o Preconditions and other factors influencing prospects for DDR
o Baseline data and performance indicators for programme design, implementation, monitoring and evaluation

Mission DDR steering group established under the leadership of SRSG/HOM or DSRSG and membership including:
HOMC, HOPC, Chief/Civil Affairs Office, Chief/Political Affairs Office, Chief/Public Information Office, Chief of
Administration, Gender Adviser and Chief/DDR.

UNCT DDR task force, headed by DSRSG/HC/RC, established.

Operational plan developed, in coordination with United Nations agencies and national actors.

Costing plan developed.

Critical tasks in preparation for mandate implementation

The critical tasks DDR should undertake in preparing to begin operations are the following:

Closely coordinate DDR programming with other political, peacebuilding and recovery programmes, such as elections,
security sector reform, rule of law, transitional justice, gender equality and socio-economic development programmes.

Support the establishment of a National Commission for DDR (NCDDR) or relevant national entity.

Establish an effective public information campaign for DDR, in cooperation with PIO.

Ensure integrated planning, programming and management of the DDR programme.

Ensure joint (as opposed to fully integrated) operations and implementation.

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Critical tasks: mission management

The critical tasks that DDR should undertake, at the direction of the SRSG/HOM, in managing mission start-up are the
following:

Planning

Write DDR component work plan, derived from the Integrated Strategic Framework and operational plan.

Establish division of labour for key DDR tasks, in close coordination with other components of the mission, including
military, police, and mission support as well as United Nations agencies, NGOs and national partners.

Ensure that support to the DDR programme is included in the concepts of operation for both military and police and that
sufficient resources are made available from these components to support the DDR programme.

Establish programmatic links between the DDR operation and other areas of the mission’s and United Nations agencies’
work (such as security sector reform, rule of law, recovery and development programming).

Set up a technical coordination committee and project approval committee for DDR.

Budget

Estimate the broad resource requirements for DDR.

Actively participate in the RBB process and ensure budget submission includes request for specialized equipment, such as
for the construction of demobilization camps.

Start the procurement of DDR items with long lead times.

Start securing voluntary contributions for reintegration phase, in coordination with United Nations agencies and national
actors.

Recruitment

Actively recruit Professional international and national staff and UNVs to ensure sufficient staff resources are available to
implement work plan.

Ensure the recruitment of staff in specialized DDR areas, such as planning, monitoring and evaluation, logistics, reporting,
gender and child protection.

Ensure that military and police Liaison Officers are seconded to the DDR component.

For further guidance consult:

United Nations Integrated DDR Standards (IDDRS), containing policies, guidelines and tools in 24 areas of DDR (such as
planning, programme design, staffing, budgeting, operational support and cross-cutting issues); at www.unddr.org.; direct
queries to: [email protected]

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.12 Child Protection

Roles and responsibilities

In recognition of the critical role peacekeeping operations play in providing protection to children, the Security Council has
explicitly incorporated the protection of children into the mandates of United Nations peacekeeping operations and has endorsed
the deployment of Child Protection Advisers in peacekeeping missions.

The key roles and functions of Child Protection Advisers (CPA) within peacekeeping operations derive form Security Council
resolutions 1612 (2005) on children and armed conflict and include, but are not limited to, the following:

Mainstreaming child protection through the mission by assisting the SRSG/HOM to ensure that the rights, protection
and wellbeing of all children are a priority throughout the peacekeeping process, the consolidation of peace and the re-
building of the war-affected country and in all aspects of the peacekeeping mission’s mandate and ensuring that all key
actors take a child-conscious approach to their respective mandates.

Monitoring and reporting grave child rights violations including the six grave violations laid out in Security Council
resolution 1612 (2005). CPAs represent the SRSGS/DSRSG at technical level in the Country Task Force on
Monitoring and Reporting (CTFMR) established under Security Council resolution 1612 (2005).

Engaging in dialogue with perpetrators for the development of action plans to end the recruitment of child soldiers and
other child rights violations.

Providing comprehensive training in the protection and promotion of child rights to all civilian, military and police
personnel in peacekeeping operations.

Ensuring specific reporting on children’s issues by the mission through horizontal reports, inputs into the Secretary
General’s annual reports on children and armed conflict, situation reports of grave child right violations and country-
specific reports.

Conducting high-level advocacy on children’s issues through the mission leadership.

In addition to in-mission reporting, the Chief/CPA reports to DPKO, through the SRSG/HOM, with copies to the Special
Representative of the Secretary-General for Children and Armed Conflict (SRSG/CAAC) and the Executive Director of
UNICEF.

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Chief/CPA has achieved OIC are the following:

Chief/CCPA recruited and on location.

International staff CPAs recruited and deployed to critical field locations.

In close collaboration with the O/SRSG/CAAC, CPA reporting obligations and lines clarified in mission.

Key roles of the Child Protection Section (CPS) and representation of the CPS in relevant, working groups, committees,
senior management meetings and mission strategic and decision-making processes established. These include, but are not
limited to, the rule of law working group, DDR inter-agency working group/national DDR commission, senior management
meetings and regular heads of sections meetings at the FO level and at MHQ.

Where applicable, the role of the mission and the CPA in United Nations Country Task Force on Monitoring and Reporting
established under Security Council resolution 1612 (2005) and clarified within the mission, with UNICEF and other
CTFMR members. The CPA represents the SRSG/DSRG on the CTFMR at technical level meetings.

Participation in UNCT processes and relationships with key partners – local, United Nations and international NGOs –
initiated.

Critical tasks in preparation for mandate implementation

The critical tasks the CPA should undertake in preparing to begin mission operations are the following:

Conduct an assessment on children protection issues in the mission area, working closely with the military, human rights,
rule of law, DDR and political affairs as well as externally with UNICEF.

Develop and discuss with senior management an overall approach to children’s rights, based on identified child protection
requirements and needs.

With the assistance of the SRSG/HOM, obtain a commitment from the HOMC and HOPC to cooperate on providing
training on child rights for all military officers, troops and police officers.

Secure the designation of child protection focal points with the military, police and military observers and with the heads of
relevant offices.

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Through SRSG/HOM and DSRSG, advocate, coordinate and promote mainstreaming of child protection concerns in all
mission activities/policies.

With guidance from the SRSG/HOM, the O/SRSG/HOM-O/CAAC and in consultation with UNICEF, develop and discuss
options for engaging in dialogue with the parties to the conflict on the development of an action plans to end the recruitment
of child soldiers and other child rights violations.

With the support of United Nations military observers, lead the negotiation process for the release of children associated
with armed forces and groups. Liaise with UNICEF on the reintegration process.

Where applicable, develop and discuss terms of reference for the CTFMR, with guidance from the O/SRSG-CAAC, the
Steering Committee on CAC and in collaboration with UNICEF representatives on the ground.

Agree on modalities of information sharing on grave violations committed against children with the Head of the Human
Rights component, the military, police and the heads of other relevant sections.

Develop an induction and training plan with IMTC and the United Nations Police for induction and continual training of all
mission staff on child rights and protection.

Establish coordination and information sharing mechanisms and advocacy strategies with key partners, such as UNICEF,
with an emphasis on the complementarities of roles.

Critical tasks: mission management

The critical tasks the CCPA should undertake, at the direction of the SRSG/HOM, in managing mission start-up are the
following:

Planning

Develop CPS work plan, based on key roles of the CPA stemming from the Security Council resolutions 1612 (2005) on
children and armed conflict.

Work with COS and heads of other substantive units deploying to FOs (especially human rights, political affairs and heads
of FOs) to plan staff deployment to FOs.

Work with colleagues in closely related areas, including the following:
– Human rights
– Corrections and judicial advisory
– DDR
– Gender
– United Nations Police
– Protection of civilians, where present
– United Nations military observers
– UNCT (in particular, UNICEF and UNHCR), ICRC and other international NGOs dealing with child protection issues

Budgeting

Prepare CPS submission for RBB, in consultation with O/DMS/CMS.

Ensure budget submission includes request for training of staff.

Recruitment

Establish recruitment plan with the CCPO, in coordination with O/COS and in consultation with O/SRSG-CAAC and
DPKO UNHQ.

Ensure initial team is made up of experienced (and technically cleared) Child Protection Officers who can conduct critical
child protection tasks.

For further guidance consult:

On management and integration of mission operations, 3000 Series of United Nations Peace Operations Guidance
Framework (http://intranet.dpko.un.org)

On field operations of Human Rights, 4000 Series of United Nations Peace Operations Guidance Framework
(http://intranet.dpko.un.org)

O/SRSG-CAAC Office in New York

Child Protection Focal Point in the Peacekeeping Best Practices Section/DPKO

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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9.13 Gender Adviser

Roles and responsibilities

In recognition of the urgent need to mainstream a gender perspective into peace operations, the Security Council has explicitly
incorporated the promotion and protection of women’s rights into the mandates of United Nations peacekeeping operations and
endorsed the deployment of gender components to peacekeeping missions.

The key roles and functions of Gender Advisers within peacekeeping operations derive from the global agenda for peace and
security, in particular Security Council resolutions 1325 (2000) and 1820 (2008) on women, peace and security.

The overall objective of Gender Advisers in all peacekeeping missions is to promote and support gender-sensitive approaches to
implementation of a mission mandate and includes, but is not limited to, the following:
• Provision of strategic advice in planning and decision-making processes at a senior level to ensure that gender issues
are adequately addressed in mandate implementation during all phases of the mission.
• Ensuring that each functional area of a mission is aware of and adequately promotes gender equality in their areas of
work through the establishment of a mission gender task force and through integration of gender perspectives into all
sections’ work plans.
• Facilitating implementation of Security Council resolution 1325 (2000) and 1820 (2008) and gender mainstreaming by
building the capacity within the mission to understand and address gender issues and, where appropriate, helping to
build such capacity among external partners who work with the mission on relevant aspects of mandate
implementation.

Gender Advisers usually report to the SRSG/HOM through the COS or the DSRSG/HC/RC.

Initial Operating Capability

The key tasks that, once completed, indicate that the Gender Adviser has achieved IOC are the following:

Gender Adviser is recruited and on location.

Gender Adviser’s reporting lines are clarified in mission.

Advisory role of the Gender Adviser vis à vis the senior management is clarified.

Gender Adviser’s work plan is finalized, including priority areas for the first months.

Framework for a gender situation analysis is developed.

Initial induction training on gender issues is set up for civilians and uniformed personnel.

Representation of the Gender Adviser in relevant, working groups, committees, senior management meetings, heads of
sections meetings and mission strategic and decision-making processes established.

Establishment of and/or participation in UNCT processes and relationships with key partners – local, United Nations and
NGOs -- initiated.

Critical tasks in preparation for mandate implementation

The critical tasks the Gender Advisor should undertake in preparing for mission operations are the following:

Undertake and regularly update a gender situation analysis that informs the mission plan. This process should build on the
IMPP at UNHQ in which a gender specialist would have participated and contributed to the technical assessment
undertaken by UNHQ. Mission Gender Advisers can contact the DPKO Gender Team in New York for any information
relevant to the technical assessment, if it is not available at the field level. The gender situation analysis should aim to
identify, as a minimum, the following:
o Key challenges and priority actions required to implement the aspects of the mission’s mandate that explicitly refer
to gender
o Key gender-related obstacles to the implementation of other areas of the mission mandate that may not explicitly
mention gender but affect women/girls and men/boys differently
o Existing gender programmes undertaken by national counterparts, UNCT partners and humanitarian actors (in
particular protection actors) and areas where the peacekeeping operation has a comparative advantage in
addressing gender equality in relation to the conflict situation

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Develop and discuss with senior management an overall approach to address gender related issues, according to identified
requirements and needs in this area.

Develop induction and training plan with the ITC/IMTC and the police and the ilitary for induction and continuing training
on gender issues for all mission staff, including uniformed personnel.

Secure the designation of gender focal points within all functional areas of the mission including the military, police and
military observer to form a gender task force.

Through SRSG/HOM and DSRSG, advocate, coordinate and promote mainstreaming of gender concerns in all mission
activities/policies.

Establish coordination and information sharing mechanisms and advocacy strategies with key partners, such as UNCT and
the government of the host country.

Critical tasks: mission management

The critical tasks the Gender Adviser should undertake, at the direction of the SRSG/HOM, in managing mission start-up are the
following:

Planning

Develop a work plan to guide the Gender Adviser’s priorities and tasks and, ultimately, the development of the mission’s
gender implementation plan.

While the development of partnerships will often be context specific, gender advisers should participate actively in and
engage with the following structures:
o MLT
o Gender focal points within divisions/sections/units of the mission (while leading the mission’s gender task force)
o UNCT gender theme group, in the first instance, and, more broadly, with the UNCT as a whole (Where a gender
theme group does not exist, the Gender Adviser/focal point can assist in facilitating its establishment and ensure
sustainable leadership by the UNCT.)
o Protection cluster set up as part of the humanitarian response and, where it exists, the subgroup on sexual and
gender-based violence
o National networks of women’s groups or civil society groups and national women’s machinery

Budgeting
• Prepare submission for RBB, in consultation with O/DMS/CMS.
• Ensure budget submission includes request for gender training of all mission staff.
• Ensure budget submission includes request for staff members of the Gender component to attend trainings.
• Ensure budgeting for gender related activities within other functional and operational sections in the mission.

Recruitment
• Support the recruitment plan of the mission and provide advice on strategies to achieve the gender balance.
• Ensure initial team is made up of experienced Gender Affairs Officers.

For further guidance consult:

Gender specific guidance:
• Security Council resolution 1325 (2000) on women and peace and security
• Policy on Gender Equality in United Nations Peacekeeping Operations, United Nations Peace Operations Guidance
Framework (UN Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Guidelines for Gender Advisers and Gender Focal Points in United Nations Peacekeeping Operations, United Nations
Peace Operations Guidance Framework (UN Peace Operations Intranet Site: http://intranet.dpko.un.org)
• SOP on Reporting by Gender Advisers in Integrated UN Peacekeeping Operations, United Nations Peace Operations
Guidance Framework (UN Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Gender Resource Package for UN Peacekeeping Operations, United Nations Peace Operations Guidance Framework
(UN Peace Operations Intranet Site: http://intranet.dpko.un.org)

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General guidance:
• On management and integration of mission operations, see 3000 Series of United Nations Peace Operations Guidance
Framework (UN Peace Operations Intranet Site: http://intranet.dpko.un.org)
• Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best
Practices Section at [email protected]

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9.14 HIV/AIDS

Roles and responsibilities

The HIV/AIDS component within a peacekeeping mission provides HIV induction to all United Nations personnel within six
weeks of arrival. This includes training on the mission-specific profile on HIV, where and how staff can access condoms,
voluntary confidential counselling and testing (VCCT) services and post exposure prophylaxis (PEP Kit) for accidental exposure
to HIV or assault. The component is also responsible for mainstreaming HIV, as a cross-cutting issue, into mission mandates by
participating in meets with the SMG, the chief of sections and other similar meetings. Hence, it is imperative to have the Chief
HIV/AIDS Officer/Adviser and team on the ground immediately after critical logistical support functions have been established.

HIV functions include the following:

HIV sensitization to all United Nations personnel.

HIV training on peer education and VCCT for selected staff members drawn from military, police and civilian components.

Establishing a network of focal points throughout the mission.

Advocacy and dissemination of information, education and communication (IEC) materials on HIV, including condoms and
PEP kits.

Mainstreaming HIV into other mission mandates.

Training and capacity-building of national uniformed services.

Supporting the implementation of the United Nations Learning Strategy on HIV with United Nations Cares and UNCT.

Supporting capacity-building of vulnerable groups with internal and external partners.

HIV/AIDS components normally fall under the humanitarian pillar and report to the DSRSG/RC/HC and receive technical
advice from PBPS in UNHQ. It is highly recommended to establish a secondary reporting line within the mission to CMS/
DMS for administrative, budgetary and operational processes. Key partners in the field include the Chief Medical Officer and
the Force Medical Officer and their units; military, police and civilian training cells that form the IMTC; PIO; Staff Welfare
Committee; substantive and cross-cutting units such as gender, child protection, DDR/SSR/CVR, civil affairs, human rights,
conduct and discipline and the BPO.

Key external partners include the Joint United Nations Programme on HIV/AIDS (UNAIDS), the United Nations Population
Fund (UNFPA) and other United Nations agencies, funds and programmes engaged in HIV programming through the Thematic
Group/Joint United Nations Team on AIDS (JUNTA); HIV and STI counterparts in national government; national police (and
military, where applicable) training and health structures; as well as key NGOs and community-based organizations (CBOs)
engaged in HIV response.

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the HIV/AIDS component has achieved IOC are the following:

Chief HIV/AIDS Officer/Advisor recruited and deployed.

Core staff recruited and situated in an operational office (including access to private space for VCCT).

Component’s work plan approved and being implemented.

Initial group of focal points within the different sections/components of the mission identified and trained.

Network of local contacts initiated and steadily expanded.

Information on HIV/AIDS (e-letters, newsletters, etc.) developed and disseminated, periodically.

Critical tasks in preparation for mandate implementation

The critical tasks the HIV/AIDS component should undertake in preparing to begin mission operations are the following:

Brief senior management and key internal and external partners on HIV mandate and establish links.

Work with the military, police and civilian Training Officers to schedule and coordinate induction sessions in MHQ and the
regions.

Meet with military and FPU contingent commanders and medical officers, regional medical teams, regional administrative
officers and regional civil affairs officers to explain the HIV/AIDS mandate and lay the groundwork for establishing
regional HIV focal points.

Devise and set up a referral system for the HIV/AIDS component. Ensure that United Nations personnel, no matter where
they are located, have access to condoms as well as receive comprehensive VCCT and PEP kit information, referrals and

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 services on mission premises. In addition to staff members, the HIV/AIDS component will rely on HIV/AIDS focal points
to assist with dissemination of HIV messaging.

Coordinate with key internal partners to advocate and implement VCCT to all United Nations personnel.

Establish network of UNCT, official and civil society contacts.

Critical tasks: mission management

The critical tasks the HIV/AIDs component should undertake, at the direction of the DSRSG and in consultation with
DPKO/PBPS, in managing mission start-up are the following:

Planning

Develop HIV work plan and establish clear terms of reference for all staff.

Ensure the broader objectives of the mission concept reflect HIV concerns, where appropriate.

Work with the Medical Services to procure, store and distribute test kits, PEP kits and condoms.

Conduct preliminary capacity and needs assessment of local actors, national institutions and uniformed services to reinforce
capacity within mandate.

Work with IMTC, Medical Services, Civil Affairs Office, Staff Welfare Committee, PIO, DMS/CMS and the Chief
Security Adviser to plan field activities and outreach (training, VCCT services (stationary and mobile)), community
outreach through QIPs and/or joint regional initiatives with Civil Affairs and PIO.

Cooperate with colleagues in key cross cutting areas (e.g., gender, child protection, humanitarian, DDR/SSR/CVR, human
rights, conduct and discipline, civil affairs, UNCTs) to build synergy by piggy-backing on each other’s initiatives.

Budget

Prepare HIV submission for the RBB.

Consult large sections that support HIV-related activities (IMTC, medical, civil affairs, PIO, supply, CITS, etc.) to ensure
they are informed about HIV needs, including requests for specialized equipments or projects.

HIV/AIDS Advisers should actively advocate for inclusion in QIPs Project Review Committees to ensure that HIV, as a
cross-cutting issue, is reflected in awarded QIPs.

Recruitment

Establish recruitment plan with DSRSG/RC/HC and CCPO, in consultation with DPKO/PBPS.

Ensure initial team is made up of experienced HIV practitioners with combined experiences and background in medical,
uniformed services, training, advocacy, monitoring and evaluation as well as appropriate language skills to maximize HIV
coverage in training and service provision.

Identify and train focal points within other units/regions to ensure mission-wide coverage.

Consider eventual exit and transfer of capacity to nationals.

For further guidance consult:

DPKO/DFS Policy on the Role and Functions of HIV/Aids Units in United Nations Peacekeeping Operations, United
Nations Peace Operations Guidance Framework (UN Peace Operations Intranet Site: http://intranet.dpko.un.org)

DPKO/DFS HIV Standardized Generic Training Module (SGTM 16A)

MINUSTAH’s Standard Operating Procedure (SOP) guide

WHO Post Exposure P Starter Kit Guideline “Post-exposure prophylaxis to prevent HIV infection”
http://www.who.int/disasters/repo/13849_files/r/PEPkit.pdf

Family Health International’s guide on VCCT training
http://www.fhi.org/en/HIVAIDS/pub/guide/vcttrain.htm

HIV/AIDS Community of Practice – to register go to http://cop.dfs.un.org/

DPKO/DFS HIV/AIDS Policy Advisor in the Peacekeeping Best Practices Section, UNHQ

Contact Mission Best Practices Officer (BPO); if there is no BPO in the mission, contact the Peacekeeping Best Practices
Section at [email protected]

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 Annex I
Glossary9

ACABQ Advisory Committee on Administration and Budgetary Questions

AME Aero-Medical Evacuation
AOR Area of Responsibility
APOD Aerial Port of Debarkation
AR/AP Accounts Receivable/Accounts Payable
AT Advance Team
AU Africa Union
BOI Board of Inquiry
BPO Best Practices Officer
BPRS Budget Performance Reporting Service

CAA Civil Aviation Authority

CAP Consolidated Appeals Process
CAS Chief Administrative Services
CAVO Chief Aviation Officer
CBO Chief Budget Officer
CCIRs Commander’s Critical Information Requirements
CEO Chief Electoral Officer
CITS Communications and Information Technology Service
CCPO Chief Civilian Personnel Officer
CDT Conduct and Discipline Team
CDW Casual Daily Worker
CFO Chief Finance Officer
CHAP/CAP Common Humanitarian Action Plan/Common Action Plan
CISS Chief of Integrated Support Services
CITS Communications and Information Technology Service
CIMIC Civil-Military Coordination Cell
CIMCOORD Civil-Military Coordination
CLJAS Criminal Law and Judicial Advisory Section
CMS Chief of Mission Support
CMT Crisis Management Team
COE Contingent-owned Equipment
CONOPS Concept of Operations
COS Chief of Staff
CPA Child Protection Advisor
CPO Chief Procurement Officer
CPS Child Protection Section
CRB Claims Review Board
CRM Customer Relationship Management
CSA Chief Security Advisor
CSO Chief Security Officer
CTFMR Country Task Force on Monitoring and Reporting
CTO Chief Transport Officer

DDR Disarmament, Demobilization and Reintegration

DFS Department of Field Support
DM Department of Management
DMS Director of Mission Support
DO Designated Official
DPA Department of Political Affairs
DPI Department of Public Information
DPKO Department of Peacekeeping Operations
DSRSG Deputy Special Representative of the Secretary-General
DSRSG/RC/HC Deputy Special Representative of the Secretary-General/Resident Coordinator/Humanitarian Coordinator

EAD Electoral Assistance Division

9
For a comprehensive list of peacekeeping terms, including definitions of key terms, see United Nations Peace Operations
intranet at http://intranet.dpko.un.org/dpko/pages/PublicGlossaryView.aspx

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EOL Exchange of Letters
ERC Emergency Relief Coordinator
ERW Explosive Remnants of War

FBFD Field Budget and Finance Division

FC Force Commander
FMT Funds Monitoring Tool
FO Finance Office
FOC Full Operating Capability
FPD Field Personnel Division
FPU Formed Police Unit
GIS Geographic Information System

HC Humanitarian Coordinator
HCC Headquarters Committee on Contracts
HCT Humanitarian Country Team
HHRC Head of Human Rights Component
HIV/AIDS Human Immunodeficiency Virus/Acquired Immune Deficiency Syndrome
HOFO Head of Field Office
HOLO Head of Liaison Office
HOM Head of Mission
HOMC Head of Military Component
HOPC Head of Police Component
HRAP Human Resources Action Plan
HRC Human Rights Component

IC Independent Contractor
ICRC International Committee of the Red Cross
ICT Information Communications Technology
IFES International Foundation for Electoral Services
IMAS International Mine Action Standards
IMIS Integrated Management Information System
IMPP Integrated Mission Planning Process
IMTC Integrated Mission Training Cell
IMTF Integrated Mission Task Force
INCOTERM International Commercial Terms
IOC Initial Operating Capability
ISF Integrated Strategic Framework
ISS Integrated Support Services
ITF Integrated Task Force
ITS Integrated Training Service

JGIS Joint Geographic Information Section

JLOC Joint Logistics Operations Centre
JMAC Joint Mission Analysis Centre
JMCC Joint Movement Control Cell
JOC Joint Operations Centre

LAO Legal Affairs Office

LCC Local Committee on Contracts
LO Liaison Office
LOA Letters of Assist
LSD Logistics Support Division

MACC Mine Action Coordination Centre

MARS Mail Action Records System
MCS Movement Control Section
MDTS Mobile Deployable Telecommunication System
MHE Material Handling Equipment
MHQ Mission Headquarters
MLT Mission Leadership Team
MORSS Minimum Operating Residential Security Standards
MOSS Minimum Operating Security Standards
MOU Memorandum of Understanding
MOVCON Movement Control

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MPS Military Planning Service
MRP Material Resource Plan
MSA Mission Subsistence Allowance
MSR Main Supply Routes

NGO Non-governmental Organization

NOTICAS Notification of Casualties
NPO National Professional Officer
NTSG National Technical Standards and Guidelines

OCHA Office for the Coordination of Humanitarian Affairs

OGM Occupational Group Manager
OHCHR Office of the High Commissioner for Human Rights
OHRM Office for Human Resources Management
OIC Officer in Charge
OIOS Office of Internal Oversight Services
OLA Office of Legal Affairs
OPPBA Office of Programme Planning Budget and Accounts
ORB Occasional Recuperational Breaks
ORLSI Office of Rule of Law and Security Institutions

PAO Political Affairs Office

PC Police Commissioner
PCC Police-Contributing Country
PCIU Property Control and Inventory Unit
PEP Kit Post Exposure Prophylaxis Kit
PFD Peacekeeping Finance Division
PIO Public Information Office
PIR Priority Information Requirements
PKDB Peacekeeping Database
PM Programme Manager
PMCA Pre-mandate Commitment Authority
PO Purchase Order
POL Petroleum, Oil and Lubricants
PORS Peacekeeping Operations Retention Schedule
PRC Project Review Committee
PRSP Poverty Reduction Strategy Paper
PSB Property Survey Board
PX Post Exchange
QIPs Quick Impact Projects
QMT QIPs Management Team
RAO Regional Administrative Officer
R&I Receiving and Inspection
RBB Results-Based Budgeting
RC Resident Coordinator
RM Records Management
ROE Rules of Engagement
RRP Rapid Response Plan previously referred to as Mine Action Planning and Rapid Response
RSO Regional Security Office
SAPC Shared Analytical Planning Capacity
SAR Search and Rescue
SAU Self-Accounting Unit
SDS Strategic Deployment Stocks
SEA Sexual Exploitation and Abuse
SIU Security Investigation Units
SLA Senior Legal Adviser
SMG Senior Management Group
SMS Short Message Service
SMT Security Management Team
SOC Security Operations Centre
SOFA Status-of-Forces Agreement
SOMA Status-of-Mission Agreement
SOP Standard Operating Procedure

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SOW Statement of Work
SPA Senior Police Adviser
SPC Standing Police Capacity
SPC Strategic Planning Capacity
SPOD Seaport of Debarkation
SRSG Special Representative of the Secretary-General
SRSG-CAAC Special Representative of the Secretary-General for Children and Armed Conflict
SSR Security Sector Reform
SVA Special Vacancy Announcements

TAM Technical Assessment Mission

TCC Troop-Contributing Country
TDY Temporary Duty
TNA Training Needs Assessment
TOC Tender Opening Committee
TOCA Transfer of Command Authority
ToR Terms of Reference

UN United Nations
UNCT United Nations Country Team
UNDOCO United Nations Development Operations Coordination Office
UNDSS United Nations Department of Safety and Security
UNDP United Nations Development Programme
UNHCR United Nations High Commissioner for Refugees
UNHQ United Nations Headquarters
UNICEF United Nations Children Fund
UNIFEM United Nations Development Fund for Women
UNLB United Nations Logistics Base
UNLP United Nations Laissez-Passers
UNMAS United Nations Mine Action Services
UNMO United Nations Military Observer
UNODOC United Nations Office on Drugs and Crime
UNOE United Nations-owned equipment
UNON United Nations Offices at Nairobi
UNOPS United Nations Office for Project Services
UNPD United Nations Police Division
UNSECOORD United Nations Security Coordinator
UNV United Nations Volunteers
USG Under-Secretary-General
UXO Unexploded Ordnance

VAC Vehicle Allocation Committee

VCCT Voluntary Confidential Counseling and Testing

WFP World Food Program

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 Annex II

Summary of Initial Operating Capability Indicators

4. Mission Headquarters Initial Operation Capabilities

Mission governance and decision-making arrangements established:

Authority, command and control, and managerial reporting arrangements -- particularly for joint structures such as the Joint
Operations Centre (JOC) and the Joint Mission Analysis Centre (JMAC) – are clarified through a clear directive from
SRSG/HOM, in accordance with existing policy.

MHQ structures and responsibilities of individual components are delineated, including for force headquarters and military
command framework, for police headquarters and chain of command and for civilian component managerial structures.

Mission Leadership Team (MLT) and Senior Management Group (SMG) (see section 4.3.1 and 4.3.2) meetings are held
regularly and chaired by SRSG/HOM.

Officer-in-Charge is designated to cover in the absence of the SRSG/HOM. Any delegations of authority from SRSG/HOM
to other managers are clearly articulated through SRSG/HOM directive or decision.

Mission security arrangements in place:

Network of security professionals is in place and security risk assessment undertaken.

SRSG/HOM has been fully briefed on responsibilities and is reviewing security assessments regularly.

The Designated Official convenes and chairs regular SMT meetings.

MOSS/MORSS has been communicated to those staff responsible for planning mission start-up and has been factored into
all mission planning and budgets.

MOSS/MORSS standards are in place for all MHQ premises.

Mission and UNCT warden system set up, and any information systems for security notifications for all personnel are in
place.

Heads of all United Nations security entities (Chief Security Adviser, Head of Military Component (HOMC), Head of
Police Component (HOPC), VIP protection team, UNCT security, etc.) have agreed to respective security responsibilities
and are coordinating their tasks under an integrated security concept.

Arriving personnel are being briefed on security situation and they are given all relevant security and crisis procedures
and/or any safety/security equipment.

Crisis management systems agreed to and in place:

Crisis Management Team (CMT) is established, in accordance with DPKO/DFS procedures.

Crisis Manager (and alternate) is pre-designated to coordinate mission response and lead CMT during a crisis.

JOC is established as CMT meeting point during crises, and minimum equipment and standard operating procedures (SOPs)
are in place to support CMT.

At least one exercise or “dry run” of CMT assembly and simulation of a crisis has been conducted.

Mission plan approved:

Strategic planning cell (mission planning capacity), shared analytical planning capacity (UNCT-mission planning capacity)
and senior planning coordination structures established.

Mission concept and integrated strategic framework (ISF) are completed and approved by the mission, and in the case of the
ISF, by the mission and UNCT senior leadership.

Work on components’ work plans has begun, derived from the ISF.

Responsibility is assigned for ongoing monitoring of implementation of mission plan and for initiating reviews.

Core mission support planning and logistics functions operational:

Office of DMS/CMS (O/DMS/CMS), Office of CISS (O/CISS) and Office of CAS (O/CAS) are at IOC (see sections 5.4,
8.1 and 8.2).

AT tasks are completed or substantively completed. (See chapter 3 for more details.)

Mission support CONOPS is agreed to.

JLOC is established and functioning (see section 8.6).

Budget and finance systems operational:

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AT finance tasks are completed. (See chapter 3 for more details.)

All incoming managers are briefed on their existing initial budget allocations and staffing tables.

DMS/CMS and the COS are assigned as leads on RBB development process.

All mission managers are aware of their RBB responsibilities and mission procedures for development of RBB.

Linkages between mission plan and RBB are established by COS.

Initial mission budget is submitted, defended and finalized.

Delegations of authority are in place to allow mission to locally enter into financial commitments.

Recruitment, reception and induction systems operational:

All necessary delegations of authority for recruitment are in place.

All managers have been advised of responsibilities, authorities and procedures for recruitment within their components.

Key mission posts are identified as priority by MLT/SMG, and recruitment progress for these posts are being monitored
closely by COS, DMS/CMS and CCPO.

Majority of senior and middle mission managers (including a number of section chiefs) have been recruited.

UNHQ Tiger Teams or other additional support/expedited measures are being requested, as needed.

Streamlined staff reception and check-in process is in place.

Basic staff induction programme is in place.

Reporting and information management systems functioning:

Clear reporting requirements from field offices (FOs), mission components, including from joint and integrated structures,
and, as appropriate, from UNCT are established.

MHQ–UNHQ reporting requirements are in place, including secure reporting, with all official reporting cleared by the
SRSG/HOM.

Internal information management systems are established for disseminating information downward and outward from
SRSG/HOM and MLT to section chiefs, FOs, LOs, etc. (e.g., distribution lists for outgoing/incoming code cables and
decision notes or directives).

Joint and integrative structures operational:

JMAC and JOC are established, with proper resources and mandates. (See joint structures in section 4.3.)

JMAC has received MLT guidance on its priority information requirements.

Working relations between joint structures (JOC/JMAC) and line analysis and reporting offices (e.g., military information
service (J2) or Political Affairs Office) is harmonized and cooperative.

Standing or ad hoc working groups or task forces (part-time or full-time) are established, as required, to generate integrated
plans or other products for cross-cutting mandate tasks (e.g., protection of civilians). Clear terms of reference (ToR) and
senior management direction have been given to working groups and task forces.

Conduct, discipline and oversight systems in place:

Conduct and Discipline Team (CDT) is established and functioning.

Reporting and consultations mechanisms between the SRSG/HOM, military, police and mission support components and
the CDT are in place.

The CDT is consulted on issues affecting conduct, discipline and welfare, through participation in SMG.

Clear directives on standards of conduct and expectations are sent from the highest level of SRSG/HOM and MLT to all
mission components.

Information on the importance of maintaining the highest standards of conduct and the potential impact of misconduct on
the mission’s mandate is regularly integrated in key messages from the SRSG/HOM to all categories of United Nations
personnel.

Senior staff are advised of their responsibilities to uphold zero tolerance policy and all conduct-related guidance, as they are
on their responsibilities to actively manage staff conduct.

Reporting mechanisms related to conduct issues are in place.

Clear delineation of responsibilities and mechanisms for consultations between CDT, oversight bodies and investigations
are place.

Public information strategy and capabilities in place:

Public information strategy is established for the first phase of mission, in line with mission concept of operations.

Mission Press Office is established and contacts are made with local and international media in country and the region.

Press briefings have begun by SRSG/HOM and spokesperson on mission mandate and details of deployment.

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Media monitoring is established and assessing how the mission is being received and its mandate understood, in order to
help mission refine public messaging and target misperceptions.

Daily contact is being maintained with the Office of the Spokesperson for the Secretary-General in UNHQ, with mission
PIO forwarding regular and timely information on deployments and other events during mission start-up.

Regular press releases and video and photo coverage are being produced of deployments and other events in mission start-
up.

Contacts are established with appropriate host country officials to ensure cooperation and to obtain authorization for United
Nations mission broadcasting, should broadcasts be planned for the mission.

Public Information Working Group is established across the United Nations system and with the appropriate partners, to
ensure coordinated public information approaches.

Trust fund and Quick Impact Projects (QIPs) systems in place:

QIPs Committee is established by SRSG/HOM in close coordination with the DSRSG/HC/RC. Initial guidance on project
identification is issued, in accordance with DPKO/DFS policy and guidelines on QIPs.

QIPs account and allotments are established by UNHQ, based on ToR established by QIPs Committee.

Trust fund is established to utilize voluntary contributions to implement programmes and projects in support of the
mission’s mandate.

Coordination systems with UNCT in place:

Office of DSRSG/RC/HC (O/DSRSG/RC/HC) (or DSRSG and RC/HC offices, respectively, if the mission is not
structurally integrated) is in place and functioning.

UNCT strategic planner is deployed to the O/DSRSG/RC/HC.

Regular consultations with UNCT are underway and the Shared Analytical and Planning Capacity as well as planning
coordination structures between mission and UNCT are established.

United Nations Humanitarian Civil Military Coordination (CMCOORD) function is established by the mission’s civilian
humanitarian and OCHA; and the civil–military liaison function is established within the military structure to manage civil–
military interface and requests for civil assistance from military assets.

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5.1 Special Representative of the Secretary-General/Head of Mission (SRSG/HOM)

Initial Operating Capability

The suggested start-up tasks that, once completed, indicate the Office of the SRSG/HOM (O/SRSG/HOM) has achieved IOC are
the follows:

Initial contact networks established with parties to the conflict and with key foreign and regional governments, civil society
organizations and non-governmental organizations (NGOs).

O/SRSG/HOM staffed (Special Assistants, Personal Assistants and Language Assistants).

Senior decision making forums established and meeting regularly (MLT and SMG).

Mission command and control and reporting arrangements in place and clearly communicated, along with any specific
delegations of authority by SRSG/HOM.

OIC designated to cover during SRSG/HOM absences from mission area.

Capacity in place to manage crises.

Capacity in place to monitor and report on the peace process/peace agreement implementation and mandate implementation.

FO deployment plan confirmed and deployment to priority locations initiated.

Programme for senior management visits to FOs agreed to.

Conduct and discipline directives issued by SRSG/HOM.

Development of public information strategy underway.

Under direction of the OLA, SOFA/SOMA finalized or in final stages.

Relations with UNCT formalized and two-way information channels established.

Mission protocol systems in place.

5.2 Deputy Special Representative of the Secretary-General (DSRSG)

Initial Operating Capability

The suggested start-up tasks that, once completed, indicate that DSRSG has achieved IOC are as follows:

If DSRSG is designated second-in-charge in the absence of the SRSG, clear understanding is reached with SRSG/HOM
regarding her/his expectations for DSRSG OIC role, during the absence of the SRSG/HOM (i.e., agreement reached on
which decisions may be taken by the DSRSG under OIC authority in the absence of the SRSG/HOM and which issues
should be referred to SRSG/HOM upon return to mission).

Reporting arrangements are established within DSRSG pillar, including information sharing arrangements with other
pillars, in line with mission’s overall information management system (see section 4.3.3).

Mechanisms established for interaction between O/SRSG/HOM, O/DSRSG/RC/HC, O/COS, the military component, the
police component and the O/DMS/CMS.

Clear priorities and political guidance on mandate implementation provided to all sections under DSRSG management
authority to inform sections’ work plans.

DSRSG contribution to ISF and other critical mission plans finalized.

Component work plans in place, and submissions to the RBB completed.

5.3 DSRSG/Resident Coordinator/Humanitarian Coordinator (DSRSG/RC/HC)

Initial Operating Capability
The key tasks that, once completed, indicate that IOC has been achieved by the O/DSRSG/RC/HC are the following:

Clear priorities and political guidance provided to all sections under DSRSG management authority, to inform their work
planning and implementation.

DSRSG/RC/HC component work plans in place and submissions to RBB complete and harmonized with the resources of
the UNCT.

A Strategic Planner deployed to the O/DSRSG/RC/HC (generally funded by the United Nations Development Operations
Coordination Office (UN DOCO)).10

10
The United Nations Development Operations Coordination Office (UN DOCO) manages funds to support Offices of Resident Coordinators,
including RCs who are triple-hatted. Depending on the context, strategic planners for O/DSRSG/RC/HC may be funded through the RBB

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Sound working relationships established with O/SRSG/HOM, O/DSRSG, O/COS, military component, police component
and O/DMS/CMS.

Civil–military liaison/coordination arrangements in place and agreed to by HOMC.

QIPs Management Committee established with O/DSRSG/RC/HC participation, in accordance with existing QIPs policy
(see section 4.3.3g).

Agreement in place with DMS/CMS on conditions for access of UNCT actors to mission assets and services and, where
appropriate, arrangements for common services for the mission and other United Nations actors.

From the outset, UNCT fully briefed and involved on mission mandate, roles and responsibilities; and mission senior
managers fully briefed on UNCT programmes and plans.

Regular or periodic UNCT–mission meetings, information sharing, communications systems and shared analytical and
planning capacity (see section 4.3.2 related to IMPP) established and functioning.

UNCT engaged in contributing to the development of priorities for peace consolidation to be aligned through an ISF.

Working relationships and communication channels with relevant governmental institutions established.

Working relationships with wider humanitarian community (including humanitarian and development NGOs) and civil
society established.

Donors engaged and briefed on mission and UNCT objectives as well as concerns about funding and priority areas for
assistance to consolidate peace.

5.4 Director of Mission Support/Chief of Mission Support (DMS/CMS)

Initial Operating Capability
The key start-up tasks that warrant DMS/CMS engagement and, once completed, indicate that DMS/CMS has achieved IOC are
the following:

Good working relationships established with relevant host country authorities to facilitate the movement of personnel and
equipment into and within the mission area and other administrative authorizations or licenses obtained from the host
nation, in accordance with the SOFA/SOMA.

The mission budgeting process institutionalized, with trained RBB focal points identified in all substantive and support
offices.

Premises for mission and component headquarters fully functional.

All financial, procurement and personnel delegations of authority received from UNHQ.

Satisfactory communications established between MHQ, UNHQ and field locations, including secure communications with
UNHQ.

Receiving and Inspection (R&I) staff deployed and operational before the arrival of major equipment and other material
from UNLB or procurement contracts.

Land to accommodate troops and other mission personnel (both for initial staging, if required, and final deployment
locations) secured from the host government; or if land is privately owned, lease contracts signed by Procurement Section.

MOSS/MORSS standards being implemented and incorporated into site and engineer planning.

Warehousing and distribution capacity established as well as minimum stocking levels achieved for all critical stocks.

Mission recruitment priorities identified and recruitment of United Nations staff meeting benchmarks set in the mission
recruitment plan (see also section 3.3.3.c). Strategies put in place to handle delays and bottlenecks.

All substantive units briefed on recruitment procedures by the DMS/CMS, CCPO or UNHQ Tiger Team.

Agreements reached, at regular intervals, by MLT on priority of effort so that logistical support can be prioritized by JLOC.

Staff reception and check-in system in place.

Agreement reached with HOMC on tasking authorities for integrated support assets (especially aviation and engineering), in
accordance with official DPKO/DFS guidance.

Agreement reached with DSRSG/RC/HC on support to UNCT and reimbursement thereof.

With HOMC and HOPC, capacity put in place to support TCC and PCC reconnaissance visits.

All necessary administrative committees established, such as Local Committee on Contracts (LCC), Vehicle Allocation
Committee (VAC) and Property Survey Board.

The DMS/CMS is also responsible for ensuring IOC is achieved in all areas listed under CAS and CISS and for completing AT
deployment stage tasks identified in section 3.3.

and/or UN DOCO for strategic planning, coordination, monitoring and evolution and/or donor relations officers. For more information see
http://www.undg.org/index.cfm?P=6.

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5.5 Chief of Staff (COS)

Initial Operating Capability

The suggested tasks that, once completed, indicate that the Office of the COS (O/COS) has achieved IOC are the following:

Meeting schedule of the MLT and SMG in place.

Political strategy and the mission concept approved by senior management. Strategic planning capacity in place and mission
planners monitoring implementation progress and developing contingency plans.

Information analysis and information management structures and systems established, including JOC and JMAC.

Crisis management arrangements in place.

As appropriate, FO coordination structure established and reporting requirements in place (see section 7.1).

System established for incorporating best practice guidelines into mission policy and operations, administered by BPO.

Conduct and discipline capacity established.

Gender advisory capacity established.

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5.6 Legal Affairs

Initial Operating Capability

The key start-up tasks that, once completed, indicate that LAO has achieved IOC are as follows:

Central repository established of all mission legal instruments, except for commercial contracts.

Instruction delivered to all mission components from SRSG/HOM requesting them to provide existing legal agreements to
LAO. All legal agreements within the authority of the mission must be reviewed by LAO prior to their signature.

Relevant host country legislation (or information on traditional legal practices) obtained.

Briefings provided to appropriate mission components on aspects of legislation relevant to the implementation of the
mission’s mandate.

Work plan for LAO completed, and core staff in place to ensure the work plan can be carried out.

Legal advice provided to DMS/CMS to facilitate rapid establishment of support functions (e.g., review of leases or other
important contractual documents), as requested.

Under direction of OLA, SOFA/SOMA finalized or in final stages of negotiation.

Agreements in place with national government for use of United Nations premises, and a dedicated focal point determined
within the government, if possible, to follow-up on issues, as required.

Terms of Reference (ToR) for Boards of Inquiry (BOI) established.

Mission-specific procedures established on how to deal with staff matters with legal implications, such as death/arrest of
staff.

A presentation on privileges and immunities of United Nations staff is prepared as part of induction training.

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5.7 Safety and Security

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Safety and Security Section has achieved IOC are the following:

Designated Official (DO) fully supported in essential decision-making role, and the SMT functioning effectively.

Network of security professionals in place, and mission security risk assessment undertaken.

Enough resources available to manage security management programme, including an ability to conduct daily tasks and
operations and to adapt security management programme to meet mission growth and changing situations.

Safety and Security Section sufficiently established so that deployment does not have to be curbed or delayed because of
lack of security personnel capacities to provide appropriate services.

National security staff under recruitment and testing/vetting process in place.

Mission-wide pass and ID system in place, coordinated with UNCT security pass and ID arrangements.

Emergency safety and security plans (including civil unrest, incursion on premises, hijack, evacuation and relocation
scenarios) in place, rehearsed and compatible with available medical, aviation and other resources needed for initial
implementation of those plans.

Initial system of wardens, radio checks, vehicle tracking, compound security, assessment of MOSS/MORSS, etc. in place.

MOSS/MORSS distributed to staff needing them (e.g., engineers, surveyors, military and police planners, etc.).

MHQ compound and other premises are able to withstand hostile action (mobbing, intrusion) and provide perimeter
protection and shelters against, for example, small-arms fire, 82 mm mortar, 122 mm rocket and car-bomb, in accordance
with MOSS.

SRSG/HOM and other VIP personal protection details in place and coordinated with other security actors.

Host country security support coordinated, to the extent possible.

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5.8 Conduct and Discipline

Initial operating capability

The key start-up tasks that, once completed, indicate CDT has achieved IOC are the following:

Mission code of conduct is prepared and distributed.

Consultations on conduct and discipline matters are regularly taking place between CDT and SRSG/HOM, military, police
and mission support components, at the highest level.

Mechanisms for reporting on conduct issues are established.

Mandatory training on Sexual Exploitation and Abuse (SEA) is being provided to all categories of United Nations
personnel.

Access to the Misconduct Tracking System is working and data is being compiled.

Central repository compiled of United Nations and mission-applicable standards of conduct.

Relevant risks of misconduct, as relates to conditions in the host country and deployment of United Nations personnel, are
being identified and analyzed.

Briefings provided to appropriate sections within the military, police and mission support components on relevant aspects of
United Nations standards of conduct and disciplinary processes, including investigations.

Work plan is completed for CDT and core staff are in place to ensure the work plan can be carried out.

Timely advice is being provided to Force Commander/Head of Military Component (FC/HOMC), the Police
Commissioner/Head of the Police Component (PC/HOPC) and DMS/CMS to help identify and enforce specific measures
for the prevention of misconduct by various categories of United Nations personnel.

Welfare and recreation strategy is established and being implemented.

Proper arrangements are in place with the UNCT and individual United Nations agencies, establishing the in-country
network on prevention of SEA.

5.9 Joint Mission Analysis Centre (JMAC)

Initial operating capability

The suggested key start-up tasks that, once completed, indicate that JMAC has achieved IOC are the following:

Role and mission of JMAC determined.

Overall structure determined, including determining if JMAC will be divided into units or consist of one integrated
structure.

Agreement reached on reporting lines, either directly to SRSG/HOM or through COS or DSRSG.

Collection plan devised based on initial Priority Information Requirements (PIR) from the mission’s senior management
that lay out initial direction and focus of the work of JMAC.

Initial profiles developed of key personalities, institutions and groups related to mission’s mandate.

Information network established.

Understanding developed by JMAC of the conflict and a prognosis completed of events that might pose a threat to the
mission or to mandate implementation during the upcoming six months.

Initial Mission Threat Assessment generated in collaboration with CSA.

Working with the Joint Geographic Information Section (JGIS), a number of sample “risk mapping” products generated that
highlight the most pressing “hot spots”.

Appropriate database and IT infrastructure defined and procurement process initiated.

Standing procedures put in place for issues including the handling of classified/sensitive materials and for information
product flow between units.

Sources and methods of information collection established.

Access by JMAC to information from all sections of the mission agreed, and procedures put in place to ensure that
information is shared systematically.

Unclassified, regularly updated briefs produced that can be presented to incoming staff and VIP mission visitors.

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5.10 Joint Operations Centre (JOC)
Initial Operating Capability
The key start-up tasks that, once completed, indicate JOC has achieved IOC are the following:

Reporting lines agreed to, either directly to SRSG/HOM, or through COS or DSRSG.

JOC functioning within MHQ (not necessarily 24/7), and reliable, secure communications and processes established with
JMAC, JLOC, Security Operations Centre (SOC), component heads and FOs.

Necessary arrangements and SOPs developed between military, police and security components to obtain timely reporting
for inclusion in mission-wide situation reporting.

Contact procedures for managing a crisis confirmed between JOC and O/SRSG/HOM, O/COS and members of CMT,
including contact procedures with DPKO/DFS Peacekeeping Situation Centre (SitCen).

Working procedures (e.g., logbook and contacts management procedures) and equipment (e.g., multiple forms of
communications equipment, information boards) in place.

Crisis management exercise or simulation conducted, bringing together all members of CMT as a “dry run” for a crisis.

6.1 Military Component

Initial Operating Capability
The key start-up tasks that, once completed, indicate that the military component has achieved IOC are the following:
• Sufficient key Force Headquarters staff in place to conduct planning, operations and personnel management.
• Field command framework issued (including a clear chain of command succession arrangements at MHQ/Force
Headquarters, divisional headquarters, sector/brigade headquarters and even battalion headquarters) to ensure that, at any
given time during absence of the senior commander, a pre-determined chain of command applies.
• Core documents and plans in place or being finalized, including the following:
– Rules of Engagement (RoE), including any associated implementation directives
– Mission and military CONOPS (strategic-level military CONOPs and mission support CONOPS)
– Operations plan
– HOMC generic directive
– Mission-specific guidelines for the HOMC
– Force requirements
– TCC guidelines
– Commander’s Critical Information Requirements (CCIRs)
– Direction to Joint Monitoring Coordination Office on ceasefire mechanisms
– Information operations or information activities plan
– Contingency and risk management plans
– Extraction plan
• UNHQ strategic assumptions reviewed and necessary adjustments to plans agreed to by SRSG/HOM and DPKO/DFS.
• Military portion of mission concept and initial mission budget developed.
• Written agreements outlining clear responsibilities and accountabilities for mission security and protection established with
SRSG/HOM, HOPC and CSA.
• Where police and FPU are deployed, arrangements made with HOPC for hand-over of critical incidents (e.g., riots) between
police and military components.
• Authorities for tasking of aviation and engineering assets agreed to with DMS/CMS, in accordance with DPKO/DFS
guidance.
• Basic SOPs and HOMC guidance to military force on the conduct of operations and administration developed and published.
• Clear guidance on conduct and discipline issued to all personnel.
• Basic, yet reliable, communications backbone established in conjunction with CITS, including capability suitable for
reporting internally within military component (including between contingents) and between Force Headquarters and MHQ.
• Key personnel requirements and deployment plan identified and confirmed with OMA.
• Enough military observers, liaison officers and arms monitors in place to conduct limited observation and reporting tasks in
selected parts of area of operations.
• Suitable levels of force protection (including passive structures) established in selected regions of area of operations.
• Appropriate monitoring and surveillance technologies deployed.
• With the support of CISS, minimum acceptable levels of service support, medical coverage, transportation and evacuation
capability necessary for conducting limited, targeted field operations by military observers and essential contingents
established.

Equipment and material gaps identified in coordination with CISS and the Procurement Section.
• Regular meetings held with senior national contingent commanders and senior national officers from TCCs.

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• With DMS/CMS, capacity established to support TCC reconnaissance visits.
• Protocols in place for good cooperation between J2 and JMAC capabilities.
• Good quality military personnel seconded to joint and integrated mission structures (JMAC, Integrated Support Services
(ISS), JOC and JLOC).
• Civil–military liaison/coordination arrangements in place.
• Clear agreements in place to facilitate military assistance to civilian activity.
• Contingent, military observer and staff officer reception/induction and training system in place.
• Where a mission is transitioning from a non-United Nations to a United Nations peacekeeping operation, “re-hatted”
personnel, if present, provided with any United Nations-specific training and induction, with these contingents ensured of
being operational and supported.

6.2 Police Component

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the police component has achieved IOC are as follows:

Respective responsibilities and accountabilities concerning mission security agreed to between HOPC and SRSG/HOM,
HOMC and United Nations Safety and Security Section.

Key MHQ police staff are deployed to conduct planning, operations, budgeting and personnel management and to liaise
with the local counterparts to develop key legal frameworks of the operations (MOU, decree, etc.).

UNHQ strategic assumptions, police CONOPS and police operational plan reviewed and necessary adjustments
negotiated with SRSG/HOM and UNHQ.

Key headquarters and operational command structures in place (key personnel may vary depending upon the mandate and
immediate task of the mission).

Final police CONOPS and police operational plan and initial mission budget for police approved.

Initial mission specific police documents (incorporating gender related aspects) completed, including:
- Policies, guidelines, directives and procedures (broad range of administrative and operational)
- Operations plan
- Deployment plan
- Contingency and risk management plans
- Police reform and restructuring strategic frameworks (in case of police reform mandates)
- Plans for the execution of other mandated tasks
- Maps and GIS details in place
- Security plan
- Relocation and evacuation plan
- Police-contributing Countries (PCC) guidelines
- Directive on detention, search and use of force

Basic SOPs and systems developed in required languages (including incorporating gender mainstreaming) and related
information published and distributed to provide guidance for the police component in conducting operations and
administration.

Basic communications backbone established in conjunction with CITS, including a capability suitable for reporting
internally within the police component, between Police Headquarters and other mission components and between Police
Headquarters and UNPD.

Key personnel requirements (dictated by mandate requirements) and deployment plans identified and confirmed with
UNHQ.

Enough police personnel, including female personnel, deployed to conduct initial observation and reporting tasks in
selected parts of area of operations.

United Nations Police gender focal point established in the Office of the HOPC to advise her/him on gender balance and
mainstreaming as well as strategies to prevent and tackle gender-based violence, working in cooperation with the national
authorities and civil societies, in particular women’s groups and associations.

CISS has in place minimum acceptable levels of service support, medical coverage, transportation and an evacuation plan
and capability.

In missions with mandates requiring law enforcement functions, presence of clear operational directives and guidance for
the transition of police primacy to the military and vice versa during situations of escalated violence.

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Information sharing and operational backup support established between various components (Safety and Security
Section, military and police components).

Reception, induction and training system for incoming police personnel in place, in cooperation with the mission training
services.

In connection with law enforcement and operational support mandates, a 24/7 operations and response center established,
as a matter of priority.

Coordination/cooperation frameworks established with national police, related ministries, stake holders and partners
through dedicated joint committees, focal points and interagency partnership forums.

Infrastructure for the police component in place, including:
- MOSS compliant offices to serve as Police Headquarters, with supplies
- United Nations vehicles
- Secure communications for initial core staff of United Nations Police Officers

Proper administrative and operational databases obtained and instituted.

7.1 Field Offices (FOs)

Initial Operating Capability
The key start-up tasks that, once completed, indicate that a FO has achieved IOC are the following:
• As much as possible, HOFO, RAO and a Security Officer in place before other staff arrive.
• Accommodation and office facilities established so that staff can be deployed.
• Communications, transportation links, equipment and office supplies available so staff can perform their duties.
• Basic information (trading centers, political/social/ethnic composition, local leaders, etc.) gathered on the area of operation.
• Basic medical provisions and evacuation plans are in place for emergencies and Casevac/Medevac.
• National staff recruited on appropriate contracts for support functions (cleaners, security, etc.) and for substantive roles.
• Regular meetings held with United Nations military and police contingents in the same area of operations, and HOFOs
familiar with command and control structures of the uniformed components.
• Initial contacts made with local authorities and community representatives, with a view to regular meetings.
• Regular meetings convened with members of UNCT and the NGO community.
• Coordinated daily/weekly reports submitted to MHQ by HOFO and copied to regional/sector contingent commander and vice
versa.
• Safety and security of FO, to MOSS standards, achieved or nearing completion.

7.2 Liaison Offices (LOs)

Initial Operating Capability
The key start-up tasks that, once completed, indicate that LO has achieved IOC are the following:

Premises obtained, and functioning voice, data and encrypted data communications in place.

Draft work plan for LO that supports the mission plan produced and submitted to MHQ.

Capabilities established to provide substantive, logistical and/or administrative services to the mission, in a timely and
responsive manner.

Substantive services may include the following:
o Weekly reports on full range of regional issues that affect mission
o Advisory services on issues LO is positioned to have direct knowledge of
o Representational capacity in LO AOR

Logistical services may include the following:
o Facilitating delivery of capital equipment to mission
o Facilitating delivery of rations, fuel and water and other supplies, as necessary
o Facilitating payments and other financial transactions of mission, as necessary

Diplomatic contacts made with key partners, and HOLO credentials presented to Ministry of Foreign Affairs.

Diplomatic security negotiated with host government in full consultation with the UNDSS.

Relationship established with UNCT.

Capacities in place for hosting VIP visits (SRSG/HOM, etc.), as needed.

United Nations financial systems in place, banking facilities available for LO, and financial obligations and expenditures
can be entered into.

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Logistical information and relevant host authority authorizations obtained for import of materials for LO.

Safety and security of FO achieved in accordance with MOSS/MORSS.

8.1 Integrated Support Services (ISS)

Initial Operating Capability
The key start-up tasks that, once completed, indicate that ISS has achieved IOC are the following:

All section chiefs under CISS are identified/recruited and providing services to substantive staff and military and police
components.

All substantive components have the minimum necessary technical, logistical and operational support to begin
implementing the mandate.

ISS has sufficient contracts, infrastructure, equipment and personnel in place so that mission deployment can begin and
continue at a sustained or increased rate over many months.

CISS ensures that the following specific IOC is attained:

Aviation: Airports/heliports are operational. All necessary authorizations are obtained from host authorities. Regular
mission flights in/out and within the mission area are operating. Aviation maintenance and safety systems are
functioning by air operators under provisions of air charter agreements and TCCs compliance with terms of Letters of
Assist (LOA).

CITS: Continuous voice/data communication links are established, including secure communications such as the
SMART. Electronic mission phonebook is established and integrated with UNHQ phone directories. VHF
communications are operating within mission area. Public information ICT infrastructure, including radio broadcasting,
established, where needed. Mission-wide Intranet (including connection to DPKO/DFS Intranet) is in place and
accessible in MHQ and FOs.

Engineering: Surveys of necessary infrastructure, installations, power/water, etc. are completed. MHQ, FO and
contingent facilities/premises are fully functional. Forecast engineering requirements are incorporated into engineering
plan.

GIS: GIS systems (hardware, software & GIS dataset) from SDS fly-away kit are installed and set-up. GIS (planning
maps, satellite image maps, operation maps, etc.), including terrain analysis (camp site analysis, safety and security
analysis, etc.), are being provided, and basic GIS training (i.e., GPS) is being provided to military MHQ staff, United
Nations military observers and United Nations Police.

JLOC: Joint structure are established and manned by all relevant components. JLOC is providing coordination of daily
logistics requirements and priorities. Regular logistics forecasting and planning products are produced, based on MLT
priorities.

Movement control: Movement services are provided to all categories of personnel and components within the mission
area, including FOs, along with transport of equipment. Services are also provided for movement of personnel
entering/exiting mission area (including to/from LOs and logistics hubs) and special arrangements are available for VIP
reception on arrival/departure.

Property management: All incoming equipment is appropriately received, inspected and attributed to responsible
SAUs in Galileo. Inspection plan is established by PCIU for all UNOE held by SAUs. All incoming COE has
undergone initial inspection, and an ongoing inspection plan is established. Asset Disposal Unit is established. Property
Survey Board and Claims Review Board are established. Inventory is kept updated with SAUs at UNHQ.

Supply: Strategic deployment stocks (SDS) deliveries are received, inspected and warehoused. Equipment is
distributed to all mission components in accordance with kit allotments. Offices are fully equipped for all components.
Major local supply contracts are operational. Access for all SAUs to global systems contracts is established through
UNHQ. Forecast needs of each component are received and processed, in coordination with the Procurement Section.
Management of bulk fuel and rations contracts is in place.

Transport: Vehicle fleet, in line with mission needs, is in theatre. VAC and allocation plan is established and
implemented. Vehicle fleet maintenance, storage and workshop facilities are fully equipped. Dispatch services are in
place to manage vehicle pool, especially at MHQ.

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8.2 Administrative Services

Initial Operating Capability

The key start-up tasks that, once completed, indicate that CAS has achieved IOC are the following:

All section chiefs reporting to CAS identified, recruited and deployed to the mission.

Set-up systems installed and procedures for their sections established. Requisite goods bought, people recruited and
finances available.

All substantive components given sufficient administrative support to begin implementing their elements of the mandate.

Delegations of authority received, including for finance, procurement, recruitment and property management, in particular:
authority for procurement activities sub-delegated by DMS/CMS; delegation of authority for Certifying/Approving Officers
received; and delegation of authority received for renewal of UNLPs and for recruitment functions.

CAS ensures the following specific IOC are attained:
– Counseling: At least one international, one national and one UNV counselors have arrived in the mission. Staff are made
aware of counseling availability through induction process.
– Finance: United Nations computerized financial systems (i.e., ProGen and SunSystems) are functional. Mission banking
capacity and/or accounts are established. Authority to set up bank accounts has been received from UNHQ and local
banks contacted by CFO or OIC/Finance. Bank Signatories/Confirmation Officers are identified and processed.
Chequebooks for bank accounts are received. Financial transfer of monies from UNHQ is completed. Cashier services
are established, and safes and money security procedures are in place. The capacity exists to pay due salaries and mission
allowances, including for personnel in FOs.
– General Services: Travel service contracts are established for baggage and other mission travel requirements.
Arrangements are made with airport authorities to manage arrival of staff members. Records management systems are in
place (including MARS software and filing/archiving systems). The mail and pouch services are fully functional for
diplomatic pouch as well as civilian and military correspondence to/from mission. The system for managing diplomatic
pouch services to FOs is in place.
– Medical Services: Locally available medical facilities are identified, assessed and categorized. Local medical supply
options are assessed. Where there are no adequate local options available, mission-provided solutions are planned and
established for Levels 1, 2 and 3 medical facilities. Level 4 facilities are identified in or close to the mission area.
Medevac plans are in place, and delegations of authority for emergency evacuations are provided to Chief Medical
Officer/Force Medical Officer. Procedures are in place for medical inspections for arriving personnel and national staff,
as required.
– Personnel: All recruitment delegated authorities are obtained from UNHQ. All mission components have been briefed
on international and national staff recruitment processes. Procedures are in place for recruiting/hiring casual daily
workers and individual contractors. Galaxy rosters of suitable international candidates are available to all component
heads. Priority posts for recruitment are identified by and lists obtained from components. Personnel check-in, reception
and induction measures are in place for all categories of personnel.
– Procurement: Local Committee on Contracts (LCC) is established by DMS/CMS. Forecast needs are received and
processed by Procurement Section and integrated into an acquisition plan. Procurement processes are launched for basic
needs of all mission components. All SAUs have been briefed on and are aware of interim procurement arrangements in
place until the full systems are established. Local systems contracts tendered and vendors are selected in accordance with
United Nations procurement requirements.
– Staff welfare: Staff Welfare Committee is established. PX is established. Physical locations for indoor and outdoor
welfare activities (gym, recreation room, etc.) are identified and prepared for use. At least one welfare staff (if approved
in budget) is on board.
– Training: Induction training program is established and being regularly conducted. All incoming staff (civilian, military
and police) are receiving induction training. The development of additional training programmes is under way.
– UNV: UNV office in Bonn is apprised of and actively recruiting UNVs for budgeted UNV positions. Mission UNV
Manager is on board. Check-in and induction training for UNVs is integrated into regular procedures. Section managers
are briefed on the special position of UNVs in mission.

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8.6 Joint Logistics Operations Centre (JLOC)

Initial Operating Capability

The key levels of IOC that, once achieved, indicate that the start-up phase has been completed by Chief/JLOC are the following:

JLOC has enough personnel to plan, coordinate and conduct current logistics operations.
Suitable reporting systems are in place to provide clear situational awareness of all logistic operations.

8.8 Aviation

Initial Operational Capability

The critical task for Air Operations is the provision of airfield infrastructure. Airlifts into the mission cannot commence
without infrastructure in place to support the operation of aircraft and their unloading. Flights around the mission area are
similarly restricted by the need for substantial support in terms of surveying and preparing landing sites and runways,
meteorology and flight following. Improvement of airports takes a significant amount of time as well as staff, long before
aircraft can be deployed. Thus, recruitment of aviation staff is a priority, with emphasis on the Chief Aviation Officer
(CAVO) and the Airfields and Terminals Unit staff. Delays will result in the staff being diverted from mission capability
tasks to supporting ad-hoc flights.

The cost of aviation establishes the importance of auditable operations matching fuel and airport billing, for which
Technical Compliance Unit staff must provide support, at an early stage. Airport equipment will be available in SDS, but
personnel to operate it will need to be recruited early and provided with training, including Firemen and specialist airport
vehicle drivers. In many cases, there are no alternatives to aviation. Thus, adequate preparation will improve the mission’s
ability to implement its mandate. Operations can only be undertaken in accordance with international regulations, which
will be observed by the contracted and TCC aircrews. There are no short-cuts and many programmes’ planning stages are
lengthy. International Civil Aviation Organization (ICAO) consultants provide useful additional support and may be
available through an UNHQ inter-agency agreement to provide technical design support for airfield rehabilitation and
construction and to support coordination between the host government and the United Nations. However, this support tends
to be for medium- to long-term projects that will not be readily available unless rapidly expedited. ICAO is ideally suited to
become the neutral consultant to the host nation aviation authority and the mission CAVO, solving policy and
organizational matters.

Other key personnel requiring early recruitment include mission-experienced Professional level planners to be placed in
ATS/Logistics Support Division (LSD) and to work directly for the CAVO. These staff will support the development and
establishment of aviation for a period of up to two years. Once operating, airfields require minimum levels of staff
(outlined below). Due consideration should be given to recruiting English speaking aviation trained host country nationals
that are available for employment without harming the local economy. Higher levels of international staff may be expected.

DMS/CMS consults and coordinates between the host government and the United Nations, ICAO and becomes the neutral
consultant to the host nation aviation authority and the mission CAVO for solving policy and organizational matters. (See
United Nations Aviation Manual and Air Safety Manual for roles and responsibilities.)

Aviation Safety Officers provide oversight to the aviation programme. He/she is independent of the Aviation Section.
Although most reporting of concern is to the CAVO, an Aviation Safety Officer is directly responsible to the DMS/CMS
and is able to report directly any issues that cannot be resolved any other way. The post must be supported by the full
authority of the DMS/CMS. Early mission experience has shown that the Aviation Safety Officer is as vital in protecting
aviation staff from undue pressure to work without proper infrastructure as in ensuring that the Aviation Section has put in
place adequate measures to monitor aircrew performance and ground handling risks. The Aviation Safety Officer is not a
supervisor and should not be confused with Quality Assurance or Quality Control, but does ensure that supervision is in
place and that there is adequate indoctrination to achieve safety at all levels, including senior management. The Aviation
Safety Officer is able to step back from the frontline to review aviation risks at the macro level and recommend changes that
may include improved management techniques or staffing levels.

8.13 Finance

Initial Operating Capability

The key tasks that, once achieved, indicate that the Financial Section has achieved IOC are the following:

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Computerized financial systems (i.e., SunSystems & Progen and backup servers) set up within the first two weeks of start-
up at MHQ.

Panels for Certifying Officers and Approving Officers identified and set up through FBFD and members of the Bank
Signatories Panel identified and set up through Treasury.

Processes initiated to establish mission banking capacity and/or accounts with the help of FBFD and Treasury. It is
essential for CFO or OIC Finance to maintain continuous contact with Treasury during the bank selection process.

Cashier’s services established and cash handling procedures in place.

Remittance request to fund bank accounts prepared by CFO and forwarded to OPPBA UNHQ for action.

Chequebooks requested for the local bank accounts.

Approval for establishment of cashier’s imprest given by the Controller.

Capacity to pay initial advances, salaries and allowances in place for all personnel, whether cash or bank transfer. The
initial capacity should be centralized, but it can be de-centralized at a suitable time based on available resources.

Chiefs of units (Payments, Cashier, Accounts and Payroll) deployed ahead of other staff in order to provide direction
throughout start-up – as it is difficult to allocated enough time for training new staff members.

8.15 Personnel

Initial Operating Capability

The key tasks that, once completed, indicate that the Personnel Section has achieved IOC are the following:

Obtain necessary designations, certifications and delegations of authority for the CCPO.

Ensure human resources IT systems are functioning.

8.19 Integrated Mission Training Cell (IMTC)

Initial Operating Capacity

The key tasks that, once completed, indicate that the IMTC has achieved IOC are as follows:

Chief of the IMTC and at least two Trainers and two Administrative Officers have been deployed.

IMTC is conducting a mission –specific induction course for all incoming personnel (civilian, military and police)
immediately upon their arrival.

IMTC office and instructional facilities for military, police and civilian trainers are co-located.

Dedicated training room with a capacity of at least 30 is at the disposal of the IMTC.

IMTC is managing and implementing the training budget, in conjunction with the Budget Officer.

Preliminary Training Needs Assessment (TNA) has been conducted by the IMTC.

IMTC has access to and is using the e-TMS, a training tracking system developed by UNLB.

9.1 Political Affairs

Initial Operating Capability
The key tasks that, once completed, indicate that PAO has achieved IOC are the following:

High-quality political analysis under way. Reporting and analysis shared with joint mission structures.

Initial analytical products completed.

Monitoring system for peace process implementation set up and working.

Priority political information requirements received from mission leadership and collection efforts to meet these
requirements begun.

Substantive contributions to mission planning process have occurred.

PAO work plan approved and initial implementation begun.

Substantive contributions being made to the mission’s integrated analytical products, through JMAC.

Network of political contacts established and expanding.

Component’s RBB generated and submitted.

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9.2 Public Information

Initial Operating Capability

The key tasks that, once completed, indicate that PIO has achieved IOC are as follows:

Chief/PIO and/or Spokesperson in place with interpretation/translation local staff on board. International and national Press
Officers recruited, as necessary.

Contact information distributed.

Regular press briefing schedule established.

Media monitoring in place and circulated daily to SMG and UNHQ relevant offices.

Public information strategy completed and agreed to by MLT and SRSG/HOM.

Initial activities planned and/or under way to explain mission mandate activity and manage expectations of target audiences.

PIO work plan in place, budgeted and being implemented.

As a SAU, specialist public information supplies planned for and budgeted. Support units notified of requirements beyond
standard mission office supply ratios.

Initial production component in place, with primary staff on board. Where appropriate, essential media/broadcast
authorizations obtained from host authorities and infrastructure procured or shipped from SDS. Needed public information
equipment (e.g., broadcast equipment) budgeted, procured and/or deployed from UNLB.

Adequate staff on the ground to implement public information strategy (e.g., each FO has Professional staff member in
place with support staff and basic operational equipment).

Regular liaison ongoing with all components to coordinate public information priorities with overall mission
communication strategy.

Mission Internet site established, in collaboration with ICTD and the Department of Public Information (DPI) using CMS
template.

If strategy includes a stand-alone radio operation, follow-up SOFA/SOMA negotiations on radio licences and frequencies
complete. Alternative strategies (i.e., arrangements with local broadcasters) are developed in case the set-up of radio station
is delayed.

9.3 Spokesperson

Initial Operating Capability

The key tasks that, once completed, indicate that the Office of the Spokesperson has achieved IOC are the following:

Spokesperson in place and attending all senior-level meetings, as requested by SRSG/HOM.

Stand-in for absences designated.

Strong linkages established with information personnel of host authority and with local and international journalists,

Media accreditation system established for journalists seeking to work with mission.

Regular media briefings scheduled.

Crisis management media plan in place.

9.4 Civil Affairs

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Head of Civil Affairs has achieved IOC are the following:

Civil Affairs work plan completed, budgeted and implementation begun.

International and/or national Professional officers in place in key field locations. Local language assistants in place and
trained to a demonstrated level of competence.

FOs in key locations opened, equipped and operational, with enough resources (e.g., radios, vehicles and computers) for
staff to perform their duties.

Local government partners/counterparts and other key local interlocutors identified.

Working relationships with relevant United Nations agencies, funds and programmes established.

Opportunities identified for collecting information at the local level to support planning for future activities, other
components or external actors.

Reporting mechanisms established, and objective daily and weekly reports submitted to MHQ.

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9.5 Electoral Assistance
Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Electoral component has achieved IOC are the following:

Needs assessment mission report completed.

Security Council resolution with electoral mandate adopted.

Mission concept established or amended to include elections.

Electoral RBB and work plan completed.

Electoral component MHQ core team operational.

Recruitment process initiated for remaining Electoral component staff.

First version of the United Nations Electoral concept of operations adopted.

Material and infrastructure plans commenced for Electoral component.

9.6 Human Rights

Initial Operating Capability

The key start-up tasks that, once completed, indicate that HHRC has achieved IOC are the following:
• HRC work plan completed, budgeted, approved and implementation begun.
• Core MHQ staff in place.
• FOs in key locations equipped and operational.
• Human rights reporting lines to OHCHR and to DPKO/DFS through the SRSG clarified in mission.
• Human rights monitoring and reporting system established and functioning, including procedures for handling sensitive
information.
• HHRC integrated into UNCT, HCT and mission strategic and decision-making information flows.
• Contacts with main civil society representatives, government authorities and institutions established.
• Network of local contacts initiated and steadily expanded.

9.7 Justice

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the Justice component has achieved IOC are the following:

Justice component work plan is completed.

Core staff members are in place to ensure that work plan can be carried out.

Staff members are deployed to FOs, as needed.

Dedicated legal system monitoring unit/section is established within the mission, in cooperation with OHCHR, to carry out
systemic monitoring of the justice system and provide ongoing evaluation of the impact of reform programmes and
activities.

A standardized reporting system is established and operational.

Justice component is integrated into mission strategic and decision-making information flows and mechanisms.

Working relations are established with other mission components (particularly corrections, police, human rights, gender and
protection-related components) and United Nations agencies engaged in justice and legal reform activities.

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9.8 Corrections

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the Justice component has achieved IOC are the following:
• Working relationship with all relevant sections, in particular justice, human rights, gender and protection-related
components, clarified and established to ensure a coordinated and balanced approach.
• Working relationship with national prison authorities and counterparts established.
• National staff identified in a gender balanced manner, guaranteeing that female personnel are assigned to oversee
women-specific corrections services.
• Contact established with United Nations agencies that may be involved in prisons issues, such as UNDP, UNODC,
UNICEF, OHCHR as well as NGOs, civil society and faith-based organizations.
• In conjunction with national authorities, preliminary assessments reviewed, security and travel permitting and, where
necessary, further comprehensive assessments of facilities, organizational structures, legislation, policy and staff
conducted.
• Work plan/concept of operations completed, addressing training, procedural and policy gaps identified in the
assessment and gap analysis.
• Opportunities for co-location of staff with local prison authorities identified, and mentoring commenced to develop the
capacity of national prison staff and give ownership to the national authorities. This should also include administrative
offices within the prison system such as personnel, finance and planning.

9.9 Security Sector Reform

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the SSR Support Unit has achieved IOC are the following:

Core MHQ staff in place.

SSR Support Unit’s work plan approved and being implemented.

SSR reporting lines to DSRSG and DPKO clarified in mission.

Monitoring and reporting system established and functioning, including special procedures for handling sensitive materials
about justice and security organizations.

Chief of SSR Support Unit integrated into mission strategic and decision-making information flows.

Network of local contacts initiated and steadily expanded, including civil society including women’s organizations, think
tanks and academic organizations.

9.10 Mine Action

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that MACC has achieved IOC are the following:

SRSG/HOM and other senior managers fully aware of the nature of the ERW threat and the impact that it will have on
operations.

Immediate landmine and ERW threat established through activities including:
o Liaison with host country military, other United Nations agencies, NGOs and local government conducted
o Reconnaissance of Main Supply Routes (MSRs), airports and proposed United Nations infrastructure conducted
and review related to Explosive Ordnance Disposal (EOD) conducted, as required
o Field assessment missions to identified or suspected contaminated areas conducted

Landmine safety training (LSP) delivered to the staff of DPKO (civilian and military), United Nations agencies and NGOs,
as required/requested.

“At risk” groups identified and a plan for the delivery of Mine Risk Education (MRE) established.

In coordination with UNDSS, a landmine and ERW threat map produced showing which areas are unsafe to travel.

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9.11 Disarmament, Demobilization and Reintegration

Initial Operating Capabilities

The key tasks that, once completed, indicate that DDR has achieved IOC are the following:

A DDR Chief deployed, together with a Planning Officer and Reporting Officer. With an integrated DDR unit, a Deputy
Chief (usually from UNDP) should be deployed.

Strategic framework for United Nations engagement in DDR finalized.

Detailed field assessment carried out, which should include the following:
o Causes, dynamics and context of the armed conflict
o Basic information about target armed groups
o Identification of DDR participants, with equal emphasis on vulnerable groups (children, women and disabled
people)
o Identification and background assessment of women associated with the fighting forces
o Distribution and availability of weapons
o Institutional capacities of national stakeholders in areas related to DDR
o Survey of socio-economic conditions and the capacity of local communities to absorb ex-combatants and their
dependents
o Preconditions and other factors influencing prospects for DDR
o Baseline data and performance indicators for programme design, implementation, monitoring and evaluation

Mission DDR steering group established under the leadership of SRSG/HOM or DSRSG and membership including:
HOMC, HOPC, Chief/Civil Affairs Office, Chief/Political Affairs Office, Chief/Public Information Office, Chief of
Administration, Gender Adviser and Chief/DDR.

UNCT DDR task force, headed by DSRSG/HC/RC, established.

Operational plan developed, in coordination with United Nations agencies and national actors.

Costing plan developed.

9.12 Child Protection

Initial Operating Capability

The key start-up tasks that, once completed, indicate that the Chief/CPA has achieved OIC are the following:

Chief/CCPA recruited and on location.

International staff CPAs recruited and deployed to critical field locations.

In close collaboration with the O/SRSG/CAAC, CPA reporting obligations and lines clarified in mission.

Key roles of the Child Protection Section (CPS) and representation of the CPS in relevant, working groups, committees,
senior management meetings and mission strategic and decision-making processes established. These include, but are not
limited to, the rule of law working group, DDR inter-agency working group/national DDR commission, senior management
meetings and regular heads of sections meetings at the FO level and at MHQ.

Where applicable, the role of the mission and the CPA in United Nations Country Task Force on Monitoring and Reporting
established under Security Council resolution 1612 (2005) and clarified within the mission, with UNICEF and other
CTFMR members. The CPA represents the SRSG/DSRG on the CTFMR at technical level meetings.

Participation in UNCT processes and relationships with key partners – local, United Nations and international NGOs –
initiated.

9.13 Gender Adviser

Initial Operating Capability

The key tasks that, once completed, indicate that the Gender Adviser has achieved IOC are the following:

Gender Adviser is recruited and on location.

Gender Adviser’s reporting lines are clarified in mission.

Advisory role of the Gender Adviser vis à vis the senior management is clarified.

Gender Adviser’s work plan is finalized, including priority areas for the first months.

Framework for a gender situation analysis is developed.

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Initial induction training on gender issues is set up for civilians and uniformed personnel.

Representation of the Gender Adviser in relevant, working groups, committees, senior management meetings, heads of
sections meetings and mission strategic and decision-making processes established.

Establishment of and/or participation in UNCT processes and relationships with key partners – local, United Nations and
NGOs -- initiated.

9.14 HIV/AIDS

Initial Operating Capabilities

The key start-up tasks that, once completed, indicate that the HIV/AIDS component has achieved IOC are the following:

Chief HIV/AIDS Officer/Advisor recruited and deployed.

Core staff recruited and situated in an operational office (including access to private space for VCCT).

Component’s work plan approved and being implemented.

Initial group of focal points within the different sections/components of the mission identified and trained.

Network of local contacts initiated and steadily expanded.

Information on HIV/AIDS (e-letters, newsletters, etc.) developed and disseminated, periodically.

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