United Nations Peacekeeping in the 21st Century [1 ed.] 9781621006107, 9781607415626

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Copyright © 2010. Nova Science Publishers, Incorporated. All rights reserved. United Nations Peacekeeping in the 21st Century, Nova Science Publishers, Incorporated, 2010. ProQuest Ebook Central,

Copyright © 2010. Nova Science Publishers, Incorporated. All rights reserved. United Nations Peacekeeping in the 21st Century, Nova Science Publishers, Incorporated, 2010. ProQuest Ebook Central,

GLOBAL POLITICAL STUDIES SERIES

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UNITED NATIONS PEACEKEEPING IN THE 21ST CENTURY

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UNITED NATIONS PEACEKEEPING IN THE 21ST CENTURY

EFRAM R. ISELY EDITOR

Nova Science Publishers, Inc. New York

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Copyright © 2010 by Nova Science Publishers, Inc. All rights reserved. No part of this book may be reproduced, stored in a retrieval system or transmitted in any form or by any means: electronic, electrostatic, magnetic, tape, mechanical photocopying, recording or otherwise without the written permission of the Publisher. For permission to use material from this book please contact us: Telephone 631-231-7269; Fax 631-231-8175 Web Site: http://www.novapublishers.com NOTICE TO THE READER The Publisher has taken reasonable care in the preparation of this book, but makes no expressed or implied warranty of any kind and assumes no responsibility for any errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of information contained in this book. The Publisher shall not be liable for any special, consequential, or exemplary damages resulting, in whole or in part, from the readers‘ use of, or reliance upon, this material. Any parts of this book based on government reports are so indicated and copyright is claimed for those parts to the extent applicable to compilations of such works.

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Independent verification should be sought for any data, advice or recommendations contained in this book. In addition, no responsibility is assumed by the publisher for any injury and/or damage to persons or property arising from any methods, products, instructions, ideas or otherwise contained in this publication. This publication is designed to provide accurate and authoritative information with regard to the subject matter covered herein. It is sold with the clear understanding that the Publisher is not engaged in rendering legal or any other professional services. If legal or any other expert assistance is required, the services of a competent person should be sought. FROM A DECLARATION OF PARTICIPANTS JOINTLY ADOPTED BY A COMMITTEE OF THE AMERICAN BAR ASSOCIATION AND A COMMITTEE OF PUBLISHERS. LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA United Nations peacekeeping in the 21st century / editor, Efram R. Isely. p. cm. Includes bibliographical references and index. ISBN H%RRN 1. United Nations--Peacekeeping forces. 2. Security, International. 3. Conflict management-International cooperation. I. Isely, Efram R. JZ4971.U57 2009 341.5'84--dc22 2009035666

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CONTENTS Preface

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Chapter 1

vii United Nations Peacekeeping: Challenges Obtaining Needed Resources Could Limit Further Large Deployments and Should Be Addressed in U.S. Reports to Congress Government Accountability Office

Chapter 2

United Nations Peacekeeping: Issues for Congress Marjorie Ann Browne

Chapter 3

United Nations Peacekeeping: Lines of Authority for Field Procurement Remain Unclear, but Reforms Have Addressed Some Issues Government Accountability Office

1 63

119

Chapter Sources

165

Index

167

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PREFACE A major issue facing the United Nations, the United States, and the 110th Congress is the extent to which the United Nations has the capacity to restore or keep the peace in the changing world environment. Associated with this issue is the expressed need for a reliable source of funding and other resources for peacekeeping and improved efficiencies of operation. Since 1998, UN peacekeeping operations have taken on increasingly ambitious mandates, taken place in more challenging environments, and grown in size and scope. UN operations are also taking place in volatile, less developed countries. Most of the UN operations are located in some of the most politically unstable countries, as measured by the World Bank. The operations have become larger, more complex, and more resource intensive. This book delves into the increasing threats posed to the United Nations and the increases in both resources and personnel needed to keep the peace between nations.This book consists of public documents which have been located, gathered, combined, reformatted, and enhanced with a subject index, selectively edited and bound to provide easy access. Chapter 1 - The United Nations (UN) supports U.S. interests in maintaining international security by deploying and operating 16 peacekeeping operations in locations in conflict, including Darfur, Lebanon, and Haiti. Over the past 10 years, the number of deployed UN personnel increased from about 41,000 peacekeepers and civilian staff to about 109,000 in 2008. In this report on the UN‘s capacity to deploy further operations, GAO was asked to examine (1) the evolution of UN peacekeeping operations in the past 10 years; (2) the likely characteristics of a potential new peacekeeping operation, given this evolution; (3) the challenges, if any, the UN would face deploying this operation; and (4) U.S. efforts to support and report on UN peacekeeping. GAO reviewed UN documents, developed a methodology to assess the requirements for a potential new operation with UN

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Efram R. Isely

assistance, interviewed UN headquarters and mission officials, and assessed U.S. government documents on UN peacekeeping. Chapter 2 - A major issue facing the United Nations, the United States, and the 110th Congress is the extent to which the United Nations has the capacity to restore or keep the peace in the changing world environment. Associated with this issue is the expressed need for a reliable source of funding and other resources for peacekeeping and improved efficiencies of operation. For the United States, major congressional considerations on U.N. peacekeeping stem from executive branch commitments made in the U.N. Security Council. The concern with these commitments, made through votes in the Council, is the extent to which they bind the United States to fund and to participate in some way in an operation. This includes placing U.S. military personnel under the control of foreign commanders. Peacekeeping has come to constitute more than just the placement of military forces into a cease-fire situation with the consent of all the parties. Military peacekeepers may be disarming or seizing weapons, aggressively protecting humanitarian assistance, and clearing land mines. Peacekeeping operations also now involve more non-military personnel and tasks such as maintaining law and order, election monitoring, and human rights monitoring. Proposals for strengthening U.N. peacekeeping and other aspects of U.N. peace and security capacities have been adopted in the United Nations, by the U.S. executive branch, and by Congress. Some are being implemented. Most authorities have agreed that if the United Nations is to be responsive to 21st century world challenges, both U.N. member states and the appropriate U.N. organs will have to continue to improve U.N. structures and procedures in the peace and security area. Chapter 3 - The United States is the largest financial contributor to United Nations (UN) peacekeeping operations—providing about $1.4 billion in 2008 (about 26 percent of the total UN peacekeeping assessed budget)—and has a strong interest in the efficient and effective management of these operations. The size and scope of UN peacekeeping has significantly increased over the past several years and the UN has pursued management reforms to strengthen its capacity to support operations. GAO was asked to examine (1) the status of the current restructuring and strengthening of peacekeeping management including procurement for the field, (2) the status of reforms to address previously identified problems with peacekeeping procurement, and (3) the UN Logistics Base‘s support of peacekeeping operations. GAO reviewed relevant UN documents; conducted structured interviews with chief procurement officers at 20 peacekeeping missions; and interviewed UN and U.S. officials.

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In: United Nations Peacekeeping in the 21st Century ISBN: 978-1-60741-562-6 Editor: Efram R. Isely © 2010 Nova Science Publishers, Inc.

Chapter 1

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UNITED NATIONS PEACEKEEPING: CHALLENGES OBTAINING NEEDED RESOURCES COULD LIMIT FURTHER LARGE DEPLOYMENTS AND SHOULD BE ADDRESSED IN U.S. REPORTS TO CONGRESS Government Accountability Office WHY GAO DID THIS STUDY The United Nations (UN) supports U.S. interests in maintaining international security by deploying and operating 16 peacekeeping operations in locations in conflict, including Darfur, Lebanon, and Haiti. Over the past 10 years, the number of deployed UN personnel increased from about 41,000 peacekeepers and civilian staff to about 109,000 in 2008. In this report on the UN‘s capacity to deploy further operations, GAO was asked to examine (1) the evolution of UN peacekeeping operations in the past 10 years; (2) the likely characteristics of a potential new peacekeeping operation, given this evolution; (3) the challenges, if any, the UN would face deploying this operation; and (4) U.S. efforts to support and report on UN peacekeeping. GAO reviewed UN documents, developed a methodology to assess the requirements for a potential new operation with UN

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assistance, interviewed UN headquarters and mission officials, and assessed U.S. government documents on UN peacekeeping.

WHAT GAO RECOMMENDS To ensure Congress has the information needed to consider U.S. budget and other requests for peacekeeping, GAO recommends that the Department of State (State) include in its reporting to Congress information about UN challenges and gaps in obtaining resources needed to carry out peacekeeping. In response to State‘s comment that GAO should not specify the reports in which this information should be provided, GAO modified the recommendation. The UN concurred with the conclusions of the report.

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WHAT GAO FOUND UN peacekeeping operations since 1998 have taken on increasinglyambitious mandates, been located in more challenging environments, and grown in size and scope. UN operations in 1998 averaged three mandated tasks, such as observing cease-fires; in 2008, they averaged nine more ambitious tasks, such as restoring government institutions. Operations in 2008 were located in some of the world‘s most unstable countries, were larger and more complex than in 1998, and deployed thousands of civilians. Based on trends in peacekeeping and recent UN planning options, GAO analysis indicates that a potential new operation would likely be large and complex, take place in sub-Saharan Africa, and have nine mandated tasks. This potential new operation would likely require member states to contribute 21,000 troops and military observers, including those in engineering and aviation units, and 1,500 police to carry out the mandate. The UN would likely need to deploy 4,000 to 5,000 civilians. The operation‘s logistics needs also would be large and complex. The ability to fully deploy any potential new operation would likely face challenges, in view of current UN resource constraints. As of September 2008, ongoing UN operations had about a 20 percent gap between troops and military observers authorized to carry out operations and actual deployments. For police, the gap was about 34 percent; it was similar for civilians. (See figure.) Some gaps reflect UN difficulties in obtaining and deploying resources to carry out

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operations. Lack of these resources, such as special military units, prevented some operations from executing mandates. Lack of infrastructure in the potential new operation‘s environment would challenge the UN to provide logistical needs. The U.S. government has helped train and make available over 40,000 troops and police through the Global Peace Operations Initiative. The President is required to report to Congress on UN peacekeeping operations‘ status and effectiveness. State provides some of this information through its monthly briefings to Congress. However, in its notifications and annual peacekeeping reports to Congress, State has not provided information about UN troop and other resource gaps—important elements of status and effectiveness.

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ABBREVIATIONS AU DFS DOD DPKO FPU G8 GPOI HDI IDP MONUC NATO UK UN UNDP

African Union Department of Field Support Department of Defense Department of Peacekeeping Operations formed police unit Group of Eight Global Peace Operations Initiative Human Development Index internally displaced person UN Operation in the Democratic Republic of the Congo North Atlantic Treaty Organization United Kingdom United Nations United Nations Development Program

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UN Peacekeeping Force Levels for Troops, Civilians, and Police in 2008

December 18, 2008

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The Honorable Joseph R. Biden, Jr. Chairman The Honorable Richard G. Lugar Ranking Member Committee on Foreign Relations United States Senate As of September 2008, the United Nations (UN) supported U.S. interests in maintaining international security by deploying and operating 16 peacekeeping operations in locations experiencing conflict, including Darfur (in western Sudan), Lebanon, the Democratic Republic of Congo, and Haiti. The United States pays about 26 percent of the total UN peacekeeping budget—about $1.8 billion for the 2009 peacekeeping fiscal year (July 1, 2008 to June 30, 2009). Over the past 10 years, the demand for UN operations has grown, with the UN initiating or strengthening 17 peacekeeping operations and increasing the number of deployed UN personnel from about 41,000 uniformed peacekeepers and civilian staff in 2000 to about 109,000 in 2008.1 The UN currently deploys more than 88,000 uniformed peacekeepers, with only the U.S. military deploying a larger number of troops to provide international security. The demand for greater UN peacekeeping efforts is likely to grow in 2009 as the UN Security Council considers additional or expanded operations in Somalia and Chad and the Central African Republic that will require thousands more troops and police Given the growing demand for UN peacekeeping, you requested that we examine how peacekeeping operations have changed over the past 10 years and the UN‘s capacity to deploy new operations. Specifically, in this report, we examine (1) the evolution of UN peacekeeping operations in the past 10 years; (2) the characteristics of a potential new peacekeeping operation, given this evolution and UN planning scenarios; (3) the challenges, if any, the UN would face in deploying this potential new operation; and (4) U.S. efforts to support and report on UN peacekeeping. To examine the evolution of UN peacekeeping over the past 10 years, we reviewed UN performance reports on and evaluations of peacekeeping operations and detailed planning and resource specifications for operations. To address the issue of capacity, we developed detailed requirements for a potential new operation based on our analysis of the trends in peacekeeping combined with

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force planning details derived from comparable UN planning scenarios for possible real world operations. Our analysis is not intended to predict the size, scope, or location of a new UN peacekeeping operation. The UN Security Council decides whether to deploy an operation. A new operation‘s mandate and resource needs would be determined by the Security Council and the circumstances particular to the country to which it is deployed. We analyzed possible challenges to the UN‘s ability to fulfill these potential requirements based on UN reports and analysis, as well as discussions, including a roundtable, with UN officials from the Department of Peacekeeping Operations (DPKO), Department of Field Support (DFS), Department of Political Affairs, and Department of Management. We evaluated the differences between deployed versus authorized levels of personnel and other resources. The authorized levels are approved by the UN Security Council and reflect the resources it agrees are necessary to carry out the operations‘ mandates. We then examined Secretary General reports for indications that any gaps between deployed and authorized levels affected operations and thus represented unmet needs. Finally, we conducted interviews with UN officials in New York and in the field for four peacekeeping operations of significant interest to the United States. We discussed the performance of their operations and their challenges. In Washington, D.C., we met with officials from the Departments of State (State) and Defense (DOD) on their efforts to address UN challenges to conducting operations. We also reviewed State Department notifications to Congress about peacekeeping operations and the 2006 and 2007 annual reports on peacekeeping. Appendix I provides a more detailed description of our objectives, scope, and methodology. Appendix II provides our methodology for the potential new peacekeeping operation‘s requirements. We conducted this performance audit from September 2007 to December 2008 in accordance with generally accepted government auditing standards. These standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives.

RESULTS IN BRIEF Since 1998, UN peacekeeping operations have taken on increasingly ambitious mandates, taken place in more challenging environments, and grown in

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size and scope. In 1998, UN operations had an average of three mandated tasks largely associated with traditional peacekeeping activities, such as monitoring cease-fire agreements. Operations begun since 1998 have had an average of nine mandated tasks focusing on more ambitious efforts, such as reforming judicial systems and restoring government institutions. UN operations are also taking place in volatile, less developed countries. The UN deployed more than two-thirds of its peacekeeping personnel to sub-Saharan Africa as of September 2008. Most of the UN operations are located in some of the most politically unstable countries, as measured by the World Bank. The operations have become larger, more complex, and more resource intensive. In June 1998, the UN‘s 16 peacekeeping operations fielded about 14,600 uniformed peacekeepers. The UN had the same number of operations in September 2008, but it fielded more than 88,000 troops, military observers and police. These operations also deploy thousands of civilians in a wide range of specialties and large logistics operations. As a way to assess UN capacity, we developed the parameters of a potential new peacekeeping operation to illustrate the resources the UN would need to deploy a possible new operation. GAO analysis of the evolution of peacekeeping operations and UN planning scenarios for a new operation indicates that this operation likely would be large and complex and take place in sub-Saharan Africa. Reflecting the trend toward more ambitious mandates, this potential new mission would likely have nine mandated tasks, including restoration of the rule of law and government, election support, and protection of internally displaced persons. To carry out the mandate, the potential operation would require an estimated 21,000 troops and military observers, including 15 infantry battalions in five sectors with engineering, logistics, and combat and utility helicopter units. Key factors determining the force size for the potential new operation include the expected security threat, the size and condition of the population requiring UN assistance and protection, and the nature and extent of the terrain patrolled by the force. The force would also require 1,500 police, about half of whom would be fielded in five formed police units.2 UN planning scenarios did not assess civilian staffing needs or contain the details necessary to assess or estimate the costs of logistics requirements. However, we estimated that on the basis of interviews with UN officials and analysis of UN planning templates, an operation of this size and scope would require 4,000 to 5,000 civilian staff, about 20 to 30 percent of whom would be international staff. UN officials stated that total logistical needs would likely be comparable to those of other large, complex operations in similar environments, such as the operation in the Democratic Republic of the Congo. The UN would likely face difficulty in obtaining the troops, specialized military units, police, and civilians it would need to deploy the potential new

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operation. Some contributing countries are unwilling to provide forces for operations facing particular political, security, and environmental conditions. Moreover, only a limited number of countries provide full battalions of troops or specialized units with critical capabilities such as engineering or logistics support. These challenges confront some existing operations. As of September 2008, forces for existing UN operations were about 18,000 troops and military observers, or about 20 percent, below the authorized level of approximately 95,000. State and UN officials and reports indicated that member states had committed to fill some of the requirements, particularly for the operation in Darfur, but as of November 2008, the troops were not in place nor was it known when they all would be. UN officials and reports also note that the lack of needed troops, police, and civilians has hindered some operations from executing their mandates. Some peacekeeping operations did not have all needed specialized military units, such as logistics, helicopters, and ground transport. The gap in deployed police from authorized levels was about 34 percent. In particular, capable formed police units are difficult to obtain because they require special training and skills. The vacancy rate for international civilians at peacekeeping operations between 2005 and 2008 averaged about 22 percent. Even if the UN were to obtain the needed personnel for the potential new mission, it would face the logistics challenges confronted by other large operations in sub-Saharan Africa. The U.S. government, along with the governments of other countries, has taken some steps to help address UN challenges in obtaining troops and police for peacekeeping operations, primarily through the Global Peace Operations Initiative (GPOI).3 This initiative intends to expand worldwide capacity to support peacekeeping by training and equipping member states‘ troops and police for peacekeeping. In June 2008, we reported that GPOI had provided training and material assistance to about 40,000 peacekeeping troops, of which about 22,000 have been deployed to peacekeeping operations. The United States generally supports UN proposals to address the chronic civilian vacancy rates, such as developing a standing UN corps of civilians from several countries (international civilians) to deploy to peacekeeping operations. As of September 2008, these proposals were being reviewed by the UN. The United States has also provided logistics support to specific UN operations. The President is required to report to Congress on the status and effectiveness of peacekeeping operations, and State provides some of this information through its monthly briefings to Congress. However, in its notifications and annual peacekeeping reports to Congress, State has not provided information about troop and other resource gaps—important elements of status and effectiveness.

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To ensure that Congress has the information needed to conduct oversight and fully consider Administration budget and other requests for UN peacekeeping, we are recommending that the Department of State include in its annual report or in another appropriate written submission to Congress information about UN resource challenges and gaps in obtaining and deploying troops, police, and civilians authorized to carry out peacekeeping operations. The information should include commitments to provide these resources, difficulties in obtaining them, and whether the gaps have impeded operations from carrying out their mandates. If the information is not available when an appropriate written submission is sent to Congress, we recommend that State ensure the information is provided, as available, during its consultations with Congress. The Department of State and the UN provided written comments on a draft of this report, which are reprinted in appendices III and IV. State commented that the report reflects a very thorough inquiry into the increase in and developing nature of international expectations of United Nations peacekeeping. In commenting on our draft recommendation, State said the recommendation should not specify in which reports to Congress the information on peacekeeping gaps should be included. We had originally recommended that State provide the information in annual reports to Congress and Congressional notifications. We agree that this is too prescriptive but believe the information should be provided in writing; therefore, we modified our recommendation so as to allow the information to be provided in appropriate written submissions to Congress. The UN commented that it fully concurred with the conclusions of our report and appreciated recognition that UN peacekeeping operations should be properly resourced and that mandates should be aligned with said resources. State and the UN also provided technical and general comments which we address in the report as appropriate.

BACKGROUND The 1945 Charter of the United Nations gives the UN Security Council primary responsibility for the maintenance of international peace and security. UN peacekeeping operations have traditionally been associated with Chapter VI of the charter, which outlines provisions for the peaceful settlement of disputes. However, in recent years, the Security Council has increasingly used Chapter VII to authorize the deployment of peacekeeping operations into volatile environments where the government of the host country is unable to maintain security and public order.4 Chapter VII allows the peacekeepers to take military

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and nonmilitary action to maintain or restore international peace and security. Chapter VIII authorizes regional organizations, such as the North Atlantic Treaty Organization (NATO) and the African Union (AU), to resolve disputes prior to intervention by the UN Security Council, so long as the activities of the regional organizations are consistent with UN principles. In this report, we differentiate between traditional and multidimensional mandates for peacekeeping operations. Traditional operations generally monitor or supervise cease-fire and other peace agreements between formerly warring parties. Their tasks can include monitoring of border demarcation, exchange of prisoners, and demobilization efforts. Multidimensional operations tend to go beyond traditional peace monitoring tasks by attempting to restore or create conditions more conducive to a lasting peace. On two occasions since 1998, the UN Security Council granted multidimensional operations the executive authority to direct and carry out the construction or reconstruction of political, legal, and economic institutions in Timor L‘este and Kosovo. Multidimensional mandates generally include one or more of the following tasks in their mandates: Monitoring, supervising, training, or reconstructing police forces and otherwise supporting efforts to restore rule of law; monitoring, assisting, or instituting efforts to improve human rights; supporting, facilitating, coordinating, or safeguarding humanitarian relief operations or deliveries; restoring government institutions; monitoring, supporting, coordinating, or safeguarding assistance provided to help refugees or internally displaced persons return home and reintegrate into the society of the affected country or region; and conducting, supporting, or coordinating elections and other democracybuilding efforts. In general, the United States has supported the expansion of UN peacekeeping operations as a useful, cost-effective way to influence situations affecting U.S. national interests without direct U.S. intervention. For example, in 2006, the United States voted for UN operations to ensure that Southern Lebanon was not used for hostile activities; to assist with the restoration and maintenance of the rule of law and public safety in Haiti; and to contribute to the protection of civilian populations and facilitate humanitarian activities in Darfur. These operations support U.S. national interests by carrying out mandates to help stabilize regions and promote international peace. The UN manages 16

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peacekeeping operations worldwide as of September 2008, 6 of them in subSaharan Africa. Figure 1 shows the location of UN peacekeeping operations as of September 2008. The United States contributes the greatest share of funding for peacekeeping operations. All permanent members of the Security Council—China, France, Russia, the United Kingdom, and the United States—are charged a premium above their assessment rate for the regular budget (22 percent for the United States). For the 2008-2009 UN peacekeeping budget year, the UN assessed the United States about $2 billion according to a State official, or about 26 percent of the total UN peacekeeping budget. This represents an increase of over 700 percent in the budget since 1998 (see Figure 2).

Sources: GAO analysis of UN data; Map Resources (map). Figure 1. Location of UN Peacekeeping Operations, as of September 2008

The U.S. government also makes significant voluntary contributions in support of countries providing UN peacekeeping forces. For example, State obligated about $110 million in fiscal year 2007 and 2008 funds for countries providing forces for the UN operation in Darfur. In addition, the United States had provided 308 troops, police, and military observers to six UN peacekeeping operations as of September 30, 2008. The extent and nature of U.S. support for UN peacekeeping is largely contained in Section 10 of the UN Participation Act of 1945. For example, it limits total U.S. contributions to 1,000 troops at any one

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 11 time.5 It also limits the U.S. government to providing free of charge to the UN no more than $3 million worth of items or services—such as supplies, transportation assistance, or equipment—to each operation per year.6

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Source: GAO analysis of UN and Department of State data. a Estimated:. 2008 data as of September 2008. Figure 2. U.S. Payments for UN Peacekeeping, 1998-2008

UN guidelines call for DPKO to undertake planning and predeployment tasks before the approval of a UN Security Council mandate authorizing an operation. These include drawing up operations plans to address the expected mandate, estimated sector responsibilities, and force requirements. DPKO also assesses the availability of forces from potential contributors and then validates the estimates through visits of UN military and police officials to the host country and to troop and police contributing countries to assess unit readiness and availability. The Secretary General then issues a report on establishing the mission, including its size and resources. On the basis of the report, the Security Council may then pass a resolution authorizing the operation‘s mandate and number of troops and police. According to U.S. officials, this is the maximum level allowed. Although the Security Council may authorize the mission‘s mandate, its full budget must still be prepared and approved. In this process, the UN Department of Field Support prepares a draft budget and the UN Advisory Committee on Administrative and Budgetary Questions reviews it. According to the UN, considerable scrutiny of the proposed budget occurs during this process and there is debate among member

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states that pay the bulk of costs of the operation and the top troop contributors. The General Assembly then approves the budget for the amount agreed upon. UN guidelines note that the lead time required to deploy a mission depends on a number of factors, particularly the will of member states to contribute troops and police to a particular operation and the availability of financial and other resources due to long procurement lead times. For missions with highly complex mandates or difficult logistics, or where peacekeepers face significant security risk, it may take several weeks or even months to assemble and deploy the necessary elements. The UN has set a 90-day target for deploying the first elements of a multidimensional UN peacekeeping operation endorsed by the UN Security Council.7 Over the past decade, the UN has undertaken a number of assessments and initiatives to improve its peacekeeping organization, doctrine, planning, logistics and conditions of service for peacekeeping staff, as well as its efforts to establish a capacity to rapidly deploy peacekeepers. For example, the 2000 report of the Panel on United Nations Peace Operations, or Brahimi report, made recommendations to the Secretary General to improve the strategic direction, planning, organization, and conduct of peace operations. In response, the UN consolidated all peacekeeping responsibilities into DPKO, substantially increased its staff, and took steps to improve and integrate mission planning. Moreover, the Secretary General‘s 2001 No Exit Without a Strategy noted that missions‘ mandates should include elements such as institution building and the promotion of good governance and the rule of law to facilitate sustainable peace. The Peace Operations 2010 initiative announced by the Secretary General in 2006 focused on further reforms in the area of personnel, doctrine, partnerships, resources and organization. As a result, the UN took steps to strengthen its capacity to direct and support peacekeeping operations that included splitting DPKO into two departments in 2007 by creating the separate Department of Field Support; establishing integrated operations teams to integrate the daily direction and support of peacekeeping operations; and, in 2008, issuing a consolidated statement of peacekeeping operations, principles, and guidelines and a field guide to assist senior staff address critical mission startup tasks and challenges. GAO has reviewed the status of a number of UN reform initiatives, most recently the UN‘s efforts to clarify lines of authority for field procurement between DPKO and DFS.8

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 13 Table 1. Key Characteristics of UN Peacekeeping Operations, 1998 and 2008

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Key characteristics Total ongoing operations Operations with multidimensional mandates Average number of mandated tasks Chapter VII operations Average Human Development Index rating of host countries in preceding decadea Missions in sub-Saharan Africa (as percentage of total operations) Total troops, observers and police Troops and military observers only Deployed police Average number of troops, observers and police per multidimensional mission Operations with formed police units (number of personnel deployed) Civilians (per multidimensional mission)

1998

2008 16

16

6

11

3 4 Medium development level

9 9 Low development level

2 (13%)

6 (38%)

14,570 (June) 11,586 2,984

88,415 (Sept.) 76,900 11,515

875

7829

0

7 (4,365)

125b

445c

Source: GAO analysis of UN data. a The Human Development Index is a measure of human development dating back to 1990. It is an average of three measures on an index from 0 to 1: standard of living, as measured through a country‘s gross domestic product; knowledge, as measured through education levels and adult literacy; and health and longevity, as measured through life expectancy. Peacekeeping operations initiated between 1990 and 1998 were located in countries with a Human Development Index score in the medium development category as of 1995. The operations initiated since then in sub-Saharan countries have an average score in the low development category as of 2005. b This number is based on 2000 data, as complete UN civilian data by operation was not made available for earlier periods. c This number is based on data as of June 2008. This average rises to 1,708 if national staff and UN volunteer staff are included.

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UN PEACEKEEPING OPERATIONS HAVE EVOLVED INTO LARGE, COMPLEX OPERATIONS CONCENTRATED IN LESS DEVELOPED COUNTRIES

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Since 1998, UN peacekeeping operations have taken on more complex and ambitious mandates, taken place in increasingly challenging environments, and grown in size and scope.9 As shown in table 1, the operations have more mandated tasks and are increasingly authorized under Chapter VII of the UN charter to use all means necessary to carry out the mandate. The locations of the operations also are in less developed areas, as measured by the UN‘s index of health, economic, and education levels, and the operations are deployed in some of the most politically unstable countries in the world. Finally, current operations with multidimensional mandates have an average of nearly 9 times as many troops, observers, and police as those in 1998, and more than 13 times as many civilian staff. Appendix V provides details on current UN peacekeeping operations. Appendix VI provides details on the military capabilities of UN peacekeeping operations as of November 2008.

UN Peacekeeping Mandates Are Becoming More Complex Since 1998, the United Nations has undertaken operations with broader and more complex mandates than before. The 16 operations in 1998 had mandates averaging three tasks or objectives each. The mandates of 10 of these operations were limited to such traditional peacekeeping tasks as monitoring cease-fire agreements and boundaries between formerly warring parties. The other 6 operations had a small number of tasks, which went beyond traditional peace monitoring by calling for the restoration or creation of conditions more conducive to a lasting peace.10 In September 2008, the UN also had 16 ongoing peacekeeping operations, but 11 had multidimensional mandates with political, security, social, and humanitarian objectives. Also, 15 of the 17 UN Peacekeeping Operations begun or augmented since 1998 were multidimensional missions. According to the November 2000 report by the Panel on United Nations Peace Operations, the mandated tasks of these operations reflected the more comprehensive approach to restoring security the UN had adopted as part of its ongoing efforts to improve the strategic direction and conduct of peace operations. This report noted that the effective protection of civilians and assistance in postconflict environments

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 15 requires a coordinated strategy that goes beyond the political or military aspects of a conflict if the operation is to achieve a sustainable peace.11 We reported that since 1999 the UN has increasingly focused on a more comprehensive approach to making a transition from peacekeeping to a sustainable peace.12 Reflecting this trend, our analysis of the 17 UN operations since 1998 shows that operations averaged nine mandated tasks, with the most frequent tasks calling for the UN to

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monitor a peace or cease-fire agreement, use all means necessary to carry out the mandate (Chapter VII), help restore civil order with police support, train and develop the police force, support development of the rule of law, restore government institutions, support elections, ensure human rights/women‘s rights and protection, and support humanitarian assistance for internally displaced persons. Moreover, since 2006, the UN Security Council has mandated that peacekeeping operations include a responsibility to protect civilians from ―genocide, war crimes, ethnic cleansing and crimes against humanity,‖ with force if necessary, when national authorities fail in this task.

More Recent Operations Have Been Deployed in Less Developed Environments with Volatile Security Situations According to UN documents and officials, peacekeeping operations initiated after 1998 were deployed in less secure and more volatile postconflict situations. Since then, the Security Council has frequently deployed new operations into areas where the government of the host country was unable to maintain security and public order. For example, most of the UN operations ongoing as of September 2008 were deployed in locations that had among the highest levels of instability as measured by the World Bank‘s index of political instability.13 Moreover, the Security Council has increasingly authorized peacekeepers to take all steps necessary to carry out their mandate, including the use of force, under Chapter VII of the UN Charter. In 1998, four UN missions operated under Chapter VII authority; in 2008, nine operated under explicit Chapter VII authority.

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UN operations currently are also being conducted in countries that are relatively less developed on average than the countries in which they were deployed a decade ago. This has increased the level of effort and resources needed to sustain peacekeeping operations, according to UN officials. In 1998, the average UN peacekeeping operation was deployed to a country with aggregate levels of knowledge, standard of living, and life expectancy that placed them in the medium category of development, as measured by the United Nations Development Program‘s (UNDP) Human Development Index (HDI). Ten of the 17 operations initiated since 1998 were deployed to sub-Saharan Africa, of which 7 were in countries falling within the HDI‘s lowest category of human development. As of September 2008, about 78,000, or 72 percent of the UN‘s uniformed and civilian peacekeepers were in sub-Saharan Africa.

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UN Operations Require Larger Commitments of Specialized Forces, Civilians and Logistics As peacekeeping operations have taken on more ambitious mandates in challenging environments, the operations have become larger and more complex, with expanded troop deployments and sophisticated capabilities. Seven of the 11 ongoing multidimensional UN operations in 2008 had deployed from 7,000 to over 17,000 infantry units deployed, including 21 mechanized infantry battalions.15 Most recent operations require major troop-contributing countries to deploy at least one 800-person infantry battalion with armored vehicles and supported by its own engineer and logistics units. A March 2008 UN report noted that the UN‘s peacekeeping deployments included over 5,000 engineers, 24,000 vehicles, and 200 troops.14 In 1998, multidimensional operations averaged fewer than 1,000 troops and military observers. UN troops also are being deployed in larger and more capable units, according to UN officials. As of November 2008, the UN had approximately 76 battalion-sized aircraft. Appendix VI provides more information on the military capabilities required by ongoing multidimensional UN peacekeeping operations as of November 2008. The UN also has deployed more police to peacekeeping operations over the past 10 years. In June 1998, the UN deployed 2,984 police, compared with 11,515 police deployed as of September 2008. The UN also has come to rely more heavily on formed police units (FPU), armed units of approximately 125 to 140 officers trained in crowd control and other specialized tasks and equipped with armored personnel carriers. These units, which are deployed to UN operations as cohesive units by contributing countries, were first utilized in small numbers in

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 17 2003 but now compose about 40 percent of all UN police deployed. FPUs are intended to perform three main functions—protection of UN facilities and personnel, provision of security support to national law enforcement agencies, and national police capacity building—and the increase in their use reflects the trend toward operations with more complex mandates taking place in less secure situations. In contrast, UN police are individually selected and deployed by the UN to monitor host nation police activities or supervise local police training. The increasingly large and complex operations also require larger civilian staffs with a diverse range of skill sets to execute the mandate and coordinate with other UN and international organizations. In 2000, the average multidimensional operation deployed about 125 international civilian staff; in 2008, the average rose to 445 international civilian staff. A global survey of international peacekeeping reported that as of October 2007, international UN civilian staff deployed on UN peacekeeping operations worked in 22 occupational groups, including administration, aviation, engineering, rule of law, security, and transportation.16 The task of sustaining and supplying operations launched since 1998 has grown increasingly complicated due to their larger size and deployment in less developed and more unstable environments. Under these circumstances, units need more equipment, use it more intensively, consume more fuel, and require more maintenance due to increased wear and tear. According to a senior UN official, such operations must bring in more international staff because skilled local personnel are scarce. They also must bring in more of their own food and water, and build their own roads, buildings, and accommodations from the ground up and then maintain them. The United Nations Organization Mission in the Democratic Republic of the Congo (MONUC) is an example of an operation that is heavily dependent upon aircraft to move and supply forces over a large area because the country lacks adequate roads. According to a July 2006 UN report, MONUC required 105 aircraft, distributed among 60 airports; maintenance of 150 landing sites; and aviation support staff of 1,600. This effort consumed 21 percent of MONUC‘s total 2007-2008 budget, compared with an average of 11 percent for all UN peacekeeping operations.17

A POTENTIAL NEW UN OPERATION WOULD LIKELY REQUIRE SIGNIFICANT RESOURCES As a way to assess UN capacity, we developed a potential new peacekeeping operation to illustrate the detailed and likely resources the UN would need to

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deploy a new operation. Based on our analysis of the evolution of peacekeeping operations and UN planning scenarios, this operation would likely be large and complex and take place in sub-Saharan Africa. The potential new operation would be consistent with the mandates of the 17 operations launched since June 1998 and have nine security, political, and humanitarian tasks. Based on the most appropriate UN planning scenario, the potential new operation would likely require 21,000 troops and military observers and 1,500 police. We estimate that this operation would require 4,000 to 5,000 civilian staff, and UN officials noted that it would have logistical needs comparable to those of other large, complex operations in similar environments. Like other peacekeeping operations located in sub-Saharan Africa, the potential new mission likely would confront limited roads, other infrastructure, and water, thereby requiring greater logistical planning and support. Furthermore, according to the UN, in the majority of post-conflict scenarios, mine clearance is necessary to begin rehabilitating roads and other infrastructure. Our analysis is not intended to predict the size, scope, or location of a new UN peacekeeping operation. A new operation‘s mandate and resource needs would be determined by the UN Security Council and the circumstances particular to the country to which the operation is deployed. Therefore, the requirements of a new operation could differ from those of the potential new operation presented here.

A Potential New UN Operation Would Likely Have a Multidimensional Mandate and Be Located in Sub-Saharan Africa The potential new operation would likely have a multidimensional mandate, with nine tasks related to security, political, and humanitarian efforts. The operation could be mandated to provide a secure environment, protect civilians and UN staff, monitor a cease-fire or peace agreement, and promote reconciliation. Political tasks could include supporting elections; helping establish rule of law and assisting in the reform of military, police, and corrections systems; and assisting in disarmament and demobilization of combatants. Humanitarian tasks could include monitoring human rights and developing the capability of the government. To derive these tasks for a potential new operation, we reviewed UN planning scenarios for a new operation in sub-Saharan Africa and selected the scenario that best matched our trend analysis of the 17 UN operations initiated or augmented since June 1998. The potential new operation likely would be located in sub-Saharan Africa because 10 of the 17 operations started or expanded since 1998 were deployed to

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 19 the region. Like the areas of other peacekeeping operations in sub-Saharan Africa, the potential new mission‘s area of operations would have limited infrastructure and utilities, lacking roads, buildings, and water, and would thus require increased logistical planning. Using the assumptions contained in the selected UN planning scenario, the potential new operation would be in a high-threat environment, political factions would recently have been fighting for control of the country, and there would be large numbers of internally displaced persons. As a precondition for deployment of the potential new operation, the UN would likely secure political and security agreements among the parties to the conflict and a clear statement of support from the host country for the deployment of a UN peacekeeping operation.

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The Potential New UN Operation Would Likely Require Significant Military Forces to Execute Its Mandate To accomplish the political, security, and humanitarian tasks in the mandate, the potential new operation would require 21,000 troops and observers distributed among five sectors. Both combat capable and supporting units would be required, including troops with armored personnel carriers, engineers, truck transport companies, and medical, aviation, and logistics units. The force size would be derived from a threat assessment that would determine how the UN troops could ensure a safe and secure operating environment while protecting civilians and UN staff. According to UN planners, a potential new force would likely require units with the capability to deter threats from armed factions supported by international terrorist groups, which previous operations did not have to take into account to the same degree. The force would need special troops to detect and defeat the threat of improvised explosive devices and would need significant intelligence resources. The operation would be mandated to provide area security for an estimated 1.5 million internally displaced persons (IDP). Table 2 presents the composition of a potential new peacekeeping operation. The force‘s operational units (14 infantry battalions and 1 mechanized battalion) would be distributed among five sectors.18 Each sector would contain all the civilian and uniformed components necessary to carry out the mandated tasks. Four of the sectors would require two battalions each. The infantry battalions in these sectors would be deployed in mobile company-sized groups to provide wide coverage by patrolling, establishing checkpoints, and enforcing buffer zones and demilitarized areas. The plan envisions a larger force of 5infantry battalions for the fifth sector, encompassing the capital city; these units

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would not require as many vehicles because much of their patrolling would be done on foot in urban areas. This sector would also maintain a mechanized battalion in reserve to serve as a rapid reaction force. The size of the helicopter force would be based on the need to provide aerial observation and firepower support 24 hours per day, 7 days per week, for all sectors, as well as the capability to transport infantry battalions and conduct search and rescue operations as needed. Many of the operational units would need to come from countries capable of providing supplies for the first 60 days after deployment, given the limitations of local infrastructure expected in this environment. The force would require five specialized logistics units to provide a number of base camp service and supply functions, five to six engineering companies, and four airfield support units to assist aviation operations.

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Table 2. Force Requirements for a Potential New UN Peacekeeping Operation Operational units Sector One: 2 battalions Sector Two: 2 battalions Sector Three: 2 battalions Sector Four: 2 battalions Sector Five: 6 battalions Force Reserve: 1 mechanized battalion Aviation element 24 utility/transport helicopters 12 attack helicopters Enabling units Multipurpose logistics units: 1 unit per sector with 200 personnel each Military engineers: 5 to 6 companies Military transport: 5 medium companies and 1 heavy truck company Airport and port units Hospital (possibly ship-based) Source: GAO analysis of UN data.

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 21

Initially, Police Units Would Likely Be Limited to ConfidenceBuilding Tasks According to a UN planning scenario and UN officials, the potential new operation would likely require 1,500 police, including 700 officers in five FPUs. The police units will eventually assist with the reactivation of the potential new country‘s police force; provide mentoring, skills training, and professional development assistance; advise on police reform and restructuring; and support capacity building and police oversight. However, as with the operation in Darfur, a large police force with a high profile would likely be needed to build confidence among the population. Furthermore, as in other UN operations, police officers must speak the official language (English), know how to operate four-wheel drive vehicles, and have about 5 years of police service and a background in country development activities.

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Civilian Staff with a Strong International Presence Would Be Needed We estimated that the potential new operation would require 4,000 to 5,000 civilian staff, based on discussions with UN officials and analysis of UN planning documents. International staff of other complex UN operations ongoing in subSaharan Africa constitute between 20 and 30 percent of total civilian staff. According to UN officials, operations initially have a higher percentage of international staff. A more precise estimate of the number of civilians needed for the potential new operation would require detailed information, such as information about the skills available in the local labor market. The potential new operation‘s international civilian staff would likely include the following: a special representative of the Secretary General; Assistant Secretary Generals, including the force commander; directors, including police commissioner, judicial affairs, political affairs, and civil affairs; professional staff for legal affairs, rule of law, judicial affairs, child protection, finance, and mission support functions (logistics and administration, finance, budget, human resources and management, procurement); and

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service

officers

to

provide

In addition to international staff, the potential new operation would need national support staff and national professional officers. Furthermore, according to UN estimates, between 20 and 25 percent of the civilian force of the potential new operation could be needed to provide security for its civilian staff and facilities in the expected high-threat environment.

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The Potential New Operation’s Logistics Needs Would Likely Be Comparable to Those of Other Recent Large Operations in SubSaharan Africa UN officials could not provide an estimate of the logistical needs for the potential new operation without detailed planning in the field that precedes actual deployments. However, they stated that total logistical needs would likely be comparable to those of other large, complex operations, such as the operation in the Democratic Republic of the Congo or Darfur. For example, the potential new operation would likely need to establish and sustain camps and other facilities; manage major contracts for transport, food, fuel, water, and property and other services; and plan and coordinate the use of engineering, transportation, and other specialized assets provided by troop-contributing countries. The potential new operation, as with other sub-Saharan operations, would be dependent upon specialized military support units to meet its logistics needs. The potential new force would likely have to build roads, buildings, and other infrastructure and would be heavily dependent on helicopters and other relatively expensive aviation units for movement and supply. For example, as of June 2008, the operation in the Democratic Republic of the Congo (the Congo) allocated 21 percent of its annual budget on air operations, compared with a UN-wide average of 11 percent.

THE UN WOULD LIKELY FACE DIFFICULTY IN OBTAINING TROOPS, POLICE, CIVILIANS, AND LOGISTICS NEEDED FOR THE POTENTIAL NEW OPERATION The UN would likely face difficulty in obtaining troops, military observers, police, and civilians for the potential new operation. As of September 2008, the

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 23 UN was about 18,000 troops and military observers below the level of about 95,000 authorized for current operations. In addition, several peacekeeping operations needed specialized military units, such as units for logistics, helicopters, and transport. There are a limited number of countries that provide troops and police with needed capabilities to meet current needs, and some potential contributors may be unwilling to provide forces for a new operation due to such political factors as their own national interests and the environmental and security situation in the host country. The UN also has a large vacancy rate for international civilians, and the UN is considering proposals to address the difficulty of obtaining and retaining international civilian staff. Figure 3 illustrates the authorized and deployed levels of troops, police, and civilians. Moreover, the UN would likely face the logistics challenges that have confronted other large UN operations in sub-Saharan Africa. UN officials and performance reports note that the difficulty of obtaining needed personnel and other resources has had an impact on the ability of ongoing operations to fully execute their mandates.

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The UN Faces Challenges in Obtaining Needed Military Units As of September 2008, about 77,000 troops and military observers were deployed to existing UN peacekeeping operations, an overall gap of 18,000, or about 20 percent, below the authorized level of approximately 95,000. Of the 18,000, approximately 11,000 are attributable to the operation in Darfur. According to the State Department, the UN has secured pledges of troops to fill most of the authorized numbers for Darfur and the UN planned to deploy a majority of them by the end of the year. However, a UN report in October stated that the troop deployment would be delayed. The UN further reported that it had received no commitments from member states for some of the critical units required for the Darfur mission to become fully operational, including an aerial reconnaissance unit, transport units, a logistics support unit, and attack and transport helicopters with crews. Other operations have significant gaps between their deployed and authorized troop levels. For example, Lebanon has about 2,500 troops fewer than its authorized levels as of September 2008, and a UN report stated that the UN was seeking these troops from member countries. In addition to existing needs, a September 2008 UN report estimates that 6,000 troops will be needed, along with specialized units, for an augmented operation in Chad and the Central African Republic in the first quarter of 2009. However, the Secretary General requested the Security Council not to authorize the mission until the UN obtained firm troop commitments.

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Source: GAO analysis of UN data.

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Figure 3. UN Peacekeeping Personnel Authorized and Deployed in 2008

The UN would confront three critical issues in obtaining needed military resources for a potential new mission in sub-Saharan Africa. First, a relatively small number of countries have demonstrated the willingness and ability to provide the UN with units of sufficient size and capability. As of November 2008, 120 nations provide troops or police to UN operations; however, only 30 countries provide at least 1 of the 76 battalion-sized infantry units these operations require.19 A standard UN infantry battalion has 800 troops; U.S. government officials note that countries generally must commit 2 additional battalions for every battalion currently deployed to ensure sufficient units are available for the rotation cycle, entailing a total commitment of 2,400 troops. As of November 2008, UN operations lacked 8 battalion-sized infantry units for Darfur.20 The potential new operation discussed in this report would likely increase the potential need by 15 battalions. A UN official indicated that the UN would approach its major contributors, such Bangladesh, India, and Pakistan, which have provided an increasingly large portion of total UN peacekeeping forces since 1998, if confronted with the challenge of staffing an operation similar to the potential new operation.21 Second, the potential new operation would require military logistics units, hospitals, military engineers, and military transport units. The UN relies on 37 countries to provide these specialized units in company strength or greater as of November 2008. The potential new operation would require 24 utility helicopters, 12 armed helicopters, and crew to fly them. However, according to US officials and UN documents, these types of units and resources are difficult to obtain and are currently being sought for existing operations. As of December 2008, the UN has been unable to obtain any of the 28 helicopters needed for the operation in

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 25 Darfur, according to a State official. A UN official said it would be reasonable to assume an inability to obtain helicopters for the potential new operation. Third, member state decisions to provide troops for UN operations depend on factors such as the state‘s national interest, the operation‘s mandate, and the host country‘s environment and security situation. For example, concerns over the security situation in Rwanda in 1994 resulted in member states not providing additional troops for the UN operation. Member states were unwilling to provide needed troops and reinforcements for operations in Bosnia and Somalia for similar reasons.22 The government hosting the UN operation also can impose political restrictions. For example, the government of Sudan insists that the UN force in Darfur be composed primarily of troops from African member states. This led to the withdrawal of an offer by Norway and Sweden to provide a needed joint engineering unit to the operation, a decision that the Secretary General noted undermined operations.

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The UN Faces Challenges Recruiting and Deploying Police The potential new operation would require deployment of 1,500 police—800 individual UN police and 700 officers in five FPUs. However, as of September 2008, UN peacekeeping operations had a 34 percent gap between deployed and authorized levels of police. The total number of police authorized for all operations was 17,490, but the number deployed was 11,515. Moreover, the UN required 46 FPUs as of June 2008, but the UN had deployed only about 31 FPUs. The gap between deployed and authorized FPUs stems mainly from the lack of units for operations in Darfur.23 The UN encounters difficulties in obtaining qualified UN police with the special skills its operations may require. For example, according to a November 2007 Stimson Center report, some UN operations require experienced police officers capable of conducting criminal investigations or officers with supervisory or administrative skills.24 According to this report, unlike states contributing troops or FPUs, potential police contributing countries lack incentives because the UN does not reimburse them for their individual police contributions. In addition, a UN official noted that it is difficult to find police for the UN with the necessary skills because these officers are in demand in their home countries. Limited resources for recruiting individual UN police add to this difficulty. In contrast with its reliance on member states to contribute and deploy FPUs as a unit, the UN recruits and deploys UN police individually. A senior UN police official stated that this task is time-consuming; he noted that he reviews an

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estimated 700 applications to find 30 qualified police officers for an operation. Recruitment is the responsibility of the 34-strong Police Division of the UN‘s Department of Peacekeeping Operations, which also helps deploy the police components for new UN operations, sends members of this staff to the field to help with start-up of new operations, and supports and assists police components of existing UN operations. According to a senior UN official, current staff levels are not adequate to support these functions and undertake all recruitment, and the UN should have three to four times the support personnel that currently reside in the division. UN police officials also noted that supporting an additional operation would be beyond their current capacity. However, a strategic review of the functions and structure of the Police Division, which will include an analysis of the adequacy of current resources levels, is ongoing. Obtaining needed FPUs required by its operations presents the UN with additional difficulties. These units, which are composed of law enforcement officers with expertise in crowd management and other policing tactical activities, require special training and equipment. For example, FPUs must undergo training in several areas before being eligible for deployment to a UN operation, including emergency medical services, use of nonlethal weapons and firearms, and crowd control and behavior. As of June 2008, only 11 countries provide full-sized FPUs to the UN, compared to the much larger number of countries that contribute UN police. According to a UN official, obtaining even one additional FPU is difficult. For example, it took a year to obtain an additional unit for the mission in Haiti. According to a conference report on international police issues co-sponsored by the U.S. government, if the UN plans to continue increasing its use of FPUs, this will require the development of a greater international capacity to deploy units that have been properly prepared for the demands of peacekeeping operations.

The UN Has Difficulty Obtaining and Retaining Civilian Staff for Peacekeeping Operations The UN would likely need between 4,000 and 5,000 civilian staff for the potential new operation but would have difficulty obtaining these staff and retaining them once in place. Recruiting enough international civilian staff to fill the number of authorized positions in peacekeeping operations is difficult. From 2005 through early 2008, UN peacekeeping operations have had an average vacancy rate for international civilian staff of about 22 percent. As of April 2008, the vacancy rate for all civilian staff for the sub-Saharan operations in Chad/Central African Republic and Darfur was over 70 percent, and the vacancy

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 27 rate for international civilian personnel in the adjoining UN operation in southern Sudan, was approximately 30 percent of its authorized level. Operations outside sub-Saharan Africa also have experienced high international civilian staff vacancy rates; the average vacancy rate for these operations ranged from 14 to 25 percent from 2005 through 2008. Some specialties are difficult to fill. In 2000, a UN report found critical shortfalls in key areas including procurement, finance, budget, logistics support, and engineers. In addition, a 2006 UN report found a 50 percent vacancy rate for procurement officers in the field. The UN also has difficulty retaining the existing civilian staff in peacekeeping operations. About 80 percent of international staff have appointments of 1 year or less, and the turnover rate in the field is approximately 30 percent. In addition, about half of professional staff serving in peacekeeping operations have 2 years or less experience. In September 2008, we reported that limited career development opportunities have contributed to the UN‘s difficulties in attracting and retaining qualified field procurement staff.25 According to UN officials, turnover among field procurement staff has continued to hurt the continuity of their operations and peacekeeping missions continue to face challenges in deploying qualified, experienced procurement staff, especially during the critical start-up phase. The UN has identified several problems in obtaining and retaining civilian staff for peacekeeping. First, nearly all civilian staff deployed to UN operations hold appointments limited to specific missions or are on loan from other UN offices as temporary duty assignments. Most of these civilians cannot be redeployed from one mission to another in response to urgent needs at one of the operations, which limits the UN‘s ability to launch new operations. Second, the UN has reported that the terms and conditions of service for civilians at field missions create inequities in the field. In March 2008, the UN reported that it has nine different types of employment contracts for field civilians, which set differing terms of service. Some operations do not offer the incentive of hardship pay. According to a UN official, it would be difficult to attract international staff and contractors to the potential new operation without better conditions of service. The UN has developed proposals to address these challenges. For example, in 2006, the UN Secretariat proposed establishing 2,500 career-track positions for expert and experienced technical civilian staff to serve in field missions. These staff would have the flexibility to move to different operations as needed. The UN Secretariat also proposed reducing the types of contracts offered to civilian staff and harmonizing conditions of service so that civilians serving in UN operations have similar benefits. As of September 2008, the UN was considering these proposals, according to a State official.

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Logistics Difficulties Would Likely Impede or Delay the Potential New Operation The recent experiences of other UN operations in sub-Saharan Africa illustrate the challenges the potential new operation may face in terms of logistical requirements. First, it is likely that the UN will not be able to draw upon preexisting buildings for office space and staff accommodations. For example, UN planning standards assume that a host country could provide 40 percent of a new operation‘s required accommodation space; however, a panel of UN officials from the Departments of Peacekeeping and Field Support stated that a host country in sub-Saharan Africa would likely be unable to provide any of the office space or accommodations needed. As a result, a new operation such as the potential new operation could face the task of constructing accommodations from the ground up for approximately 10,000 people in and around the force headquarters. Second, poor infrastructure conditions would likely hinder the activities of the potential new operation; UN officials noted that road conditions for the potential new operation could resemble those facing Darfur, Sudan, and the Democratic Republic of the Congo, where the poor or nonexistent road networks strained the UN‘s ability to move people, goods, and equipment. According to UN reports, the roads in Darfur are especially poor, supplies take an average of 7 weeks to travel the 1,400 miles from port to operation, and banditry along the roads compounds the problem. As a result, according to a UN official, the potential new operation would likely require engineering units with substantial road-building capabilities for each sector, but as noted earlier, engineering units are difficult for the UN to obtain. According to the UN, the four month rainy season in the sub-Saharan region also complicates the challenge of supplying missions. Third, commercial opportunities for procuring goods and services will likely be limited given the potential new operation‘s location in sub-Saharan Africa. Lack of local commercial opportunities has caused problems for other operations in the area. When items cannot be procured locally, they must be imported from abroad and sent to the operation, a fact that causes delays and compounds the burden on the operation‘s transport assets. For example, the Darfur mission‘s slow deployment is partially due to lack of capacity in the local market to meet the cargo transport requirements of the operation. These challenges also would likely delay the start-up of the potential new mission. As of September 2008, UN mission planning factors call for UN operations to begin with a rapid deployment phase in which the force would achieve an initial operational capability within 90 days of Security Council

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 29 authorization.26 However, according to UN planning staff and documents, this objective is unrealistic. Operations in the Congo, Sudan, Darfur, and Chad required a substantial buildup of logistical military units before achieving initial operating capability. According to a UN report, arranging for the commitment and deployment of these units requires an expeditionary approach—the establishment and progressive buildup of the personnel, equipment, supplies, and infrastructure. One UN military planner estimated that arranging for and coordinating these complex logistical arrangements with existing UN planning resources added 6 months to the deployment process.

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Gap between Deployed and Authorized Resource Levels Affected Some Operations’ Execution of Their Mandates The gaps between authorized and deployed levels of troops, police, and civilians—compounded by the logistics challenges—have affected ongoing operations. Some State and UN officials note that some gaps simply may be due to the time lag between securing and deploying forces. However, interviews with some officials from selected operations and our review of operation performance reports have demonstrated that the lack of troops, police, and civilians for existing operations has delayed or prevented some operations from undertaking mandated activities. The operation in Darfur, for example, has been unable to fully undertake many of its mandated activities, such as protection of civilians, due to a lack of military personnel. According to UN reports, lack of critical support units, such as helicopter, logistics support, and transport units has limited the operation‘s ability to provide for its own protection, carry out its mandated tasks effectively, and transport equipment and supplies necessary to house and maintain the troops it has deployed so far. Moreover, the inability to secure these support units has delayed the deployment of some of the troops already committed to the operation for several months. The operation in Haiti lacked required levels of police, according to a UN official, and this lack decreased the support that could be provided to the Haitian National Police. Several operations have recently experienced civilian vacancies in key areas, affecting operation activities in the areas of public information, property management, medical services, and procurement. For example, officials at some missions stated that vacancies in procurement staff positions, particularly in supervisory positions, have impeded procurement actions and heightened the risk of errors. In general, according to a UN Secretary General report, the UN has not made progress in solving the

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problems with civilian staffing and the resulting high civilian vacancy rates have put the organization at managerial and financial risk. In addition, challenges in the areas of logistics have also had an impact on existing operations. Lack of local procurement opportunities required the operation in Haiti to procure most needed goods and services from outside the country, creating delays for the operation that are difficult to overcome. For example, it took the operation some time to find a suitable headquarters building, and it required outside resources to bring the building up to UN standards of safety and security.

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THE UNITED STATES HAS PROVIDED ASSISTANCE TO UN PEACEKEEPING, BUT REPORTING TO CONGRESS PROVIDES LIMITED INFORMATION ABOUT GAPS BETWEEN AUTHORIZED AND DEPLOYED FORCE LEVELS The U.S. government, along with those of other countries, has taken some steps to help address UN challenges in obtaining troops and police for peacekeeping operations, primarily through the Global Peace Operations Initiative. The United States has also provided logistics support to specific UN operations and is supports, in principle, UN proposals to address gaps between the number of authorized and deployed civilians. State is required to report to Congress on the status and effectiveness of peacekeeping operations and provides some of this information through its monthly briefings to Congress. However, State has not provided information about troop and other gaps between authorized and deployed force levels—important elements of status and effectiveness—in its notifications or annual UN report to Congress.

The United States and Other Countries Provide Some Help to Address Gaps between Deployed and Authorized Levels The U.S. government, along with those of other countries, has provided some help to address UN challenges in obtaining peacekeeping troops, police, civilians, and logistics requirements through both GPOI and in response to specific UN mission needs.27 GPOI is a 5-year program begun by the U.S. government in 2004 in support of the Group of Eight (G8) countries‘ action plan to build peacekeeping capabilities worldwide, with a focus on Africa. According to the State department,

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 31 efforts are underway to extend this program‘s activities beyond 2010. The key goals of the program are to train and, when appropriate, equip military peacekeepers and provide nonlethal equipment and transportation to support countries‘ deployment of peacekeepers. In June 2008, we reported that as of April 2008 GPOI had provided training and material assistance to about 40,000 of the 75,000 peacekeeping troops it intends to train by 2010.28 Approximately 22,000 of these troops, predominantly African soldiers, have been deployed to 9 UN peacekeeping operations, one UN political mission, and 2 AU peacekeeping operations. We also reported that GPOI is unlikely to meet all of its goals and that State was unable to assess how effectively its instruction was improving the capacity of countries to provide and sustain peacekeepers. In addition, the United States has initiated actions to address mission-specific gaps. For example, State and DOD formed the Missing Assets Task Force to conduct a global search for 28 attack and transport helicopters, logistics units, and other assets for the operation in Darfur. As of December 2008, the task force was unable to obtain commitments for the helicopters. Through GPOI, the United States also supports efforts at the international Center of Excellence for Stability Police in Italy to increase the capabilities and interoperability of stability police to participate in peace operations. As of June 2008, the center had trained more than 1,300 of the 3,000 stability police instructors it intends to train by 2009. Moreover, State has allocated about $10 million for training and equipping FPUs deploying to Sudan. According to State and DOD officials, the United States has done little to help the UN address gaps between deployed and authorized civilian levels. According to State officials, the United States supports, in principle, UN internal efforts to address chronic gaps between civilian deployment and authorized staff levels by improving the terms of service for civilian peacekeeping staff, improving contracting arrangements and incentives for UN civilians, and developing a rapidly deployable standing civilian corps. However, a U.S. official noted in late September 2008 that these initiatives are still undergoing review by the UN and member states and the U.S. position on the final initiatives could be influenced by the projected costs and other factors. In commenting on a draft of this report, State wrote that it is supporting reforms in personnel policy that will mitigate the difficulty the UN is having in recruiting critical international staff. However, the UN comments on the draft stated that the general expression of U.S. support for the Secretary-General‘s human resources management reform proposals is welcome, but is somewhat at dissonance with the position presented by the U.S. delegation to the fifth Committee of the General Assembly and on-going regular sixty-third sessions of

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the General Assembly. The UN stated that the U.S. delegation did not join the consensus reached by all other member states to streamline contractual arrangements, offer greater job security to staff in field missions, and improve their conditions of service. The UN also commented that at the regular sixty-third session of the General Assembly, the U.S. delegation proposed to significantly reduce allowances and benefits to new recruits and to staff to serve on temporary appointments in UN peacekeeping operations. The United States has helped the UN address logistical challenges both through GPOI and on a mission-specific basis. For example, GPOI supports an equipment depot in Sierra Leone that has provided nonlethal equipment to support the logistical training and deployment of African troops. State and DOD officials stated that they also have responded to specific logistics needs of UN operations. For example, State provided $110 million in fiscal year 2007 and 2008 funds to help troop-contributing nations deploy or sustain their forces in Darfur, including about $20 million worth of support to equip and deploy Rwandan troops as of September 2008. The U.S. government also responded to requests to provide transport and logistics assistance in 2006, resulting in the provision of additional support to help deploy troops from two countries to the UN operation in Lebanon.

U.S. Government Reporting to Congress Provides Limited Discussion of Resource Needs Federal law requires the President to report, to notify, and consult with Congress on UN peacekeeping operations.29 When the President submits his annual budget report to Congress, the law requires the President to provide Congress an annual report that assesses the effectiveness of ongoing international peacekeeping operations, their relevance to U.S. national interests, the projected termination dates for all such operations, and other matters. The law also requires that the President provide Congress written information about new operations that are anticipated to be authorized by the UN Security Council or existing operations where the authorized force strength is to be expanded or the mandate is to be changed significantly. The information to be provided is to include the anticipated duration, mandate, and command and control arrangements of such an operation, the total cost to both the UN and the United States, the planned exit strategy, and the vital national interest the new operation is to serve. The law also requires the President to consult monthly with Congress on peacekeeping. To comply with these requirements, State consults with Congress about peacekeeping through monthly briefings. At these briefings, State officials update

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 33 Congress on the status of peacekeeping operations, such as progress being made in Darfur, the Congo, and Haiti, as well as the problems encountered, such as kidnappings in Port au Prince or incursions along the Chad-Sudan border discussed in the April 2008 monthly briefing. In some briefings, State provides updates on the progress in obtaining needed troops, police, and other resources. State also provides written notification to Congress about new peacekeeping operations that the United States expects to vote for in the Security Council and for operations where the mandate is significantly revised. For example, on August 30, 2006, State provided written notification to Congress that it had voted to approve the expansion of the UN operation in Lebanon, including increasing the troop level from about 2,000 to 15,000. Although they provide information about UN peacekeeping operations and their mandates, the annual reports to Congress and the notifications do not discuss potential successes or difficulties in obtaining the resources necessary to carry out the mandates. For example, between January 2006 and October 2008, the Congress received 17 notifications about new or expanded peacekeeping operations, including missions in Haiti, Timor L‘este, Lebanon, Côte d‘Ivoire, Sudan, Darfur, and others. All 17 provided information about the operations‘ mandates, the forces authorized, the U.S. national interest served, and the exit strategy. None of the 17 reported on whether the UN had commitments for the troops, police, and the other resources required to carry out the mandate; whether there might be problems in obtaining them; or whether this information was known. Moreover, just 4 of 20 notifications regarding reprogramming of State Peacekeeping Operations funds in support of UN peacekeeping operations provided to Congress between January 2006 and September 2008 cited possible UN gaps in troops or equipment as part of the justification for this reprogramming.30 Furthermore, State‘s 2006 and 2007 annual reports on peacekeeping included one sentence each on potential difficulties in attaining needed resources. This sentence stated that an ongoing challenge will be to ensure sufficient qualified troops for present and possible new missions. Information about the resources available to carry out the operations is not specified in the law. However, as this report has discussed, important elements of assessing the effectiveness, exit strategy, and mandate of operations would necessarily include a discussion of commitments made to provide the troops, police, and other resources needed to carry out the mandate; whether there would be problems in obtaining them; or whether this information is known.

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CONCLUSION

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Through its peacekeeping operations, the UN is trying to build sustainable peace in some of the most unstable countries in the world. However, the UN has at times been unable to obtain the authorized level of resources, particularly specialized military units, police, and civilians. This has hindered some operations from fully carrying out their mandates. In some cases, these gaps reflect the inability of member states to provide the needed resources. However, the gaps between authorized and deployed levels of civilians, specialized military units, full battalion strength contingents, and formed police units pose challenges to current UN operations as well as to the UN in deploying another large multidimensional operation. The United States government, along with other member countries, is helping the UN address the resource challenges. However, gaps in needed resource levels for current operations still exist and State has not reported to Congress about this issue. Congress may lack the critical information it needs to assess the effectiveness of ongoing operations or the challenges the UN may face when considering or fielding proposed new UN peacekeeping operations. Congress needs this information when considering Administration requests for funding and support for UN peacekeeping operations.

RECOMMENDATION FOR EXECUTIVE ACTION To ensure that Congress has the information needed to conduct oversight and fully consider Administration budget and other requests for UN peacekeeping, we recommend that the Secretary of State include in the department‘s annual report or in another appropriate written submission to Congress information about UN resource challenges and gaps in obtaining and deploying troops, police, and civilians authorized to carry out peacekeeping operations. The information should include commitments to provide these resources, difficulties in obtaining them, and whether the gaps have impeded operations from carrying out their mandates. If the information is not available when an appropriate written submission is sent to Congress, we recommend that State ensure the information is provided, as available, during its consultations with Congress.

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 35

AGENCY COMMENTS AND OUR EVALUATION

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The Department of State and the UN provided written comments on a draft of this report, which are reprinted in appendices III and IV. State commented that the report reflects a very thorough inquiry into the increase in and developing nature of international expectations of United Nations peacekeeping. State also commented that our recommendation should not specify in which reports to Congress the information on peacekeeping gaps should be included. Our draft recommendation specified that State should provide the information in annual reports to Congress and Congressional notifications. We agree that this may be too prescriptive but believe the information should be provided in writing; therefore, we modified our recommendation so as to allow the information be provided in appropriate written submissions to Congress. The UN commented that it fully concurred with the conclusions of our report and appreciated recognition that UN peacekeeping operations should be properly resourced and that mandates should be aligned with said resources. State and the UN also provided technical and general comments which we addressed in the report as appropriate.

Joseph A. Christoff Director, International Affairs and Trade

APPENDIX I: OBJECTIVES, SCOPE, AND METHODOLOGY Our review focused on four objectives related to the evolution of peacekeeping operations and the United Nations‘ (UN) capacity to deploy new operations: Specifically, in this report, we examine (1) the evolution of UN peacekeeping operations in the past 10 years; (2) the characteristics of a potential new peacekeeping operation, given this evolution and UN planning scenarios; (3) the challenges, if any, the UN would face in deploying this potential new operation; and (4) U.S. efforts to support and report on UN peacekeeping. We analyzed the evolution of peacekeeping operations from 1998 to 2008. We chose this timeframe because it is the most recent 10-year time period and the period during which the UN initiated major peacekeeping reforms, such as the response to the Brahimi report. Also, during this time period, the UN articulated

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its approach and rationale to multi-dimensional peacekeeping. In the Secretary General‘s report, No Exit without Strategy, the UN states that to facilitate sustainable peace a peacekeeping mission‘s mandate should include elements such as institution building and the promotion of good governance and the rule of law. To analyze the evolution of UN peacekeeping operations from 1998-2008, we reviewed UN documents, including UN Security Council resolutions containing operation mandates; budget documents with information on resource requirements; and other UN reports. We also obtained UN data on troop, police, and civilian deployments and World Bank data on political instability. We analyzed the variation in troops, police, and civilians from 1998 to 2008 to analyze trends in mission size and scope. We analyzed the variation in civilian deployments from 2000 to 2008 as complete UN civilian data by operation was not made available for earlier periods. We categorized each mission as traditional or multidimensional, based on the number of mandated tasks and whether the mandated tasks were traditional, such as observing cease-fires or whether they were ambitious, such as helping restore government institutions. We met with UN officials in the Department of Peacekeeping Operations and the Department of Field Support to discuss changes in the nature of operations. We also reviewed previous GAO reports and used the distinction they had made between traditional and multidimensional operations. To illustrate the change in the types of countries where the UN launched peacekeeping operations in 1998 and 2008, we collected and analyzed data from the United Nations Development Program‘s Human Development Index from within 5 years of the start date of each operation.31 To show the specialized capabilities and increased number of civilians required by recent operations, we used the 2008 Annual Review of Global Peace Operations conducted by the Center on International Cooperation‘s Global Peace Operations program at the request of and with the support of the Best Practices Section of the UN Department of Peacekeeping Operations,32 augmented by UN operation deployment maps. To describe the stability of the countries in which peacekeeping operations are deployed in 2008, we used the World Bank‘s Governance Matters.33 To determine the characteristics of a potential new peacekeeping operation, we used a combination of trend analysis and UN contingency planning documents. The trend analysis described in the preceding paragraph provided us with an average of nine mandated tasks. We then reviewed current UN contingency plans for a multidimensional operation that included these tasks and selected this plan to provide detailed requirements for the potential new operation. In developing requirements for a potential new operation, we worked with UN peacekeeping officials from several offices, including military planning, budget,

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 37 logistics, civilian personnel, and police, to review the parameters of the operation. For further details on the potential new operation, see appendix II. To assess the challenges the UN would face in deploying the potential new operation, we reviewed a variety of UN documents, met with UN officials in New York, held teleconferences and interviews with UN officials deployed to operations, and met with State Department officials in Washington, D.C., and New York and DOD officials in Washington, D.C. Our analysis discusses challenges to deploying a potential large, multidimensional operation. It does not assess challenges to deploying a smaller, less capable operation. To determine the challenges the UN might face in obtaining troops, we analyzed UN data on troop contributions; consulted academic research on troop contribution patterns; spoke with various UN officials in the Department of Peacekeeping Operations, including officials in Force Generation Services; consulted a variety of UN reports, including Secretary General reports on particular operations; and reviewed past GAO reports. We assessed the gap between authorized forces and deployed forces by comparing current authorized UN force levels with monthly deployment data for troops, military observers and police up through September 2008. We assessed the number of infantry battalions and specialized units deployed by assessing the most current individual operation deployment maps available—ranging from March to October 2008. We reported the number of leased and contributed aircraft based on September 2007 data augmented with September 2008 data for the Darfur operation. To address challenges in the realm of obtaining police, we analyzed UN data on police contributions; met with officials in the Police Division of the Department of Peacekeeping Operations; consulted reports and studies completed by research institutions and training centers; and spoke with a UN official at the mission in Haiti. To assess challenges in recruiting and deploying civilians, we analyzed UN data on civilian vacancy rates by mission and position; spoke with UN officials in the Field Personnel Division of the Department of Field Support; and reviewed the large number of UN reports addressing civilian staffing issues that have been released between 2000 and 2008. To describe potential challenges in the realm of logistical requirements, we met with several UN officials in the Departments of Peacekeeping Operations and Field Support, including at a roundtable discussion of our potential new mission; reviewed UN reports on particular peacekeeping operations; and analyzed UN documents related to Strategic Deployment Stocks and the UN Logistics Base. We determined that data from the UN‘s peacekeeper troop- and deployment- reporting systems are sufficiently reliable for the purposes of our report, which is to support findings concerning the challenges the UN may

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encounter when addressing the gaps between authorized and deployed levels of uniformed and civilian UN peacekeepers. To analyze U.S. efforts to help support UN peacekeeping, we reviewed U.S. reports on peacekeeping, including GAO reports and State Department budget submissions and reports on peacekeeping. We also obtained all notifications to Congress on reprogramming funds for peacekeeping from January 2006 through September 2008. There were a total of 77 notifications, 17 of which were to announce new or expanded peacekeeping operations. The others provided information on reprogramming funds in the Peacekeeping Operations Account. We analyzed these notifications for funding shifts and the information provided to Congress about the peacekeeping operations, such as operations‘ mandates, exit strategies, U.S. national interests served, and gaps between the level of resources required and the level provided. We also obtained the annual 2006 and 2007 peacekeeping reports to Congress and reviewed them for the same issues. We compared our analysis of these documents with the reporting standards for peacekeeping under 22 U.S.C. § 287b. We conducted this performance audit from September 2007 to December 2008 in accordance with generally accepted government auditing standards. These standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives.

APPENDIX II: METHODOLOGY FOR IDENTIFYING POTENTIAL NEW PEACEKEEPING OPERATION REQUIREMENTS To identify requirements for the potential new operation, we reviewed UN planning scenarios for one that provided a reasonable basis for a potential operation, as validated by (1) our analysis of trends in peacekeeping since 1998 and (2) our examination of the scenarios‘ components. Our analysis is not intended to predict the size, scope, or location of a new UN peacekeeping operation. A new operation‘s mandate and resource needs would be determined by the UN Security Council and the circumstances particular to the country to which it is deployed. Therefore, the requirements of a new operation would likely differ from those of the potential new operation presented here.

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 39 Table 3. UN Operations Launched since 1998 and the UN Planning Scenario/Potential New Operation

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

Mandated tasks and locations of 17 UN operations launched since 1998 Monitor peace or cease-fire agreement Provide protection under Chapter VII authorization Provide civil police enforcement Train and develop police Support restoration of the rule of law Support restoration of government institutions Support elections Protect human rights, women‘s rights Support humanitarian assistance for internally displaced persons

Sub-Saharan Africa, the location of 10 of 17 operations initiated or expanded since 1998. Others include Haiti, Timor L‘este, and Lebanon.

1. 2. 3. 4.

UN planning scenario/potential new operation tasks and location Monitor peace or ceasefire agreement Provide a safe and secure operating environment Protect civilians and UN staff Support rule of law and security sector development

5.

Develop capacity of governm-ent and institutions 6. Support elections 7. Monitor human rights 8. Assist demobilization and arms collection 9. Facilitate political agreements and reconciliation Location in sub-Saharan Africa

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Source: GAO analysis of UN Security Council Resolutions for UN Peacekeeping Operations, January 1998 to June 2008.

We first examined the 17 operations deployed or enlarged since 1998 and identified 18 categories of tasks included in the mandates of one or more of these operations. We then determined these 17 operations had on average nine mandated tasks. To construct a possible mandate for our potential new peacekeeping operation reflecting these trends, we selected nine tasks from the list of 18 categories of tasks that most frequently appeared in the mandates of the previous 17 operations. These include restoring the rule of law and supporting elections (each included in the mandates of 11 of the 17 operations), and also restoration of government institutions (present in 10 of 17 mandates). We identified one UN planning scenario that was a close match to these trends. As table 3 shows, this planning scenario has nine mandated tasks that are consistent with the most common historical tasks since 1998. Seven of the tasks were similar or identical. Two tasks in the UN planning scenario—facilitating political agreements and supporting disarmament and demobilization—were not among the nine most common historical tasks, but were frequent tasks of the 17 operations since 1998.

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Table 4. UN Planning Scenario and GAO Estimate of Potential New Operation Characteristics of UN planning scenario

Characteristics of potential new operation

Comments

Operation in location with limited infrastructure, hostile conditions, and high operating tempo Military personnel: 27,000 troops in six sectors 21 infantry battalions, One mechanized battalion aviation units, engineers, logistics units, airport and port units, transport units

Same as UN planning scenario

Based on UN, U.S., and World Bank reports and interviews with UN staff

Military personnel: 21,000 troops in five sectors 14 infantry battalions Same as UN planning scenario

Police: 1,500 police, including 700 deployed in five formed police units. Civilian requirements: not addressed in contingency planning

Same as UN planning scenario

Logistics needs: not addressed in contingency planning

Requires significant military logistical capability and specialized support units characteristic of other large peacekeeping operations in sub-Saharan Africa

One sector eliminated as it was primarily a separate observation mission that would not execute other mandated tasks identified in our trend analysis Special military units based on requirements for similar operation in Darfur and UN planning standards Based on UN briefing documents and interviews with UN staff Based on interviews with UN civilian planners, analysis of civilian component planning templates, and comparison with civilian requirements for other large UN operations in subSaharan Africa Based on interviews with UN force planners, field support and logistics officials, and review of initial resource requirements of similar units deployed to Darfur

Force composition: 4,000 to 5,000 civilians

Source: GAO analysis of UN peacekeeping planning scenarios and mandates.

The UN planning scenario is located in sub-Saharan Africa. We validated that sub-Saharan Africa is the modal location for a potential operation. That is, 10 of the 17 operations deployed or expanded since 1998 were in this region. Also, 7 of the 11 operations deployed since 1998 and still ongoing are located in subSaharan Africa. We thus used this UN planning scenario as the basis for the potential new operation. This analysis acknowledges that the mandate, resource requirements, and location of a new UN operation would be contingent on actual events, and its characteristics may differ to an unknown extent from those presented in the UN planning scenarios used for this assessment. The UN planning scenario identified political and environmental conditions in the area of operation and specified the troop and police numbers for the operation. The assumptions in the UN planning scenario are that the government

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United Nations Peacekeeping: Challenges Obtaining Needed Resources … 41 is weak, the location would lack roads and other infrastructure, UN troop contingents would operate in a high-threat environment, and the operations would function at a high tempo with active military patrols. We validated these as reasonable assumptions by (1) reviewing U.S. and UN reports about locations in sub-Saharan Africa, (2) reviewing UNDP reports on political instability and level of development in sub-Saharan Africa, and (3) interviewing UN officials who had surveyed the area. The UN planning scenario calls for 27,000 troops and military observers deployed in six locations in the country. The scenario also calls for specialized military units, such as logistics, transport, and aviation units. To validate whether this scenario was reasonable, we met with UN officials in the Department of Peacekeeping Operations Offices of Military Affairs, Police Affairs, Planning Service, Strategic Military Cell, Force Generation Services, and others. We discussed, in detail, the planning scenarios and the planning process to generate the scenarios, including the fact that some field survey work had been conducted. We obtained and reviewed documents on force requirements for similar operations, such as Darfur. We found that the requirements, such as the need for special military units, were consistent for these operations and the UN planning scenario. We reviewed the UN planning guidelines, the UN survey mission handbook, and lessons learned reports for procedures, requirements, and best practices for standards in planning operations. On the basis of this work, we validated as reasonable the deployment of 21,000 troops in five sectors for the potential new operation. As table 4 shows, we eliminated one sector from the potential new operation because it was primarily mandated to observe and monitor a cease-fire and thus this sector constituted an independent operation with a different mandate rather than part of the potential new operation. The UN planning scenario calls for 1,500 police, of which 700 would be deployed in five formed police units. We validated this as reasonable based on interviews and briefings with UN officials in the police division and our review of reports and data on UN police in peacekeeping operations. According to the UN officials, the estimate is based on their experience, a technical assessment mission, the population size, the tasks for the UN police, and the capacity of the local police. These officials also said that more information about the local police would be important in developing a more precise estimate of required police and formed police units. The UN scenario did not estimate the needed civilian staff. We estimated that the potential new operation would require 4,000 to 5,000 civilian staff, based on interviews and data provided by UN officials. UN officials noted that a lower bound estimate for a large operation would be about 3,000 civilian staff.

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However, these officials also stated that considering the potential new operation‘s mandated tasks, force size, and security environment and comparisons with operations in the Congo, Darfur, and Sudan, a more reasonable estimate is 4,000 to 5,000 civilians. In comparison, the 2008 to 2009 proposed budget for the operation in the Congo had an authorized military component of 18,931 and an authorized civilian component of 4,934, 24 percent of whom were international civilians34 The proposed budget for the operation in Sudan had a military component of 10,715 and a civilian component of 4,260, 23 percent of whom were international civilians. The proposed budget for the Sudan operation had a military component of 25,507 and a civilian component of 5,557, 27 percent of whom were international civilians. The UN planning scenario did not estimate logistics requirements. In discussions with UN officials, they stated that due to the absence of detailed planning in the field, resource requirements for the potential new operation are difficult to calculate and infrastructure costs are unknowable at this time. These officials stated that the best estimate of logistics requirements and challenges would be from the experiences of other operations in sub-Saharan Africa, such as Sudan and the Democratic Republic of the Congo. In the 2007-2008 peacekeeping fiscal year, those operations had budgeted between about $420 million and $425 million for supplies, transport, and facilities. However, these operations have been close to full deployment levels for 2 or more years and the actual logistics requirements for a potential new force could be significantly less in the first year, depending upon rate of deployment for the troops, the resources required to achieve initial operational capability for each mandated task in each sector, whether sectors would be established simultaneously or in sequence, and many other factors. In Darfur, for example, less than 50 percent of authorized forces had been deployed as of October 2008, about 10 months after the start of the operation. In contrast, the augmented force in Lebanon deployed 70 percent of its authorized force level within the first 4 months. On the other hand, some logistics requirements, such as the transport in and establishment of facilities for the initial force, may be greater for a new operation in its first year in comparison with these mature operations, according to UN officials. Moreover, UN officials indicated that the equipment needs and initial logistics capabilities of individual infantry battalions would be comparable to those deployed to Darfur; they provided mission resource requirements for those units. For example, as in the case of Darfur, we found it reasonable to assume that many of the operational units for this potential new peacekeeping operation would need to come from countries capable of providing supplies for the first 60 to 90 days after deployment, given the limitations on local infrastructure expected in this environment.

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APPENDIX III: COMMENTS FROM THE DEPARTMENT OF STATE

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APPENDIX IV: COMMENTS FROM THE UNITED NATIONS

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Note: GAO comments supplementing those in the report text appear at the end of this appendix.

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The following are GAO‘s comments from the United Nations‘ letter dated December 11, 2008

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GAO COMMENTS 1. We agree that the UN has conducted large peacekeeping operations prior to 1998. However, we selected the time period 1998 to 2008 for our review because it represents the most recent decade of growth in UN peacekeeping activities as well as major UN initiatives to reform peacekeeping operations. Most notably, this period reflects the implementation of the Brahimi peacekeeping reform efforts and the UN‘s No Exit Without Strategy approach that the UN articulated in 2001. 2. We added information that describes UN peacekeeping reform efforts. 3. We have expanded our discussion of the process for establishing a peacekeeping operation. 4. We have reworded the sentence to reflect this comment. 5. We added this information to the report. 6. We agree and have noted the limitation in the report. 7. We added this information to the report. 8. We have reworded the section to reflect the UN‘s comment. 9. We have substituted alternative language. 11. We added this information to the report. 12. We added information to the report to reflect the UN and U.S. positions on UN human resource reform policy. 13. We added information to the report to reflect the UN and U.S. positions on UN human resource reform policy. 14. We modified the text to delete the word ―failure.‖ We already discuss UN field staff proposals in another section.

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APPENDIX V: ONGOING UN PEACEKEEPING OPERATIONS, AS OF SEPTEMBER 2008 The United Nations deployed approximately 109,000 personnel to 16 UN peacekeeping operations as of September 2008. Table 5 indicates the location, personnel distribution, and mandate type and size of each operation. Table 5. Current UN Peacekeeping Operations as of September 30, 2008 Dollars in millionsa

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Name of operation/ location/start date UN Truce Supervision Organization in Palestine (UNTSO) Middle East 1948UN Military Observer Group in India and Pakistan (UNMOGIP) Jammu, Kashmir and Pakistan 1949UN Peacekeeping Force in Cyprus (UNFICYP) 1964 U.N. Disengagement Observer Force (UNDOF) Israel-Syria: Golan Heights 1974 UN Force for Southern Lebanon (UNIFIL) 1978 augmented 2006 UN Mission for the Referendum in Western Sahara (MINURSO) Apr. 1991 UN Observer Mission in Georgia (UNOMIG) Aug. 1993 UN Interim Administration Mission in Kosovo (UNMIK) June 1999

2008-2009 budget

Troops and military observers

Police

Civilians (international, local, and UN volunteers)

66.22b

142

0

235

377

Traditional 2

16.96b

44

0

71

115

Traditional 1

57.39

846

69

146

1,061

Traditional 3

47.86

1,043

0

144

1,187

Traditional 2

680.93

12,543

0

963

13,506

Multidimensional 6

47.70

219

6

270

495

Multidimensional 2

36.08

132

17

273

422

Traditional 3

207.20

29

1,910

2,481

4,420

Total

Mandate typeand number of mandated tasks

Multidimensional 10

Table 5. (Continued) Dollars in millionsa

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Name of operation/ location/start date UN Organization Mission in the Democratic Republic of the Congo (MONUC) November 1999 UN Mission in Liberia (UNMIL) September 2003 UN Mission in Côte d‘Ivoire (UNOCI) April 2004 UN Stabilization Mission in Haiti (MINUSTAH) June 2004 UN Mission in the Sudan (UNMIS) March 2005 UN Integrated Mission in Timor L‘este (UNMIT) August 2006 African Union/United Nations Hybrid Operation in Darfur (UNAMID) Sudan Authorized July 31, 2007; started December 31, 2007 UN Mission in the Central African Republic and Chad (MINURCAT) September 2007 Total

2008-2009 budget

Troops and military observers

Police

Civilians (international, local, and UN volunteers)

Total

Mandate typeand number of mandated tasks

$1,242.73

17,369

1,065

3,657

22,091

Multidimensional 12

631.69 497.46

11,671 8,017

1,037 1,136

1,688 1,305

14,396 10,458

Multidimensional 10 Multidimensional 9

601.58

7,012

1,868

1,900

10,780

Multidimensional 11

858.77

9,333

600

3,457

13,390

Multidimensional 14

180.84

33

1,542

1,377

2,952

Multidimensional 10

1569.26

8,422

2,039

2,244

12,705

Multidimensional 13

315.08

45

226

481

752

$7,057.75c

76,900

11,515

20,692

109,107

Multidimensional 7

Source: GAO analysis of UN data. a Figures are rounded to nearest $10,000. b UNTSO and UNMOGIP are funded from the United Nations regular biennial budget. Costs to the United Nations of the other current operations are financed from their own separate accounts on the basis of legally binding assessments on all member states. For these missions, budget figures are for 1 year (July 2008—June 2009) unless otherwise specified. c A UN document notes that the total peacekeeping budget is about $7,080 million, as it includes $105.01 million funded for the United Nations Mission in Ethiopia and Eritrea (UNMEE) operation that ended in July 2008, and requirements for the support account for peacekeeping operations and the UN Logistics Base in Brindisi (Italy).

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APPENDIX VI: MILITARY CAPABILITIES REQUIRED BY UN PEACEKEEPING OPERATIONS, AS OF NOVEMBER 2008

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UN peacekeeping operations have required increasingly large numbers of combat capable battalions, aircraft for both transport and combat support, and other support units. As of November 2008, 30 countries are providing 76 battalions of infantry peacekeeping troops, including 21 battalions of mechanized infantry. Twenty-five of these same countries also provide helicopters or support units in addition to infantry battalions; another 12 countries provide only helicopters or support units. Table 6 reflects the current number and type of operational battalions and support units company-sized or larger required by 9 of the 16 UN peacekeeping operations ongoing as of November 2008. The data for the UN operation in Darfur (UNAMID) includes units authorized but not yet deployed. Unit numbers and country of origin reflect deployment data reported by the individual UN operations between March and November 2008.

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Table 6. Deployed Operational and Support Units by Peacekeeping Operation in November 2008

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MONUC

8 battalions 1 Senegal 1 Benin 1 India 1 Uruguay 3 Pakistan 1 South Africa

10 battalions 1Ghana 1 Tunisia 1 Bangladesh 3 Pakistan 1 Nepal 2 India 1 Morocco Special forces company Guatemala

UNMIL

10 battalions 2 Pakistan 2 Nigeria 2 Bangladesh 2 Ethiopia 1 Senegal 1 Ghana

1 battalion 1 Pakistan

47 helicopters India 8 attack 15 transport Bangladesh 5 transport South Africa 2 transport leased 17 transport fixed wing aircraft 22 leased 22 Helicopters 14 Ukraine 6 attack 8 transport 8 leased transport fixed wing aircraft 2 leased

1 Nepal 1 Bangladesh 1 China

3 S. Africa 1Uruguay 1Nepal 1 Indonesia 1 China

2 CSS (combat service support) companies 1 South Africa 1 Malawi

4 Pakistan 2 Bangladesh

1 unit Bangladesh

Medical unitse _ Other units

Ground transport/ truck companies

Logistical unitsd

Engineers (companies)

Military police (companies)

Enabling/support units Aviation unitsc

Mechanized battalions or companiesb

Infantry battalionsa

Operational/aviation units

Level 3 (partial) India Level 2 Morocco China Jordan Riverine units 3 Uruguay

1 China

Level 3 Jordan Level 2 China Senegal Pakistan Signals platoons 5 Nigeria 1 Bangladesh

Table 6. (Continued)

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UNOCI

MINUSTAH

UNMIS

8 battalions 1 Bangladesh 1 Benin 1 Ghana 1 Jordan 1 Togo 1 Niger 1 Pakistan 1 Senegal 8 battalions 1 Brazil 2 Nepal 1 Argentina 2 Uruguay 1 Sri Lanka 1 Jordan 5 battalions 1 Kenya 1 India 1 Bangladesh 1 Pakistan 1 Rwanda

3 battalions 2 Bangladesh 1 Morocco Special forces (SF) company 1 Jordan

7 transport helicopters 3 Ghana 4 leased fixed wing aircraft 3 leased

1 battalion 1 Chile

11 transport helicopters 2 Argentina 4 Chile 5 leased fixed wing aircraft 1 leased 31 transport helicopters 6 India 6 Pakistan 4 Russia 15 leased fixed wing aircraft 16 leased

1 France 1 Pakistan

1 Guatemala

1 Brazil 1 ChileEcuador composite

1 Bangladesh

6 companies 3 China 1Egypt 1 Pakistan 1 India

1 Pakistan

Medical unitse _ Other units

Ground transport/ truck companies

Logistical unitsd

Engineers (companies)

Military police (companies)

Enabling/support units Aviation unitsc

Mechanized battalions or companiesb

Infantry battalionsa

Operational/aviation units

Level 3 Undesig-nated Level 2 Bangladesh Ghana 1 Signals company Bangladesh Level 2 Argentina 16 patrol boats deployed by Uruguayf

1 logistics base 1 logistics battalion India

1 Bangladesh 1- China 1- Pakistan

Level 3 Egypt Level 2 Bangladesh China India Pakistan 5 Demining companies

Table 6. (Continued)

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UNIFIL

4 battalions 1 Korea 1 India 1 Ghana 1 BelgiumLuxembourg

UNDOF

2 battalions 1 Poland 1 Austria/ Slovakia

6 battalions 1 Spain 2 Italy 1 France 1 Nepal 1 Indonesia

16 transport helicopters 2 Spain/Turkey 6 Italy/ Netherlands 4 Germany/ Greece 1 leased

1 Tanzania

1 battalion 1 China 4 companies 1 Portugal 1 Turkey 1 France 1 Belgium

1 logistics unit Poland

Logistics battalion 1 India/ Japan

Medical unitse _ Other units

Ground transport/ truck companies

Logistical unitsd

Engineers (companies)

Military police (companies)

Operational/aviation units Aviation unitsc

Mechanized battalions or companiesb

Infantry battalionsa

Operational/aviation units

Bangladesh Cambodia Egypt Kenya Pakistan River patrol unit Bangladesh Level 3 India Level 2 Belgium China Dedicated Strategic Military Cellg Maritime Task Forceh

Table 6. (Continued)

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UNAMIDi

UNFICYP

Other

10 of 18 authorized battalions deployed 1 Senegal 4 Rwanda 1 S. Africa 4 Nigeria 8 battalions pledged: 2 Ethiopia 2 Egypt 1Thailand 1Senegal 2 TBD

26 helicoptersj 26 leased fixed wing aircraft 4 leased

3 transport helicopters 3 Argentina 8 leased helicopters MINURSO 3 UNMIT 4 UNOMIG 1 5 leased fixed wing aircraft MINURSO 3 UNMIT 1

1 Kenya

3 companies 1 Egypt 1 China 1 Pakistan

3 pledged multirole logistics units 1 Bangladesh 1 Ethiopia 1 TBD

Medium truck battalion deployed 1 Egypt 2 pledged medium truck companies 1 Ethiopia 1 TBD 1 heavy truck company TBD

Medical unitse _ Other units

Ground transport/ truck companies

Logistical unitsd

Engineers (companies)

Military police (companies)

Operational/aviation units Aviation unitsc

Mechanized battalions or companiesb

Infantry battalionsa

Operational/aviation units

3 Pledged medical units Level 3 Pakistan Level 2 Nether-lands Nigeria 1 Signals company Egypt

Table 6. (Continued)

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Totalk

55 infantry battalions

21 mechanized battalions

UNOMIG 1 171 helicopters 53 fixed wing aircraft 224 total

7

31

8

7

Medical unitse _ Other units

Ground transport/ truck companies

Logistical unitsd

Engineers (companies)

Military police (companies)

Operational/aviation units Aviation unitsc

Mechanized battalions or companiesb

Infantry battalionsa

Operational/aviation units

5 level 3 17 level 2 22 total

Source: GAO analysis or data from the UN and the Center on International Cooperation‘s Global Peace Operations Program. a A standard UN infantry battalion numbers approximately 800 troops, including 600 troops deployed in 4 companies, and 200 troops deployed between a headquarters company and a logistics company. b Includes force or sector rapid reaction and reserve units. According to UN military planners, a standard UN mechanized infantry battalion would contain 750 troops with three infantry companies deployed in armored vehicles, a heavy weapons company, an administrative and supply company, and a support company with engineers. c Aviation strength as of September 30, 2007, unless otherwise noted. d Logistics units can vary in size and tasks depending upon the mission they support. According to Department of Defense officials and UN documents, the units in Darfur require approximately 300 to 350 personnel each and are required to perform 15 separate tasks. e A level 2 medical unit comprises a basic field hospital with limited specialist expertise (doctors) and limited surgical, intensive care, dental, laboratory, X-ray, ward, sterilization and pharmaceutical capabilities (e.g., life, limb and organ-saving surgery, definitive treatment against a wide variety of common diseases/illnesses). UN standards call for a facility capable of three to four surgical operations per day; hospitalization of 10 to 20 sick or wounded for up to 7 days; up to 40 outpatients per day; 5 to 10 dental consultations per day; and medical supplies, fluids, and consumables for 60 days. A level 3 medical unit comprises a fully equipped and staffed multidisciplinary advanced field hospital, capable of providing advanced services in surgical, intensive care, dental (emergency dental surgery), laboratory, X-ray, ward and pharmaceutical capabilities or all major medical and surgical specialties. While size and composition vary by UN peacekeeping operation, UN standards call for a facility capable of performing up to 10 surgical operations per day, hospitalization for 50 patients up to 30 days, up to 60 outpatient consultations per day, up to 10 dental consultations per day, up to 20 X-rays and 40 lab tests per day, and medical supplies and consumables for 60 days; and provides a specialist team for collecting seriously injured personnel from the site of injury and escorting patients in serious condition to higher-level care.

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f

MINUSTAH is deploying a fleet of 16 small coastal patrol boats initially manned with Uruguayan and Brazilian personnel and Haitian trainees starting in November 2008, according to UN reports and State officials. g The UNIFIL Strategic Military Cell has provided UNIFIL augmented headquarters planning capacity at DPKO headquarters and in the field since 2006. h UNIFIL‘s Maritime Task Force is commanded by the European Maritime Force. It consists of 13 naval vessels from Denmark , France, Germany, Greece, Italy, Spain, and Turkey. i Deployed and pledged units as of September 2008. Deployed units include a Nigerian level 2 Hospital deployed in September 2008. Deployed units exclude those units that have sent in a number of advance personnel only, such as the first Ethiopian battalion personnel sent in August 2008, and the first Egyptian battalion personnel sent in September 2008. j Reflects interim aviation support as of May 2008. UNAMID was authorized 24 helicopters from troop contributing countries (6 attack and 18 transport) but no pledges have been made as of October 2008. The UN has an interim proposal of leasing a total of 53 aircraft (14 fixed-wing and 39 helicopters) for UNAMID. Moreover UNAMID has agreed to a cost-sharing arrangement whereby UNAMID will share 2 of UNMIS‘s leased fixed wing aircraft on a 70:30 basis and 1 of its heavy utility helicopters on a 50:50 basis. k Deployed units only.

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End Notes 1

Uniformed peacekeepers include soldiers, military observers, and police. These police units are also referred to as stability police. We define these as units of police whose duties bridge the gap between military troops and UN police in peace operations. The standard UN formed police unit contains between 125 and 140 stability police. 3 GAO, Peacekeeping: Thousands Trained but United States Is Unlikely to Complete All Activities by 2010 and Some Improvements Are Needed, GAO-08-754 (Washington, D.C: June 26, 2008). 4 We use ―peacekeeping operations‖ to mean both peacekeeping operations authorized under Chapter VI and peace enforcement operations authorized under Chapter VII. 5 Past Presidents have justified exceeding this limit by invoking their right under section 628 of the Foreign Assistance Act of 1961 to provide ―technical, scientific, or professional advice or service.‖ Currently, federal law prohibits U.S. troops from participating in a peacekeeping operation absent presidential certification that U.S. troops are immune from criminal prosecution in international courts. 22 U.S.C. section 7424. 6 United Nations Participation Act of 1945, Pub. L. No. 79-264, sec. 10 (Dec. 20, 1945). 7 In 2001, a UN official used his experiences in planning UN peacekeeping operations to create a model of the DPKO mission start-up process, which estimates that it takes about 10 months from initial planning to deployment of an operation. 8 United Nations Peacekeeping: Lines of Authority for Field Procurement Remain Unclear, but Reforms Have Addressed Some Issues, GAO-08-1094 (Washington, D.C.: Sept. 18, 2008). ] 9 The United Nations deployed large missions prior to 1998, such as the UN Transitional Authority in Cambodia, and the UN Protection Force in the former Yugoslavia. This report covers the evolution of peacekeeping from 1998 to 2008, the most recent 10 year period. See Appendix I for a discussion of our scope and methodology. 10 See the background section for a full description of the distinction between traditional and multidimensional operations. See also GAO, UN Peacekeeping: Estimated U.S. Contributions, Fiscal Years 1996-2001, GAO-02-294 (Washington, D.C.: Feb. 11, 2002). 11 This panel of experts was convened by the Secretary General in 2000 to assess the shortcomings of the existing system for managing peace operations. It made recommendations to the Secretary General in November 2000 to improve the strategic direction, planning, organization, and conduct of peace operations (A/55/305-S/2000/809). 12 GAO, UN Peacekeeping: Transition Strategies for Post-Conflict States Lack Results-Oriented Measures of Progress, GAO-03-1071 (Washington, D.C.: Sept. 26, 2003). 13 World Bank, Governance Matters VII: Aggregate and Individual Governance Indicators, 19962007 (Washington, D.C: June 2008) 14 This includes the operation in Darfur, which is still deploying and is below its authorized level of 19,195 troops. 15 UN standards call for infantry battalions to field 800 troops each, including 600 troops deployed in four infantry companies and 200 troops deployed between a headquarters company and a logistics company. According to UN military planners, a standard UN mechanized infantry battalion would contain 750 troops with three infantry companies deployed in armored vehicles, a heavy weapons company, an administrative and supply company, and a support company with engineers. 16 Center on International Cooperation, Annual Review of Global Peace Operations, 2008. (Boulder, Colorado: 2008). 17 The UN peacekeeping budget year runs from July 1 to June 30 of the following year. 18 UN standards call for infantry battalions to field 800 soldiers, including headquarters and support personnel. According to UN officials, a standard UN mechanized infantry battalion would contain 750 troops with 3 infantry companies deployed in armored vehicles, an administrative and supply company, and a support company with engineers and heavy weapons.

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19

This total includes the joint Austrian-Slovakian infantry battalion deployed in the UN Disengagement Observer Force in the Middle East as the contribution of one country. The number of contributing countries and battalions can vary as units from one nation rotate in and replace units from other nations. 20 As of mid-2008, only 2 of the 11 deployed battalions in Darfur were at full strength. 21 At the end of 1998, these three countries had provided 2,098 troops, military observers, and police (about 15 percent of total contributions); as of September 2008, they were providing 28,075 troops, observers, and police (about 32 percent of total contributions). They also provided 22 of the UN‘s 77 battalion-sized units. 22 See GAO, United Nations: Limitations in Leading Missions Requiring Force to Restore Peace. GAO/NSIAD-97-34 (Washington, D.C.: Mar. 27, 1997). 23 A requirement for 2 additional FPUs authorized for the operation in Liberia in September 2008 has not yet been met by member nations as of the end of October 2008. 24 Henry L. Stimson Center, Enhancing United Nations Capacity to Support Post-Conflict Policing and Rule of Law (Washington, D.C.: November 2007). 25 GAO, United Nations Peacekeeping: Lines of Authority for Field Procurement Remain Unclear, but Reforms Have Addressed Some Issues, GAO-08-1094 (Washington, D.C.: Sept. 18, 2008). 26 The UN Mission Start-up Field Guide notes that initial operational capability is different for each aspect of the operation. For the military component, it assumes that the force and sector headquarters are functional and enough forces are deployed to provide a suitable level of force protection and sustainment to enable the force to provide a secure environment for selected areas to enable the mission to begin executing the mandate. 27 G8 members are Canada, France, Germany, Italy, Russia, Japan, the United Kingdom, and the United States. Countries directly assisting GPOI include three G8 countries (Canada, France, and the United Kingdom) plus Argentina, Australia, Bangladesh, Chile, Fiji, India, Indonesia, Ireland, Malaysia, Nepal, the Netherlands, New Zealand, the Republic of Korea, Singapore, Thailand, and Uruguay. In addition, the seven other G8 countries support the peace support operations in a number of ways, including the training and equipping of military peacekeepers, individual police, and stability police; supporting the development of peacekeeping doctrine; providing funding to support national and regional peacekeeping training centers; providing funding and logistical support to regional organizations; and establishing a stability police training school. 28 GAO-08-754 29 22 U.S.C. § 287b. 30 State is required to notify Congress 15 days in advance of any reprogramming of funds to be used to pay for the cost of ongoing or new peacekeeping operations. 22 U.S.C. § 287b(d)(3)(B)(v), 22 U.S.C. 2706, 22 U.S.C. 2394-1. 31 United Nations Development Program, Human Development Report 2007/2008, New York, 2007; Human Development Report 1998, New York, 1997. 32 Center on International Cooperation, Annual Review of Global Peace Operations, 2008, Boulder, Colorado, 2008. 33 World Bank, Governance Matters: Index of Political Stability, Washington, D.C.: June 2008. 34 Military component includes troops, observers, and police.

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Chapter 2

UNITED NATIONS PEACEKEEPING: ISSUES FOR CONGRESS Marjorie Ann Browne

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SUMMARY A major issue facing the United Nations, the United States, and the 110th Congress is the extent to which the United Nations has the capacity to restore or keep the peace in the changing world environment. Associated with this issue is the expressed need for a reliable source of funding and other resources for peacekeeping and improved efficiencies of operation. For the United States, major congressional considerations on U.N. peacekeeping stem from executive branch commitments made in the U.N. Security Council. The concern with these commitments, made through votes in the Council, is the extent to which they bind the United States to fund and to participate in some way in an operation. This includes placing U.S. military personnel under the control of foreign commanders. Peacekeeping has come to constitute more than just the placement of military forces into a cease-fire situation with the consent of all the parties. Military peacekeepers may be disarming or seizing weapons, aggressively protecting humanitarian assistance, and clearing land mines. Peacekeeping operations also now involve more non-military personnel and tasks such as maintaining law and order, election monitoring, and human rights monitoring.

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Marjorie Ann Browne

Proposals for strengthening U.N. peacekeeping and other aspects of U.N. peace and security capacities have been adopted in the United Nations, by the U.S. executive branch, and by Congress. Some are being implemented. Most authorities have agreed that if the United Nations is to be responsive to 21st century world challenges, both U.N. member states and the appropriate U.N. organs will have to continue to improve U.N. structures and procedures in the peace and security area. This report serves as a tracking report for action by Congress on United Nations peacekeeping.

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MOST RECENT DEVELOPMENTS On February 4, 2008, the President, in his budget for FY2009, requested $1,497,000,000 for U.S. contributions to U.N. peacekeeping operation assessed accounts in the Contributions to International Peacekeeping Activities (CIPA) account, Department of State. He requested $247,200,000 in voluntary contributions for the FY2009 Peacekeeping Operations (PKO) account. He also requested authority to pay up to 27.1% in contributions for any U.N. peacekeeping operation assessments received from calendar years 2005 through 2009. On May 2, 2008, the President sent Congress an amendment to his FY2009 budget, requesting for the PKO account an additional $60 million, to fund U.S. assistance to international efforts to monitor and maintain peace in Somalia and Democratic Republic of Congo. This brings the FY2009 PKO request to $307,200,000. On June 30, 2008, the President signed H.R. 2642, the Supplemental Appropriations Act, 2008 (P.L. 110-252), which included supplemental funding for U.S. contributions to U.N. peacekeeping accounts in the CIPA account, Department of State, for both FY2008 and FY2009 and supplemental funding for the PKO account for FY2009. On July 18, 2008, the Senate Committee on Appropriations reported S. 3288, the Department of State, Foreign Operations, and Related Programs Appropriations bill, 2009. The committee provided $1,650,000,000 for the CIPA account and $257,200,000 to the PKO account. The committee also recommended raising the peacekeeping assessments cap from 25% to 27.1% for assessments received during CY2005 through 2009. The Senate did not consider S. 3288. On July 16, 2008, the State and Foreign Operations Subcommittee of the House

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Appropriations Committee approved its FY2009 bill, which was never published or taken up by the full committee. On September 30, 2008, the President signed H.R. 2638, Division A of which was the Continuing Appropriations Resolution, 2009, extending funding at FY2008 levels through March 6, 2009.1 It is anticipated that the funds available for CIPA total $525,800,000.

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INTRODUCTION The role of the United Nations in facilitating dispute settlement and establishing peacekeeping operations to monitor cease-fires and participate in other duties as assigned by the U.N. Security Council increased markedly in the 1990s. Between April 1988 and April 1994, a total of 20 peacekeeping operations were set up, involving 16 different situations. Since May 1994, however, the pace of Council creation of new U.N. controlled peacekeeping operations dropped noticeably. This reduction resulted, in part, from the U.S. decision, in Presidential Decision Directive 25 (PDD 25), signed May 1994, to follow strict criteria for determining its support for an operation.2 This U.S. decision was accompanied by a Security Council statement adopting similar criteria. If the trends between 1978 and 2007 (see Appendix C) and situations at the start of 1988 and in more recent years are compared, the following trends emerge: Numbers of Operations: As of the end of 1978, six U.N. peacekeeping operations existed. No operations were created between the start of UNIFIL in March 1978 and April 1988. The number of operations increased from 8 in 1970 to 17 in 1993 and 1994, 16 in 1995 and 1996, and 17 again in 1999. Since 2000, the number of operations as of the end of the year has fluctuated between 15 and 16. As of December 31, 2007, there were 17 U.N. peacekeeping operations. U.N. Costs: For calendar year 1978, U.N. peacekeeping expenditures totaled $202 million and were up to $635 million for 1989. This went up to $1.7 billion for 1992 and to $3 billion annually for 1993, 1994, and 1995. The total for 1996 went down to $1.4 billion and below $1 billion for 1998. Since 2000, U.N. peacekeeping costs were, annually, over $2 billion, reaching $3.6 billion in 2004 and $4.7 billion for 2005.3

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Marjorie Ann Browne U.N. Personnel: As of December 31, 1978, personnel in U.N. peacekeeping operations totaled 16,700. The highest number during 1993 was 78,500, but the total was down to 68,900 in 1995. In 1996, the highest number was down to 29,100 and 14,600 in 1998. For 2000, the highest number was 38,500 and climbing. For 2004, 64,700 was the highest number and at the end of 2005, the number in U.N. peacekeeping operations totaled 70,103. As of December 31, 2007, the number of uniformed personnel in U.N. peacekeeping operations totaled 84,309.

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U.S. contributions for assessed peacekeeping accounts: For CY1988, U.S. assessed contributions totaled $36.7 million. CY1994 U.S. payments to U.N. peacekeeping accounts were $991.4 million; and $359 million in CY1996. U.S. assessed contributions totaled $518.6 million in CY2000 but were up to $1.3 billion, including arrears payments, in CY2001. U.S. contributions were $703.4 million in CY2003, $1.1 billion in CY2005, and $1.1 billion in CY2006. U.S. Personnel in U.N. Peacekeeping: When 1988 started, the U.S. military participated, as observers, in one U.N. operation, the U.N. Truce Supervision Organization in Palestine (36 officers). As of December 31, 1995, a total of 2,851 U.S. military personnel served under U.N. control in seven operations. As of December 31, 2003, 518 U.S. personnel served in seven operations and as of the end of 2004, 429 U.S. personnel served in seven operations. As of December 31, 2007, 316 U.S. personnel served in seven operations.

CURRENT FUNDING SITUATION Fiscal Year 2009 On February 4, 2008, the President, in his budget for FY2009, requested $1,497,000,000 for U.S. contributions to U.N. peacekeeping operation assessed accounts in the Contributions to International Peacekeeping Activities account (CIPA). This included $31,000,000 for U.S.-assessed contributions to the two war crimes tribunals (Yugoslavia and Rwanda) that are not peacekeeping operations. Bush also requested $247,200,000 for the FY2009 Peacekeeping Operations (PKO) account. This account finances, inter alia, U.S. contributions to the

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Multilateral Force and Observers (MFO), a non-U.N. peacekeeping operation, and other U.S. support of regional and international peacekeeping efforts. The MFO implements and monitors the provisions of the Egyptian-Israeli peace treaty of 1979 and its 1981 protocol, in the Sinai. On May 2, 2008, the President sent Congress an amendment to his FY2009 budget, requesting for the PKO account an additional $60 million, to fund U.S. assistance to international efforts to monitor and maintain peace in Somalia and Democratic Republic of Congo. This brought the FY2009 PKO request to $307,200,000. In February 2008, the President also requested authority to pay up to 27.1% of the cost of any U.N. peacekeeping operation assessments received from calendar year 2005 through calendar year 2009. The Administration noted that the U.S.-assessed share of U.N. peacekeeping accounts has ―been reduced in recent years from well over 27 percent for assessments made in 2005 to just under 26 percent for assessments received in 2008 and 2009.‖ The Administration request was made ―in order to allow for the payment of peacekeeping assessments at the rates assessed by the United Nations, including amounts withheld because of the statutory cap limited payments to 25 percent of UN peacekeeping costs from 2005 through 2007....‖4 On June 30, 2008, the President signed H.R. 2642, the Supplemental Appropriations Act, 2008 (P.L. 110-252), which included supplemental funding for U.S. contributions to U.N. peacekeeping accounts in the CIPA account, Department of State, for both FY2008 and FY2009 and supplemental funding for the PKO account for FY2009. Subchapter A, of Chapter 4 — Department of State and Foreign Operations — was titled Supplemental Appropriations for Fiscal Year 2008. Under the CIPA account, $373,708,000 was appropriated, to remain available until September 30, 2009, of which $333,600,000 ―shall‖ be for the U.N.-African Union Hybrid Mission in Darfur (UNAMID). The $40,108,000 difference was ―to meet unmet fiscal year 2008 assessed dues for the international peacekeeping missions to countries such as the Democratic Republic of the Congo, Cote d‘Ivoire, Haiti, Liberia, and Sudan.‖5 Subchapter B, of Chapter 4 was titled Bridge Fund Supplemental Appropriations for Fiscal Year 2009. Congress appropriated an additional $150,500,000 for the CIPA account, which shall become available on October 1, 2008, and remain available through September 30, 2009; and an additional amount for the PKO account of $95,000,000, which shall become available on October 1, 2008, and remain available through September 30, 2009. This additional PKO money would not be used to finance U.S. contributions to U.N. peacekeeping assessed accounts.6

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On July 18, 2008, the Senate Appropriations Committee reported S. 3288, the Department of State, Foreign Operations, and Related Programs Appropriations Act, 2009. The committee recommended $1,650,000,000 in FY2009 appropriations to the CIPA account, an amount that was $153,000,000 above the President‘s request. This was in addition to the $150,500,000 provided in Bridge Funding for FY2009 in P.L. 110-252. The committee noted ―that the budget request for U.S. assessed contributions to international peacekeeping missions assumed a reduction in the cost of every mission below the fiscal year 2008 operating level.... The Committee recognizes the significant contribution to international peace and stability provided by U.N. peacekeeping activities, without the participation of U.S. troops. The Committee does not support OMB‘s practice of under-funding peacekeeping activities and relying on limited supplemental funds to support only a few missions.‖7 The committee bill included language, as requested by the President, to ―adjust the authorized level of U.S. assessments for peacekeeping activities for calendar year 2009 and prior years from 25 percent to 27.1 percent, consistent with the level set in fiscal year 2008 (Public Law 110-161).‖ The committee expected ―that future budget requests shall include sufficient funding to support such authorization.‖8 The committee report also included the following: The Committee directs the Department of State to seek to ensure that all peacekeepers, civilian police, and other United Nations personnel being trained and equipped with funds contributed by the United States in preparation for deployment as part of peacekeeping missions, receive proper training to prevent and respond to violence against women and girls. The Secretary of State should work aggressively with the United Nations to ensure that individuals who are found to have engaged in exploitation or violence against women are held accountable, including prosecution in their home countries.9

S. 3288 was placed on the Senate Legislative Calendar but was not considered on the Senate floor. On July 16, 2008, the State and Foreign Operations Subcommittee of the House Appropriations Committee approved its FY2009 bill, which was sent to the full committee. The subcommittee recommendation was never issued as a bill. On September 30, 2008, the President signed H.R. 2638, the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009, into law as P.L. 110-329. Division A of the Act, the Continuing Appropriations Resolution, 2009, provided appropriations for nine regular appropriations for

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FY2009, through March 6, 2009, at FY2008 spending levels, as apportioned by the Office of Management and Budget (OMB).10 According to the State Department, the funds available for the CIPA during this period are $525,800,000. Funds available for the PKO account during this period total $97,366,613.

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Fiscal Year 2008 On February 5, 2007, the Bush Administration requested, in its FY2008 budget, $1,107,000,000 to pay U.S. assessed contributions to U.N. peacekeeping operations in the State Department‘s Contributions to International Peacekeeping Activities (CIPA) account. The CIPA request included $34,181,000 for the two war crimes tribunals (Yugoslavia and Rwanda) that are not peacekeeping operations.11 Bush also requested $221,200,000 in voluntary contributions for the FY2008 Peacekeeping Operations (PKO) account to finance, inter alia, U.S. contributions to the Multilateral Force and Observers (MFO), a non-U.N. operation, and other U.S. support of regional and international peacekeeping efforts. The MFO implements and monitors the provisions of the Egyptian-Israeli peace treaty of 1979 and its 1981 protocol, in the Sinai. On June 18, 2007, the House Appropriations Committee recommended $1,302,000,000 for the CIPA account and $293,200,000 for the PKO account.12 It included language setting the peacekeeping assessment cap at 27.1% for calendar year 2008. 13 The committee, in recommending funding for CIPA at $195 million above the Administration‘s request, expressed ―concern‖ [t]hat the Administration has not adequately planned for funding International Peacekeeping activities. Committee analysis has concluded that the Administration‘s budget request in fiscal year 2008 for CIPA is a cut of 3 percent below the fiscal year 2007 level and that all missions except UNMIS are taking a reduction in the President‘s request. The Committee continues to inquire as to the rationale used by the Secretary of State when requesting $28,275,000 below the fiscal year 2007 level in the CIPA account. The Committee is concerned that peacekeeping missions could be adversely affected if the requested fiscal year 2008 funding level is enacted. The Committee notes that in the last year the Administration has voted for: a seven-fold expansion of the UN‘s peacekeeping mission in Lebanon; the expansion of the UN‘s peacekeeping mission in Darfur; reauthorization of the UN‘s peacekeeping mission in Haiti; and a renewed peacekeeping mission in East Timor.14

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The committee noted that some non-governmental organizations and outside experts have estimated that the U.S. debt to U.N. peacekeeping operations might reach $1 billion if funding is not increased and if additional projected peacekeeping operations are created. ―The Committee is concerned that these debts are preventing the UN from paying the countries that provide troops for UN peacekeeping missions and will likely significantly impact India, Pakistan, and Bangladesh.‖ The House, in passing H.R. 2764, Department of State, Foreign Operations, and Related Programs Appropriations Act, 2008, on June 22, 2007, approved the committee‘s recommendations for funding and for the peacekeeping assessment cap. On July 10, 2007, the Senate Appropriations Committee reported H.R. 2764, recommending $1,352,000,000 for the CIPA account and $273,200,000 for the PKO account.15 The committee recommendation for CIPA is $245 million above the President‘s request but, according to the committee, ―still $66,275,000 below projected current requirements for U.S. contributions to peacekeeping.‖ The committee continued, ―the request was unrealistic considering the significant contribution to peace and stability provided by U.N. peacekeeping activities, without the participation of U.S. troops.... The Committee does not support the administration‘s practice of under-funding peacekeeping activities and relying on limited supplemental funds.‖ The committee included language to ―adjust the authorized level of U.S. assessments for peacekeeping activities for fiscal year 2008 from 25 percent to 27.1 percent.‖ (Section 113 of the reported bill stipulated for ―assessments made during calendar year 2008, 27.1 percent.‖) On September 6, 2007, the Senate passed H.R. 2764, providing the committee-recommended funding for the CIPA and PKO accounts and the increased peacekeeping assessment cap for CY2008. On October 22, 2007, President Bush sent to Congress amendments to his FY2008 budget request in a FY2008 Supplemental that included an additional $723,600,000 for the CIPA account to remain available until September 30, 2009. This amount, designated as ―emergency requirements,‖ would fund the U.S. share of the start-up, infrastructure, and operating costs of the new U.N. peacekeeping operation in Darfur (UNAMID). On December 19, 2007, Congress passed and sent to the President H.R. 2764, the Consolidated Appropriations Act, 2008, Division J of which provided funding for the Department of State, Foreign Operations, and Related Programs Act, 2008. The President signed the bill on December 26, 2007 (P. L. 110-161). The bill included across-the-board rescissions. The estimated figure after application of the rescission is provided in brackets. The bill provided $1,700,500,000 [$1,690,517,000] for CIPA, of which $468,000,000 was designated emergency,

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for U.S. contributions to UNAMID. The President had, for FY2008, requested a total of $1,830,600,000 for the CIPA account, $723,600,000 of which was designated an emergency requirement. Congress included, for the PKO account, $263,230,000 [$261,381,000], including not less than $25 million for the U.S. contribution to the MFO in the Sinai. This also included $35 million designated as emergency. The President had requested $221,200,000 in funds for the PKO account for FY2008.16

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Fiscal Year 2007 Supplemental The President also requested on February 5, 2007, FY2007 supplemental funding for CIPA and for PKO. The CIPA supplemental request of $200 million was to pay U.S. contributions for ―unforeseen‖ U.N. peacekeeping expenses: $184 million for the expanded force in Lebanon (UNIFIL) and $16 million for the U.N. operation in Timor Leste (UNMIT). The PKO supplemental request of $278 million was to support peacekeeping efforts in Darfur through the African Union Mission in Sudan (AMIS) — $150 million — and support peacekeeping needs in Chad and Somalia — $128 million. The request stipulated that up to $128 million of the total may be transferred to CIPA, for assessed costs of U.N. peacekeeping operations. ―The requested transfer authority would provide the flexibility to fund either a United Nations peacekeeping mission to Chad and Somalia or to support the efforts of African regional security organizations such as the African Union.‖17 On March 23, 2007, the House passed H.R. 1591, Making Emergency Supplemental Appropriations for FY2007, which provided $288,000,000 for the CIPA account and $225,000,000 for the PKO account, but without the authority to transfer up to $128 million from the PKO to the CIPA account.18 On March 22, 2007, the Senate Appropriations Committee reported S. 965, recommending $200 million for the CIPA account and $323 million for the PKO account and including the authority to transfer up to $128 million to the CIPA account. The PKO section also included a requirement that not less than $45 million shall be made available for assistance for Liberia, for security sector reform.19 On March 29, 2007, the Senate passed its amendment to H.R. 1591, with these reported provisions on the CIPA and PKO accounts unchanged. On April 24, 2007, a conference report on H.R. 1591 was filed, providing $288 million for the CIPA account and $230 million for PKO, of which $40 million would be available for Liberia. There was no transfer authority language. H.R. 1591 was cleared for the White House on

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April 26, 2007, and, on May 1, was vetoed by the President because of Iraqrelated language. Action to override the veto failed on May 2, 2007. On May 25, 2007, Congress sent to the President H.R. 2206, a FY2007 emergency supplemental appropriations bill, which the President signed the same day (P.L. 110-28). This bill, cited as the U.S. Troop Readiness, Veterans‘ Care, Katrina Recovery, and Iraq AccountabilityAppropriations Act, 2007, included $283,000,000 for CIPA, to remain available until September 30, 2008; $190,000,000 for PKO, to remain available until September 30, 2008; and $40,000,000 for PKO, to remain available until September 30, 2008, provided that these funds ―shall be made available, notwithstanding section 660 of the Foreign Assistance Act of 1961, for assistance for Liberia for security sector reform.‖20 H.R. 2206 referred to the joint explanatory statement in the conference report on H.R. 1591 (H.Rept. 110-107) for directives and other information for expenditure of these funds. Thus, for CIPA, the conferees specified $184 million for UNIFIL (Lebanon), $16 million for the U.N. Mission in Timor Leste, and $88 million for a potential operation in Chad. If funds are not obligated for a U.N. mission in Chad by August 15, 2007, the conferees asked the State Department to consult with the appropriations committees ―on the funding needs for other priority missions‖ within CIPA. It should be noted that H.R. 1591 provided $288 million for CIPA, whereas H.R. 2206 provided $283 mission for CIPA. H.R. 2206 provided funds for the PKO account in two separate sections that together totaled the amount provided in H.R. 1591.

Fiscal Year 2007 On February 6, 2006, the Bush Administration had requested, in its FY2007 budget, $1,135,327,000 to pay U.S. assessed contributions to U.N. peacekeeping operations in the State Department‘s Contributions to International Peacekeeping Activities (CIPA) account. The CIPA request included $44,303,000 for the two war crimes tribunals (Yugoslavia and Rwanda) that are not peacekeeping operations. Bush also requested $200,500,000 in voluntary contributions for the FY2007 Peacekeeping Operations (PKO) account under the Foreign Operations Act. This account would finance the U.S. contribution to the Multilateral Force and Observers in the Sinai (MFO), a non-U.N. peacekeeping operation, and U.S. support of regional and international peacekeeping efforts in Africa, Asia, and Europe. On June 9, 2006, the House, in H.R. 5522, the Foreign Operations Act, proposed $170 million in the FY2007 PKO account. On June 20, 2006, the House,

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in the State Department Appropriations Act, 2007 (H.R. 5672), agreed to the requested $1,135,327,000 for the CIPA account. This was $113,052,000 over the amount provided for FY2006, in regular appropriations. On the same day, the Senate Appropriations Committee recommended, in H.R. 5522, appropriations for the State Department and for Foreign Operations, the amount requested for CIPA and $97,925,000 for the PKO account.21 The Senate did not act on this bill in the 109th Congress. On February 15, 2007, the President signed H.J.Res. 20, the Revised Continuing Appropriations Resolution, 2007, which amended the Continuing Appropriations Resolution 2007 (P. L. 109-289, division B), as amended by P.L. 109-369 and P.L. 109-283, to extend through September 30, 2007. P.L. 110-5 included specific figures for the CIPA account ($1,135,275,00) and the PKO account ($223,250,000), of which not less than $50 million should be provided for peacekeeping operations in Sudan.

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U.N. Peacekeeping: Funding Assessed Contributions — FY2007FY2009 Table 1 shows FY2007 allocations, the FY2008 request and appropriation estimates, and the FY2009 request. (Table 5 shows FY1988-FY2006 data.) Table 1. U.N. Peacekeeping-Assessed Contributions FY2007 Allocations and FY2008 and FY2009 Requests (in millions of $) Operation UNDOF (Israel-Syria) UNIFIL (Lebanon) MINURSO (W.Sahara) UNMIK (Kosovo) UNFICYP (Cyprus) UNOMIG (Georgia) UNMIT (E. Timor) MONUC (Congo) UNMEE (Ethiopia/Eritrea) UNMIL (Liberia)

FY2007 Allocations 9.353 309.266a 8.924 83.778 6.482 7.995 76.389b 317.834

FY2008 Request 8.673 167.667 9.065 19.288 5.069 7.265 12.345 168.903

FY2008 Estimates 10.790 243.972 12.047 26.855 6.416 10.082 46.876 284.661

FY2009 Request 7.660 186.400 8.400 — 4.540 7.400 34.500 210.000

30.020

23.146

34.424

26.000

177.214

110.188

179.700

123.400

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ONUB (Burundi) UNMIS (Sudan) UNOCI (Cote d‘Ivoire) MINUSTAH (Haiti) UNAMID (Darfur) MINURCAT (Chad) Subtotals War crimes tribunals Supplemental TOTALS

FY2007 Allocations 15.588 252.136c 158.809 86.530 —. —. 1,103.206d 41.234 283.000e 1,418.275f

FY2008 Request 0.000 391.070 55.242 94.889

1,072.819 34.181 723.600g 1,830.000

FY2008 Estimates 0.000 241.638 120.007 145.822 884.000 83.000h 1,356.834i 42.919 468.000j 1,690.517k

FY2009 Request 0.000 208.900 81.000 114.400 414.000 39.400 1,466.000 31.000 1,497.000

a. Includes $184 million from the U.S. Troop Readiness, Veterans‘ Care, Katrina Recovery, and Iraq Accountability Appropriations Act, 2007 (P.L. 110-28), hereafter referred to as the FY2007 Supplemental. b. Includes $16 million from FY2007 Supplemental. c. Includes $129 million from FY2006 Supplemental. d. Includes $129 million from the FY2006 Supplemental and $200 million from the FY2007 Supplemental. e. Amount appropriated in FY2007 Supplemental: $184 million for UNIFIL; $16 million for UNMIT; and $83 million for potential operation in Chad. . f. FY2007 Actual of $1,418.275 includes emergency supplemental of $283 million. g. On October 22, 2007, the President requested $723.6 million for CIPA in FY2008 emergency supplemental funding for U.S. assessed contributions to UNAMID. h. From FY2007 Supplemental (P.L. 110-28). i. Includes $83 million from FY2007 Supplemental. j. Congress included $468 in emergencyfunds in the Consolidated Appropriations Act, 2008, Division J: Department of State, Foreign Operations, and Related Programs Act, 2008 (P.L. 110161). k. The total appropriated includes application of $266.092 million in adjustment (rescissions).

The Peacekeeping Assessment Cap United States U.N. peacekeeping requests were funded during FY1997 through FY2001 at an assessment level of 25%, in accordance with Section 404 (b)(2), P.L. 103-236, rather than at the level assessed by the United Nations. The

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scale of assessments for U.N. peacekeeping is based on a modification of the U.N. regular budget scale, with the five permanent U.N. Security Council members assessed at a higher level than they are for the U.N. regular budget. Since 1992, U.S. policy was to seek a U.N. General Assembly reduction of the U.S. peacekeeping assessment to 25%, meaning an increase of other countries‘ assessments. Since October 1, 1995, based on congressional requirements, U.S. peacekeeping payments had been limited to 25%. This limit, or cap, on U.S. payments added to U.S. arrearages for U.N. peacekeeping accounts. Table 2. U.N. Peacekeeping Assessment Levels for the United States, Calendar Years 1992-2009 Year 1992 1993 1994

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1995 1996 1997 1998 1999 2000

U.N. Assessment 30.387% (30.4%) 31.739% (31.7%) 31.735% (31.7%) 31.151% (31.2%) 30.965% (30.9%) 30.862% (30.9%) 30.5324% (30.5%) 30.3648% (30.4%) 30.2816% (30.3%)

Recognized by U.S. 30.4%

Year 2001

30.4%

2002

30.4%

2003

30.4%; Oct. 1: 25% 25%

2004

25%

2006

25%

2007

25%

2008

25%

2009

2005

U.N. Assessment 28.134% (28.13%) 27.3477% (27.35%) 26.927% (26.93%) 26.690% (26.69%) 26.4987% (26.5%) 26.6901% (26.7%) 26.0864% (26.08%) 25.9624% (25.9%) 25.9624% (25.9%)

Recognized by U.S. 25% // 28.15%a 27.90% 27.40% 27.40% 27.1% 25% 25% 27.1% TBD

a. The cap changed during 2001. See paragraph below.

In December 2000, the U.N. General Assembly reduced the U.S. regular budget assessment level to 22%, effective January 1, 2001, and, in effect, reduced the U.S. assessment for peacekeeping contributions progressively to 25%. Then U.N. Ambassador Richard Holbrooke in testimony in January 2001, stated that ―The U.S. rate will continue to progressively decline, and we expect that it will reach 25% by roughly 2006 or 2007.‖22 In response, Congress passed S. 248, which amended the 1999 enacted legislation authorizing payment of U.S. arrears on its contributions to the United Nations, once certain conditions had been met.

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One of the conditions required Assembly reduction of the U.S. peacekeeping assessment level to 25%. S. 248 (P.L. 107-46, signed October 5, 2001) changed that condition figure to 28.15%. In 2002, in Section 402, of P.L. 107-228, Congress raised the 25% cap for peacekeeping payments that had been set by P.L. 103-236 to a range of 28.15% for Calendar Year (CY) 2001 to 27.4% for CY2003 and CY2004. Table 1 under ―Recognized by U.S.‖ reflects these changes. This would enable U.S. peacekeeping assessments to be paid in full. Section 411 of Division B of P.L. 108-447, signed December 8, 2004, continued the increased cap for assessments made during CY2005 to 27.1%. However, FY2006 legislation did not include a provision on the cap, which returned to 25% for assessments made in CY2006. On March 10, 2005, the Senate Committee on Foreign Relations had reported S. 600, the Foreign Affairs Authorization Act, Fiscal Years 2006 and 2007. Section 401, Limitation on the United States share of assessments for United Nations peacekeeping operations, would have set a permanent ceiling of 27.1% on U.S. payments to U.N. peacekeeping accounts (S.Rept. 109-37, p. 16-17). During Senate floor consideration of S. 600, Committee chair Senator Richard Lugar proposed an amendment (S.Amdt. 266) to strike this provision from the bill. He maintained that passing a permanent ceiling of 27.1% at that time might reduce U.S. leverage in negotiating toward the U.S. goal of 25% as an assessment rate for its U.N. peacekeeping contributions. Senator Joseph Biden introduced a ―second degree amendment‖ (S.Amdt. 286) that would keep the then current rate of 27.1% for the next two calendar years: ―For assessments made during calendar years 2005, 2006, and 2007, 27.1 percent.‖ This amendment, Senator Biden maintained, would put into place the language the President asked for in his FY2006 budget request. On April 6, 2005, the Senate rejected S.Amdt. 286 and agreed to S.Amdt. 266, dropping section 401, that would have instituted a permanent change to 27.1%. The Senate did not complete action on S. 600. On December 13, 2005, Senator Biden introduced S. 2095 that would set the cap for assessments made for CY2005 and CY2006 at 27.1%. The President‘s February 6, 2006 budget request for FY2007 included legislative language that would set the cap at 27.1% for assessments made during CYs 2005, 2006, 2007, and 2008. On June 22, 2006, the Senate passed S. 2766, the Defense Authorization Act for FY2007, including an amendment by Senator Biden that would set the cap for U.S. contributions at 27.10% for assessments made for U.N. peacekeeping operations for CYs 2005, 2006, and 2007. This provision was dropped during conference consideration of H.R. 5122, the John Warner National Defense Authorization Act for Fiscal Year 2007, that was

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presented to the President on October 5, 2006, for his signature.23 Thus, at the start of the 110th Congress, the cap on funds available for U.S. assessed contributions to U.N. peacekeeping accounts remained at 25%. On January 25, 2007, Senator Biden introduced S. 392, ―to ensure payment of United States assessments for United Nations peacekeeping operations for the 2005 through 2008 time period.‖ It would amend the Foreign Relations Authorization Act, Fiscal Years 1994 and 1995 (P.L. 103-236) to add ―For assessments made during calendar years 2005, 2006, 2007, and 2008, 27.1 percent.‖ President Bush‘s FY2008 budget request, released February 5, 2007, included identical legislative language. Both provisions were to be added to Section 404 (b)(2)(B) of P.L. 103236, as amended. Senator Biden‘s bill also contained a ―conforming amendment‖ that ―Section 411 of the Department of State and Related Agency Appropriations Act, 2005 (title IV of division B of Public Law 108-447; 22 U.S.C. 287e note) is repealed.‖ On July 16, 2007, the Senate Committee on Foreign Relations reported S. 392, without amendment favorably.24 The committee report noted that the legislation ―is designed to allow the United States to fully pay its dues to U.N. peacekeeping operations, pay arrears that have accumulated since January 2006, and ensure that no additional arrears accrue in 2007 and 2008.‖ The Congressional Budget Office, in its cost estimate noted, Based on information from the State Department, CBO estimates that by raising the cap, the bill would allow the department to pay the U.N. an additional $157 million — $65 million for 2006 arrears, $48 million for the 2007 arrears, and $44 million for 2008 arrears (the department‘s request for 2008, based on the statutory cap of 25 percent, has not yet been appropriated.) CBO estimates that the department would pay the U.N. $126 million in 2008 and $31 million in 2009 under the bill, assuming appropriation of the necessary amounts and that outlays will follow historical spending or receipts.25

The Senate did not act on S. 392. The Omnibus Appropriations Act, Division J, included language setting the peacekeeping assessment cap at 27.1% for assessments made in 2008. The President, in his FY2009 budget, requested authority to pay up to 27.1% of the cost of any U.N. peacekeeping operation assessments received from calendar year 2005 through calendar year 2009. This request was supported by the Senate Appropriations Committee in S. 3288, Department of State, Foreign Operations, and Related Programs Appropriations Bill, 2009.

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Notifications to Congress Since 1997, pursuant to a provision in the State Department Appropriations Act, 1997, P.L. 104-208 (Omnibus Consolidated Appropriations Act, 1997), Congress has required the Secretary of State to notify it 15 days before U.S. support of a U.N. Security Council resolution setting up a new or expanding a current peacekeeping operation. The notification is to include ―the estimated cost and length of the mission, the vital national interest that will be served, and the planned exit strategy.‖ A reprogramming request, indicating the source of funding for the operation, is also required. Tradition has sometimes resulted in a committee or subcommittee chairman ―placing a hold‖ on the proposed reallocation in the reprogramming request, if it is not acceptable to him or her. In addition, the Committees on Appropriations and other appropriate committees are to be notified that the United Nations has acted to prevent U.N. employees, contractor personnel, and peacekeeping forces serving in any U.N. peacekeeping mission from trafficking in persons, exploiting victims of trafficking, or committing acts of illegal sexual exploitation, and to hold accountable individuals who engage in such acts while participating in the peacekeeping mission.26 An older notification requirement is that funds shall be available for peacekeeping expenses only upon a certification by the Secretary of State to the appropriate committees that American manufacturers and suppliers are being given opportunities to provide equipment, services, and material for U.N. peacekeeping activities equal to those being given to foreign manufacturers and suppliers.

BASIC INFORMATION United Nations peacekeeping might be defined as the placement of military personnel or forces in a country or countries to perform basically non-military functions in an impartial manner. These functions might include supervision of a cessation of hostilities agreement or truce, observation or presence, interposition between opposing forces as a buffer force, maintenance and patrol of a border, or removal of arms from the area. The U.N. Charter did not specifically provide for ―peacekeeping operations.‖ This term was devised in 1956, with the creation of the U.N. Emergency Force as an interposition force between Israel and Egypt.27 The U.N. Security Council normally establishes peacekeeping operations in keeping with certain basic principles, which include agreement and continuing

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support by the Security Council; agreement by the parties to the conflict and consent of the host government(s); unrestricted access and freedom of movement by the operation within the countries of operation and within the parameters of its mandate; provision of personnel on a voluntary basis by U.N. members; and noninterference by the operation and its participants in the internal affairs of the host government. The conditions under which armed force may be used to carry out the mandate or for other purposes is set forth in the Council resolution or in Council approval of the rules of engagement or concept of operations. U.N. peacekeeping operations may take the form of either peacekeeping forces, such as the U.N. Force in Cyprus (UNFICYP), the U.N. Operation in the Congo [in the 1960s], or the U.N. Interim Force in Lebanon (UNIFIL), or observer missions, such as the U.N. Iran-Iraq Military Observer Mission (UNIIMOG), the U.N. Observer Group in Central America (ONUCA), or the U.N. Truce Supervision Organization in Palestine (UNTSO). The distinctions between observer missions and peacekeeping forces are found in the mandate or function of the operation, the numbers and types of personnel used, and whether the personnel are armed. Usually, peacekeeping forces are larger in the numbers of personnel, equipment, and cost than observer missions and are lightly armed rather than unarmed, as are observers. When the U.N. Security Council establishes a U.N.-conducted peacekeeping operation, its resolution also specifies how the operation will be funded. In most instances, this is by a special assessed account to be created by the U.N. General Assembly. Under the U.N. Charter, the General Assembly approves the budget and expenses of the organization; this includes U.N. peacekeeping operations. Each operation has a separate budget that is financed from a separate assessed account. In 1994, the Assembly decided that the financial period for each operation would be changed from January through December to July 1 to June 30. As U.N. peacekeeping operations grew in number and complexity, the Assembly found it required a longer period of time to consider the budgets of each operation and other agenda items associated with United Nations peacekeeping.28 Since 1948, the United Nations has established 63 peacekeeping operations, 16 of which are currently active. A review of the data in Appendix B, ―U.N. Peacekeeping Operations: Numbers Created Annually, 1948-2008,‖ shows a pattern of increase in the creation of operations that escalated during the mid1990s. This increase placed a strain on the then-not-well-developed capacities of the U.N. Secretariat to support larger numbers of operations and personnel and also led to what some have called ―donor fatigue‖ on the part of actual and potential troop contributing countries. The resulting hesitation or reluctance to

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rapidly provide personnel for U.N. peacekeeping operations created by the U.N. Security Council continues today. Current United Nations statistics on U.N. peacekeeping often refer to higher numbers of operations and personnel than are provided in the paragraph above. For example, the February 2007 report of the Secretary-General on implementation of recommendations of the Special Committee on Peacekeeping Operations, in referring to a ―surge in United Nations peacekeeping,‖ noted that ―as 2006 drew to a close, almost 100,000 men and women were deployed in 18 peace operations around the world, of which approximately 82,000 were troops, police, and military observers provided by contributing countries. Those figures are set to increase further in 2007, with the completion of deployments currently under way ... and the prospect of new United Nations peace operations being established, whether United Nations peacekeeping missions or special political missions.‖ He continued, ―In parallel, the Department of Peacekeeping Operations has increased its administrative and logistics support to special political missions managed by the Department of Political Affairs, and is currently supporting 15 such field offices. More recently, it has become increasingly engaged in assisting regional actors to develop their peacekeeping capabilities, in particular providing substantial support to the African Union Mission in the Sudan (AMIS).‖29 The use of the term ―peace operations‖ in this context can be tracked back to the Brahimi Panel report (see ―Brahimi Panel Report [2000],‖ below). Peace operations might be seen and identified within the overall context of the Charter role of the U.N. Security Council in the maintenance of international peace and security (see Article 24 of the Charter), with U.N. peacekeeping being only one element or component of the array of responses the Council might employ. U.N. peace operations, as defined in the Brahimi Report, ―entail three principal activities: conflict prevention and peacemaking; peacekeeping; and peacebuilding.‖30 The numbers used when referring to the numbers of personnel involved in peace operations as compared with the numbers of personnel involved in U.N. peacekeeping operations can derive from two different aspects: (1) U.N. peacekeeping operations data generally tracks the numbers of uniformed personnel provided by U.N. member states and does not include the numbers of civilians in those operations, either recruited locally or those internationally recruited. These increasingly larger numbers of civilians are included in data tracking the numbers of personnel in peace operations. (2) As reflected in the data, the number of currently deployed peacekeeping operations, 17, as of June 30, 2008, differs from the number of peace

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operations, 20, which includes three peace operations — UNAMA, in Afghanistan, and the two peacebuilding missions in Sierra Leone and Burundi: UNIOSIL and BINUB.31

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U.S. Provision of Personnel Section 7 of the U.N. Participation Act (UNPA) of 1945, as amended (P.L. 79-264), authorized the President to detail up to 1,000 members of the U.S. armed forces to the United Nations in a noncombatant capacity.32 Throughout U.N. history, the United States has provided various goods and services, including logistics, and has detailed its military to U.N. peacekeeping tasks, but in small numbers. Before 1990, the major category of forces provided by the United States were the individual military officers participating as observers in the UNTSO. The President has also used the authority in section 628 of the Foreign Assistance Act (FAA) of 1961 to provide U.S. armed forces personnel to U.N. peacekeeping operations. Under this section, such personnel may be detailed or sent to provide ―technical, scientific or professional advice or service‖ to any international organization. For example, as of November 30, 1995, an estimated 3,254 U.S. military personnel served under U.N. control in eight operations. This included participation, under section 7 of the UNPA, of an estimated 748 and participation of an estimated 2,506 under section 628 of the FAA. The breakout of figures under each section for the forces in Macedonia (UNPREDEP) and Haiti (UNMIH) are based on the percentage in strength (the figure in brackets) as of September 6, 1995. See Table 3. Table 3. U.S. Military Personnel Under U.N. Control as of November 30, 1995 Operation Sec. 7, UNPA Sec. 628, FAA Total UNTSO (Middle East) 11 0 11 UNIKOM (Iraq-Kuwait) 15 0 15 MINURSO (Western Sahara) 30 0 30 UNCRO (Croatia) 0 365 365 UNPREDEP (Macedonia) 248 [42%] 324 [58%] 559 UNPROFOR (Bosnia-Herzegovina) 0 3 3 UNMIH (Haiti) 453 [20%] 1,814 [80%] 2,267 UNOMIG (Georgia) 4 0 4 748 2,506 TOTAL 3,254

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By the end of April 1996, with the U.N. Mission in Haiti (UNMIH) coming to an end, the number of U.S. military personnel serving in U.N. peacekeeping operations had fallen to 712. As of September 30, 2008, an estimated 309 U.S. personnel served under U.N. control in six operations. Other than the civilian police in four operations, these were U.S. military personnel. See Table 4. The United States currently contracts with outside firms to provide U.S. civilian police, either active duty on a leave of absence, former, or retired. They are hired for a year at a time and paid by the contractor.33 These contracts are financed from Foreign Operations Act accounts.34 A total of 88,754 uniformed personnel from 119 countries served in 16 U.N. peacekeeping operations.

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Table 4. U.S. Personnel Under U.N. Control as of September 30, 2008 Operation UNTSO (Middle East) UNMIK (Kosovo) UNOMIG (Georgia) UNMIL (Liberia) MINUSTAH (Haiti) UNMIS (Sudan) TOTAL

Total 3 (obs.) 214 (police) 2 (obs.) 28 (7 troop, 6 obs., 15 police) 50 (46 police, troop) 11 (police) 309a

Note: This table is based on data provided monthly by the United Nations and available at [http://www.un.org/Depts/dpko/dpko/contributors/]. a. The United States has one police in UNIOSIL (Sierra Leone), a peacebuilding mission but not a peacekeeping operation.

Other Peacekeeping Issues A Peacekeeping Response to International Humanitarian Distress Since 1991, internal instabilities and disasters in the Persian Gulf region and in Africa, and conditions in the former Yugoslavia have prompted demands for the use of U.N. peacekeeping to expedite peaceful settlement of internal conflicts or to ensure the delivery of humanitarian assistance to starving and homeless populations within their countries. Some observers have suggested that the principle of nonintervention, incorporated in Article 2, paragraph 7 of the U.N. Charter, had been modified by Security Council Resolution 688 (1991), in which the Council ―insist(ed) that Iraq allow immediate access by international humanitarian organizations to all those in need of assistance in all parts of Iraq.‖

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Others cited Council Resolution 687 (1991), the cease-fire resolution, which imposed on Iraq a number of requirements that might be viewed as intervention into the territorial sovereignty and independence of that country. While the U.N. Security Council had, in the past, been reluctant to approve humanitarian assistance as a major or primary function of a peacekeeping operation, it has now moved away from that position. The Council established protection for humanitarian operations in Somalia as part of the major mandate for its operation there (UNOSOM) and added humanitarian protection to an expanded mandate for the operation (UNPROFOR) in Bosnia and Herzegovina.35 Another variable of U.N. peacekeeping in instances of humanitarian distress has been the extent to which peacekeepers can protect civilians, including those who come to the peacekeepers for protection. Often, such protection had not been part of the mandate approved by the U.N. Security Council and neither the composition of an operation nor its rules of engagement or concept of operations allowed for such action. Two situations have been widely regarded as significant examples of U.N. peacekeeping failures in the protection of civilians. The first was the ―1994 genocide in Rwanda‖ and the second was the ―fall of Srebrenica‖ in July 1995 and the killing of up to 200,000 people.36 Reports examining these failures have helped focus the attention of U.N. officials and of U.N. member states, especially members of the U.N. Security Council, on the need to prevent and to respond to this sort of situation. The continuing conditions in Darfur, Sudan, however, reveal the difficulty of fashioning and implementing an effective U.N. response in the face of continuing reports of genocide.

The Role of U.N. Peacekeeping in Monitoring Elections Some authorities have called on the United Nations to organize, supervise, and/or monitor elections in various countries. In the past, the United Nations had organized and carried out elections and acts of self-determination pursuant to its Charter mandate for decolonization. However, it had not responded affirmatively to many requests for organizing or conducting elections in the peace and security domain. For example, in June 1989, Secretary-General Javier Perez de Cuellar, when considering Nicaragua‘s request for U.N. participation in its electoral process, characterized U.N. acceptance of election supervision in an independent country as ―unprecedented.‖ However, in 1991, the U.N. General Assembly authorized the Electoral Assistance Division in the Department of Political Affairs to serve as a focal point for all U.N. electoral assistance activities. This was in addition to the special peace and security situations when the U.N. Security Council might approve U.N. participation in plebiscites or elections. For example, in the case of Namibia

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(UNTAG, 1989-1990), Western Sahara (MINURSO, 1991- present), and East Timor (June-September 1999), the election was an act of self-determination, as part of an overall conflict settlement arrangement. These referenda or elections were similar to the traditional U.N. role in the decolonization process. In other instances, the United Nations has conducted elections monitoring in an independent U.N. member state. U.N. conduct of elections in Cambodia (UNTAC, 1992-1994) were part of a political settlement arrangement to bring about an end to the Cambodian conflict. In the cases of Nicaragua and Haiti, the action was authorized and created by the U.N. General Assembly, not by the U.N. Security Council. The U.N. Observer Mission in Nicaragua (ONUVEN) involved U.N. civilian observers monitoring the election process in Nicaragua in 19891990 and did not include military or security forces. It was, however, part of the efforts to achieve a peaceful settlement in Central America. The case of election monitoring in Haiti in 1990-1991 did not include a role clearly identified as U.N. peacekeeping, but the United Nations Observer Group for the Verification of the Elections in Haiti (ONUVEH) included a security component that consisted of 64 security observers, 36 of whom were drawn from U.N. peacekeeping operations.

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U.S. Financing for U.N. Peacekeeping There are three major ways by which Congress may finance U.S. contributions to U.N. peacekeeping operations. First, Congress currently finances U.S. assessed contributions to these operations through the Department of State authorization and appropriation bills (under Contributions to International Peacekeeping Activities (CIPA) in the International Organizations and Conferences account). These are the peacekeeping operations for which the U.N. General Assembly creates a separate assessed account against which every U.N. member state is obligated to pay a specific percent of the expenses of the operation. U.S. arrearages to peacekeeping operations are associated with these assessed accounts. Second, Congress formerly funded one U.N. operation — the U.N. Peacekeeping Force in Cyprus (UNFICYP) — from the foreign operations authorization and appropriation bills (under Peacekeeping Operations (PKO) in the Military Assistance account). The U.S. contribution was funded this way because the Cyprus force was initially financed from voluntary contributions from U.N. member nations. On May 27, 1993, the Security Council changed the basis of funding for the force in Cyprus, from solely voluntary to assessed plus voluntary.37 Future funding for U.S. contributions to UNFICYP has moved, in the

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Administration‘s request, from the Foreign Operations, Military Assistance, PKO account to the State Department, CIPA account. Finally, Congress funds the U.S. contribution to some U.N. observer peacekeeping operations as part of its regular budget payment to the United Nations. There is no separate U.N.-assessed account for these groups. This is currently how the U.N. Truce Supervision Organization (UNTSO) and the U.N. Military Observer Group in India and Pakistan (UNMOGIP) are funded. Because U.N. peacekeeping requirements may arise out of sequence with the U.S. budget planning cycle, the President and Congress have had to devise extraordinary methods for acquiring initial funding for U.S. contributions to the operations. Over the past several years, these included reprogramming from other pieces of the international affairs budget, such as Economic Support Fund money obligated in past years for specific countries but not disbursed. Another approach used was the transfer of funds to the international affairs budget from the Department of Defense for funding U.N. peacekeeping operations. In recent years, the President has requested and the Congress has appropriated funding for U.S. assessed contributions to new or expanded peacekeeping operations through the supplemental appropriations process. In addition, in 1994 and 1995, President Clinton proposed that U.S. assessed contributions for peacekeeping operations, for which Chapter VII of the Charter is specifically cited in the authorizing Security Council resolution, be financed under the Defense Department authorization/appropriations bills. He proposed that the U.S. assessed contribution for any other U.N. peacekeeping operations for which a large U.S. combat contingent is present also be financed from Defense Department money. Congress did not support this proposal.

U.N. PROPOSALS FOR STRENGTHENING PEACEKEEPING Agenda for Peace (1992) As peacekeeping became an option of choice to resolve conflicts in the postCold War world, proposals were made for strengthening the U.N. response to all aspects of this peace and security challenge. On January 31, 1992, the U.N. Security Council, meeting at the heads of state and government level, ―invited‖ U.N. Secretary-General Boutros Boutros-Ghali to prepare ―his analysis and recommendations on ways of strengthening and making more efficient within the

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framework and provisions of the Charter the capacity of the United Nations for preventive diplomacy, for peacemaking and for peace-keeping.‖38 The resultant 24-page report, An Agenda for Peace; Preventive Diplomacy, Peacemaking and Peace-Keeping, was presented by the Secretary-General to the Council on June 14, 1992.39 On peacekeeping, the Secretary-General noted that the

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basic conditions for success remain unchanged: a clear and practicable mandate; the cooperation of the parties in implementing that mandate; the continuing support of the Security Council; the readiness of Member States to contribute the military, police and civilian personnel, including specialists, required; effective United Nations command at Headquarters and in the field; and adequate financial and logistic support.40

Among his recommendations on peacekeeping were greater use by member states of the Stand-by Arrangements System; improved programs for training peacekeeping personnel, including civilian, police, or military; and special personnel procedures to permit the ―rapid transfer of Secretariat staff members to service with peace-keeping operations.‖ He urged that a ―pre-positioned stock of basic peacekeeping equipment ... be established, so that at least some vehicles, communications equipment, generators, etc., would be immediately available at the start of an operation.‖ After its initial positive reaction to the report [Statement by Council President, June 30, 1992], the U.N. Security Council undertook an in-depth examination of the report over the following years, starting on October 29, 1992. Thereafter, each month through May 1993, the Council met and the Council President issued a statement on some aspect of the report and its recommendations.41 On May 3, 1994, the Council President issued an extensive statement that dealt with criteria for establishing new operations; the need to review ongoing operations; communication with non-members of the Council, including troop contributing nations; stand-by arrangements; civilian personnel; training; command and control; and financial and administrative issues. This statement mirrored the content of the May 1994 U.S. Presidential Decision Directive on Reforming Multilateral Peace Operations (PDD 25). Security Council follow-up related to the Agenda for Peace initiatives continued through 1998, accompanied by debate and recommendations by the U.N. General Assembly and its Special Committee on Peacekeeping Operations and its Informal Open-Ended Working Group on an Agenda for Peace.42 While the Working Group did not produce final recommendations and stopped meeting

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in 1996, the more formal Special Committee formally reviewed the report, produced recommendations for action by the Secretary-General and by the General Assembly, and requested further reports from the Secretary-General. Among the resulting changes relating to U.N. peacekeeping were the following:

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Creation of a 24-hour operations or situation center; Transfer of the Field Operations Division from the Department of Administration and Management to the Department for Peacekeeping Operations (DPKO); Establishment of a Peacekeeping Reserve Fund of $150 million to help with financing for start-up of an operation; Adoption of a Convention on Protection of U.N. personnel; Creation of a military planning cell in DPKO; Improvement of three major departments related to peacekeeping (DPKO, Department of Political Affairs, and Department of Humanitarian Affairs); and Creation of a Task Force on United Nations Operations to coordinate among departments and provide the Secretary-General with options and recommendations on policy issues.

Brahimi Panel Report (2000) On August 23, 2000, a special Panel on United Nations Peace Operations, convened by U.N. Secretary-General Kofi Annan, issued a report presenting its recommendations aimed at improving the U.N.‘s peace and security capabilities. Annan had asked the Panel to ―assess the shortcomings of the existing system and to make frank, specific and realistic recommendations for change.‖43 Some of the recommendations have been implemented, both those the Secretary-General may carry out on his own and those requiring General Assembly authorization and/or the provision of additional funds, including increasing staff levels in the Department of Peacekeeping Operations. Other recommendations, however, especially those requiring expeditious Member State commitments of personnel for deployment, have not been fully implemented. Since 2004, reform of U.N. peacekeeping has become part of the overall review of the United Nations, its capabilities and capacities in the 21st century, and the need to reform and renew the organization. The December 2004 report of a

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High-Level Panel on Threats, Challenges, and Responses convened by SecretaryGeneral Annan recommended that ―Member States should strongly support‖ efforts of the Department of Peacekeeping Operations, ―building on the ... work of the Brahimi Panel on U.N. Peace Operations.‖ The Panel observed that ―the demand for personnel for both full-scale peace-enforcement missions and peacekeeping missions remains higher than the ready supply. In the absence of a commensurate increase in available personnel, United Nations peacekeeping risks repeating some of its worst failures of the 1990s.‖44 U.N. Secretary-General Annan in his March 2005 reform proposals echoed the call for improved deployment options with strategic reserves that could be rapidly employed.45 In addition, he stated that the time was ripe for ―the establishment of an interlocking system of peacekeeping capacities that will enable the United Nations to work with relevant regional organizations in predictable and reliable partnerships.‖ Annan also noted allegations of misconduct by U.N. administrators and peacekeepers. He asserted that U.N. peacekeepers and peacebuilders have a solemn responsibility to respect international law and fundamental human rights and especially the rights of the people whom it is their mission to protect.

Prince Zeid Report (2005) Later, in March 2005, a comprehensive report on sexual exploitation and abuse by U.N. peacekeeping personnel was issued by the Secretary-General and his Special Adviser on this issue.46 Prince Zeid‘s report, A Comprehensive Strategy to Eliminate Future Sexual Exploitation and Abuse in United Nations Peacekeeping Operations, recognized that both the United Nations Secretariat and U.N. member States had responsibilities in resolving this problem. Its recommendations were endorsed by the U.N. General Assembly on June 22, 2005, in A/RES/59/300. In September 2005, the 60th session of the U.N. General Assembly, meeting as a World Summit, approved a 2005 World Summit Outcome, as A/RES/60/1. The Heads of State and Government convened at this meeting urged ―further development of proposals for enhanced rapidly deployable capacities to reinforce peacekeeping operations in crises. We endorse the creation of an initial operating capability for a standing police capacity to provide coherent, effective and responsive start-up capability for the policing component of the United Nations peacekeeping missions and to assist existing missions through the provision of advice and expertise.‖ [para. 92] They also ―underscore[d] the importance of the

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recommendations of the Adviser to the Secretary-General on Sexual Exploitation and Abuse by United Nations Peacekeeping Personnel, and urge[d] that those measures adopted in the relevant General Assembly resolutions based upon the recommendations be fully implemented without delay.‖ [para. 96] In November 2005, a Conduct and Discipline Team was set up in the Department of Peacekeeping Operations (DPKO), and by the end of 2006, Conduct and Discipline Teams had been established in seven peacekeeping operations and in U.N. missions in Burundi (BINUB), Sierra Leone (UNIOSIL), and Afghanistan (UNAMA). According to a report reviewing the status of U.N. measures for protection from sexual exploitation and sexual abuse, the Team at DPKO is responsible for developing strategies for ―addressing conduct and discipline‖ throughout DPKO and for providing ―oversight on the state of conduct and discipline for all categories of personnel in all missions administered by the Department.‖47 The teams in the missions are to act as principal advisers to heads of mission on all conduct and discipline issues involving all categories of personnel and implement measures to prevent misconduct, to enforce United Nations standards of conduct and to ensure remedial action when it is required. The teams also receive and monitor allegations of misconduct, including sexual exploitation and abuse, forward the allegations to the appropriate investigating authorities and provide feedback to victims and host populations on the outcome of investigations.

The teams also train U.N. personnel and host populations on the standards set forth in the Secretary-General‘s bulletin on sexual exploitation and abuse. On May 29, 2007, U.N. Under Secretary-General for Peacekeeping JeanMarie Guehenno announced the resumption of discussions with U.N. member states on a ―proposed memorandum of understanding setting out standards‖ for peacekeepers. These standards were intended to ensure that all would ―have the same understanding of what is acceptable, what is not acceptable, what is criminal, what is not.‖ In addition, he stated that ―some countries may not have the same standards or procedures for conducting investigations as the U.N.‘s Office of Internal Oversight Services (OIOS).‖ Mr. Guehenno observed that ―some States have indicated they are opposed to the introduction of such standards and he called on those unnamed countries to rethink their positions.‖ 48 On July 24, 2007, the U.N. General Assembly adopted Resolution 61/291, approving the U.N. standards of conduct language to be included in the revised draft model memorandum of understanding (MOU), to be used as the basis for

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negotiation with all troop-contributing countries. Under this language, it is intended that all U.N. peacekeeping personnel agree to

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conduct themselves in a professional and disciplined manner at all times; respect local laws, customs and practices; treat host country inhabitants with respect, courtesy and consideration; and act with impartiality, integrity and tact and report all acts involving sexual exploitation and abuse. They also agree to encourage proper conduct among fellow peacekeeping personnel and to properly account for all money and property assigned to them as mission members.49

During a January 2007 Security Council meeting, U.S. Acting U.N. Representative Alejandro Wolff noted that the United States was ―very troubled‖ by continued reports of sexual exploitation and abuse by personnel participating in some U.N. missions. He noted that the organization had responded to Prince Zeid‘s report and recommendations, putting into place a number of guidelines and procedures, standards of conduct, and policies of zero tolerance on sexual exploitation and abuse by personnel of U.N. peacekeeping operations. He observed, however, that a fundamental difficulty resulted from the fact that most personnel in U.N. peacekeeping operations are provided by U.N. member states. As such, each member state is responsible for enforcing standards of behavior of its personnel.50 On December 21, 2007, the U.N. General Assembly adopted a United Nations Comprehensive Strategy on Assistance and Support to Victims of Sexual Exploitation and Abuse by United Nations Staff and Related Personnel.51 After the decision, U.S. Adviser David Traystman made the following statement: The United States is very gratified to note that the General Assembly has now taken action on this important pillar of the Organization‘s response to sexual exploitation and abuse. Victims of sexual exploitation and abuse by UN staff and related personnel will now receive the assistance they need.... My delegation is especially pleased to note that in adopting this text, the international community strongly condemns all acts of sexual exploitation and abuse and reiterates its support for the Secretary-General‘s zero tolerance policy.52

During a statement before the Fifth Committee of the Assembly in May 2008, Mr. Traystman addressed the work of the Conduct and Discipline Teams: The Teams are charged with the important task of implementing the Organization‘s rules and regulations concerning conduct and discipline. This includes the Organization‘s three-pronged strategy aimed at eliminating sexual

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exploitation and abuse, comprised of measures aimed at prevention of misconduct, enforcement of UN standards of conduct, and remedial action. These important functions are ‗core‘ responsibilities that should be carried out by permanent CDT capacities, both at Headquarters and in the field.53

Mr. Traystman continued, ―We will continue to press for substantive training and disciplinary actions by troop contributors for their national contingents to guarantee that the zero tolerance policy on sexual exploitation and abuse is fully understood, respected and enforced.‖ Secretary of State Condoleezza Rice, in a statement to the U.N. Security Council on June 19, 2008, followed up on this issue, noting, ―While the individual perpetrator is ultimately responsible for the abuse, member states are responsible for disciplining and holding their troops accountable.‖54

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Reorganization and Restructuring (2007) Current discussions on U.N. reform in the peacekeeping area center around the proliferation of U.N. responses to peace and security circumstances. On February 15, 2007, new U.N. Secretary-General Ban Ki-moon announced his proposals for ―strengthening the capacity of the Organization to manage and sustain peace and security operations.‖55 Ban proposed a reconfiguration of the Department of Peacekeeping Operations into two departments: the Department of Peace Operations and the Department of Field Support. He proposed that the Department of Field Support be responsible for ―the administration and management of field personnel, procurement, information and communication technology and finances for United Nations peace operations.‖ [para. 15] This would, he continued, ―allow a separate, concentrated Department of Peace Operations to focus on the work it needs to do: strategic as well as day-to-day direction and management of peacekeeping operations; new mission planning; implementation of policies and standards; and fostering partnerships with a broad range of United Nations and non-United Nations actors, including regional organizations.‖ [para. 16] He intended to maintain unity of command and integration of effort at the field level by preserving the existing overall authority of my special representatives and heads of mission over all mission components, including the military, police and administrative components.... The Special Representative ... or Head of Mission will have a

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single, clear reporting line to the Secretary-General through the Under-SecretaryGeneral for Peace Operations.... To ensure unity of command and integration of effort at the Headquarters level, the Under-Secretary-General of Field Support will report to and receive direction from the Under-Secretary-General for Peace Operations on all issues that fall under the purview of United Nations peacekeeping. [paras. 22-24]

He intended to set up, within the Department of Peace Operations, a public affairs unit that would be responsible for ―media relations, departmental publicity, external relations and corporate messaging/internal communications.‖ This new unit would also provide advice on budgetary, administrative, staffing and technical matters to public information components in the field. [para. 46] The new Department of Field Support would be responsible for ―the management and administration of information management capacity for peacekeeping, as well as for conduct and discipline, and for providing secretariat support to the senior field leadership selection process.‖ [para. 26] This Department would have the ―analytical and information-processing capacity required to prepare budget proposals and performance reports‖ although the Department of Management would ―retain the final authority to submit budgets to the Assembly.‖ [para. 37] In addition, Ban intended to ―vest authority for field support procurement with the Department of Field Support by delegating procurement authority to that department as well as the authority to appoint procurement officers at Headquarters and in the field.... A common vendor database, a joint vendor review committee, a common procurement manual ... will be maintained.‖ [para. 42] On March 15, 2007, the U.N. General Assembly, in Resolution 61/256, supported the restructuring of the Department of Peacekeeping Operations, including the establishment of the Department of Field Support and the intention to name an Under-Secretary-General to head that Department.56 The Assembly asked the Secretary-General to ―submit a comprehensive report, as soon as possible, elaborating on the restructuring of the Department of Peacekeeping Operations and the establishment of the Department of Field Support, including functions, budgetary discipline and full financial implications....‖ On June 29, 2007, the U.N. General Assembly approved most of the restructuring plan and established the Department of Field Support.57 In many instances, not as many new positions were recommended, and the Assembly did not approve moving the field- or mission-related procurement functions from the Department of Management to the Department of Field Support.58 Most of the added positions were financed from the support account, that is, from the budgets

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of individual peacekeeping operations, rather than as core function positions from the U.N. regular budget. On March 14, 2008, Secretary-General Ban appointed Susana Malcorra of Argentina to head the Department of Field Support. She took over from Jane Holl Lute, who had been Officer-in-charge since the Department was established in July 2007.

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THE UNITED STATES AND PEACEKEEPING PROPOSALS The Clinton Administration initially supported collective security through the United Nations as a centerpiece of its foreign policy. Later, President Clinton, in a September 1993 speech to the U.N. General Assembly, called on the Security Council to review closely each proposal for an operation before determining whether to establish it, saying that ―the United Nations simply cannot become engaged in every one of the world‘s conflicts.‖ He supported ―creation of a genuine U.N. peacekeeping headquarters with a planning staff, with access to timely intelligence, with a logistics unit that can be deployed on a moment‘s notice, and a modern operations center with global communications.‖ Clinton urged that U.N. operations be adequately and fairly funded, saying he was ―committed to work with the United Nations‖ in reducing the U.S. assessment for peacekeeping.59 In May 1994, Clinton signed Presidential Decision Directive 25 on Reforming Peace Operations. The policy recommended 11 steps to strengthen U.N. management of peacekeeping operations and offered U.S. support for strengthening the planning, logistics, information, and command and control capabilities of the United Nations. The policy also supported reducing the U.S. peacekeeping assessment from 31.7% to 25%. In a May 16, 2000 statement to a U.N. General Assembly committee, U.S. Ambassador Richard Holbrooke presented reform proposals aimed at strengthening U.N. capacities for U.N. peacekeeping and at changing the basis for financing U.N. peacekeeping.60 On August 24, 2000, a statement by the State Department spokesman ―commended‖ the work of the U.N. Panel on Peace Operations [the Brahimi Panel], noting that ―the United States has been one of the earliest and most insistent voices calling for improvement in planning, the pace of deployment, and overall effectiveness in peacekeeping.‖ In December 2004, Congress mandated the establishment of a bipartisan Task Force on the United Nations, to be organized by the U.S. Institute of Peace. The Task Force was to report to Congress within six months on how to make the United Nations more effective in realizing the goals of its Charter. It was chaired

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by Newt Gingrich, former Speaker of the House of Representatives and by George J. Mitchell, former Majority Leader of the Senate. The report, American Interests and U.N. Reform, was issued on March 24, 2005.61 The Task Force offered a wide variety of comments and recommendations relating to United Nations peacekeeping. They included the following: The key question for the Task Force in the area of UN peacekeeping is whether we are prepared to endorse the current practice of the United States and other members of the Security Council in demanding that peacekeepers regularly engage in a broad range of robust security activities. If so, then the United States and other governments must do much more to enhance capacities if we wish to ensure substantial success. The Task Force believes that the practical alternatives — to consign the United Nations to future failures, or to dramatically reduce the United Nations‘ role in efforts to manage conflict and build stable societies — are unacceptable. [p. 90-91] Member states ―must substantially increase the availability of capable, designated forces, properly trained and equipped, for rapid deployment to peace operations on a voluntary basis. The Secretariat should enhance its capacity to coordinate increases in member state contributions to the Stand-By Arrangements system.‖ [p. 97] The Task Force noted that while ―the United States formally participates in the United Nations Stand-By Arrangements system, its participation is of only limited operational value to the United Nations — as it provides only a very general list of U.S. capabilities.... [T]he United States should consider upgrading its participation in this voluntary program‖ by providing more detailed information about the support it might consider. [p. 97] The United States should support (1) creation of a senior police force management unit to conduct assessments and assist in the establishment of new peace operations; (2) assessed funding for first-year, quick-impact projects in peace operations, as well as the full range of early disarmament, demobilization, and reintegration assistance when those have been identified in premission assessments as critical for success; and (3) the adoption of two-year budgets for support of peacekeeping to ensure greater stability, permit more careful planning, and reduce administrative burdens. [p. 97-98]

Concerned over reports of sexual exploitation and abuse by deployed U.N. peacekeepers and drawing on the findings by Prince Zeid, in his Comprehensive Strategy report, the Task Force urged that the United States strongly support implementation of reform measures designed to ensure uniform standards for all civilian and military participants in peace operations; improve training programs relating to sexual exploitation and abuse; increase

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deployment of women in peacekeeping operations; encourage deployment of established (rather than ‗patched together‘) units to peacekeeping operations; impose accountability of senior managers; support effective data collection and management; provide victims assistance; increase staff to enhance supervision; and organize recreational activities for peacekeepers. Finally, states that prove unwilling or unable to ensure discipline among their troops should not be permitted to provide troops to peacekeeping missions. [p. 96]

CONGRESS AND UNITED NATIONS PEACEKEEPING: 1991-2006

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Overview Congress has, over the years, used authorizations and especially appropriations bills to express its views and enhance its oversight of U.S. executive branch actions and uses of United Nations peacekeeping operations. This has ranged from diminishing to increasing U.S. assessed contributions and linking release of U.S. contributions to reports on actions taken to improve U.N. peacekeeping reform or other actions, not related to peacekeeping, by the United Nations. It has requested to be kept informed on a monthly, an ad hoc, and annual basis of U.S. efforts taken in the U.N. Security Council to create or to expand U.N. peacekeeping. It has tried to ensure that U.S. companies engaged in activities that would be useful to the United Nations have equal access to U.N. procurement efforts. Congress provided initial U.S. contributions for the U.N. Iraq-Kuwait Observation Mission in 1991 (P.L. 102-55). Funds for U.S. contributions for U.N. peacekeeping operations and also for the portion of U.S. arrearages to be paid from FY1992 money were authorized and appropriated in 1991 (P.L. 102-138; P.L. 102-140) and additional funds were made available in 1992 for the rapidly increasing number of peacekeeping operations (P.L. 102-266; P.L. 102-311; P.L. 102-368; and P.L. 102-395). This funding was important as demands for new U.N. actions worldwide increased. During 1992, some in Congress focused on finding new sources of funding for U.S. contributions to U.N. peacekeeping obligations while others explored new directions for the United Nations in the area of peace and security. Senator Paul Simon introduced a bill, for example, suggesting that the United States finance its peacekeeping contributions from the defense budget function, as a larger and more reliable source.62 Proponents of this proposal pointed to the extent

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to which U.N. peacekeeping advances U.S. national security interests. Section 1342 of the Defense Authorization Act, P.L. 102-484, authorized the Secretary of Defense to obligate up to $300 million from defense appropriations to, among other things, fund U.S. peacekeeping contributions if the funding is not available from the State Department‘s CIPA account. Congress, in P.L. 102-484, asked the President for a report on the proposals made in ―An Agenda for Peace.‖ President George Bush sent that report to Congress on January 19, 1993.63 In 1993, in contrast, Congress did not provide all the funding requested by the President for financing U.S. contributions to U.N. peacekeeping. Congress appropriated $401.6 million of the $619.7 million requested in the CIPA account in the State Department Appropriations Act, FY1994 (P.L. 103-121, October 27, 1993). The Foreign Operations Act included $75,623,000 of the $77,166,000 requested for Peacekeeping Operations under the Military Assistance account (P.L. 103-87, September 3, 1993). Finally, Congress did not appropriate the $300 million requested in the Department of Defense budget for DOD peacekeeping support.

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Table 5. U.S. Contributions to U.N. Peacekeeping as Requested and Enacted, FY1988-FY2006 (in millions of $) Fiscal Year 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997a 1998b 1999c 2000 2001 2002d

Requested — 29.000 — 247.400 201.292 460.315 619.736 533.304 445.000 425.000 286.000 231.000 235.000 738.666 844.139

Supplemental — — — — 350.000 293.000 670.000 Rejected 672.000 — — — — Rejected 107.000 — 43.000 Req.

Enacted 29.400 141.000 81.079 133.521 464.202 460.315 401.607 670.000 533.304 359.000 352.400 256.632 231.000 498.100 844.139 844.139 23.034

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Cyprus 7.312 7.312 8.837 8.836 8.374 9.000 — — — — — — — — —

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2006

725.981 350.200 650.000 1,035.500

— 245.000 780.000 Req. 69.8 Req.

673.710 695.056 483.544 680.000e 1,022.275 129.800f

97 — — —

Note: Except for UNTSO and UNMOGIP, U.S. assessed contributions to U.N. peacekeeping operations are funded from the CIPA account, State Department. U.S. money for UNFICYP was originally financed by voluntary contributions, funded through the Foreign Operations Act. a. ―Requested‖ includes $142.4 million for arrears payment; ―Enacted‖ includes $50 million for arrears. b. Both ―Requested‖ and ―Enacted‖ include $46 million for arrears payment. c. $11.55 million of ―Enacted‖ was transferred to the CIO account, leaving $219.450 million. d. $43 million requested, March 21, 2002, in Emergency FY2002 Supplemental Appropriation. P.L. 107-206 provided $23,034,000. Included in the Enacted figure is $42.206 million, which was transferred from the CIPA to the CIO account, leaving $801.933 million for allocation. e. $50 million of the $680 million appropriated was transferred to the PKO account, leaving $630 million from the FY2005 Supplemental, for an FY2005 total of $1,113,544,832. f. FY2006 Actual of $1,152.075 reflects rescission of 0.28% provided through the Science, State, Justice, Commerce, and Related Agencies Appropriations Act, 2006 (P.L. 109-108) and the general rescission of 1.0% provided through the Emergency Supplemental Appropriations Act to Address Hurricanes in the Gulf of Mexico and Pandemic Influenza, 2006 (P.L. 109-148, Division B) [a total of $119.279 million]. FY2006 Actual also includes $129.8 million provided through the Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006 (P.L. 109-234).

Further, Congress‘s concerns in this area were expressed in a series of requirements included in the conference report on State Department appropriations. They included: Recommending that the Administration review thoroughly the current process of committing to peacekeeping operations. Expecting the Administration to notify the United Nations that the United States will not accept an assessment greater than 25% for any new or expanded peacekeeping commitments after the date of enactment of this act. Expecting the State Department in its FY1995 budget submission to include an annual three-year projection of U.S. peacekeeping costs and submit a detailed plan identifying U.S. actions needed to correct policy

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and structural deficiencies in U.S. involvement with U.N. peacekeeping activities. Expecting the Secretary of State to notify both appropriations committees 15 days in advance, where practicable, of a vote by the U.N. Security Council to establish any new or expanded peacekeeping operation. Expecting the notification to include the total estimated cost, the U.S. share, the mission and objectives, duration and estimated termination date, and the source of funding for the U.S. share. Similar concerns and requirements were placed in statutory language in the Defense Appropriations Act, FY1994 (Section 8153, P.L. 103- 139, November 11, 1993) and the National Defense Authorization Act, FY1994 (Title XI, P.L. 103-160, November 30, 1993). In 1994, the State Department appropriations bill (P.L. 103-317, August 26, 1994) included the requested $533.3 million in the FY1995 CIPA account and $670 million for the FY1994 CIPA supplemental appropriations. The foreign operations appropriations legislation (P.L. 103-306, August 23, 1994) also contained the requested $75 million for peacekeeping and peace support and a provision allowing a transfer of $850,000 to IMET for training of other countries‘ troops for U.N. peacekeeping duty. The FY1995 National Defense Authorization bill (H.R. 4301) and the FY1995 DOD Appropriations Bill (H.R. 4650) were enacted without the $300 million requested to finance U.S.-assessed contributions to three U.N. operations. Congress, in early 1996, responded to the President‘s February 1995 request by appropriating $359 million ($445 million requested) for FY1996 CIPA funding (P.L. 104-134, April 26, 1996) and $70 million ($100 million requested) for the PKO account (P.L. 104-107, February 12, 1996). Congress rejected the President‘s request for $672 million in FY1995 emergency supplemental funding in the CIPA account. Congress also rejected the Administration‘s proposal that part ($65 million) of the U.S. assessed contributions to two U.N. peacekeeping operations in which U.S. military personnel participated, Haiti (UNMIH) and Macedonia (UNPREDEP), be funded from Defense Department appropriations. Congress, in 1996, provided $352.4 million for U.S. assessments to U.N. peacekeeping accounts in the Omnibus Consolidated Appropriations Act, FY1997 (P.L. 104-208). This included $50 million for U.S. peacekeeping arrears accumulated in 1995. Release of the arrears funding depended on an Administration certification that two of three U.N. non-peacekeeping-related actions occur: (1) savings of $100 million in biennial expenses of five U.N. Secretariat divisions; (2) reduction in the number of U.N. staff by December 31,

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1997, by at least 10% of the number employed on January 1, 1996; and (3) adoption of a budget outline for 1998-1999 lower than the current budget level of $2.608 billion. In addition, conferees expected that up to $20 million in the account would be available for contingencies related to African crises. Use of these funds was subject to Committee review procedures. Furthermore, Congress stipulated that none of the funds in the CIPA account shall be spent for any new or expanded U.N. peacekeeping mission unless the appropriate committees are notified, at least 15 days before a U.N. Security Council vote. The notification should provide the estimated cost, length of mission, and planned exit strategy. A reprogramming of funds is to be submitted, including the source of funds for the mission and a certification that American manufacturers and suppliers are given opportunities equal to those given to foreign sources to provide equipment, services, and materials for U.N. peacekeeping activities. Congress appropriated $65 million for the PKO account, but stipulated that none of the funds shall be obligated or expended, except as provided through regular notification procedures of the Appropriations committees. In 1997, Congress appropriated $256 million ($286 million requested) for the FY1998 CIPA (including $46 million for prior year payments/arrears) and $77.5 million ($90 million requested) for the FY1998 PKO account. Release of $46 million for arrears payments was contingent on passage of an authorization package linking arrears payments to specific U.N. reforms. Release of part of the PKO funds, for the Multilateral Force and Observers (MFO), was contingent on the Secretary of State filing a report on the status of efforts to replace the Director-General of the MFO (letter sent to Congress, March 18, 1998). In 1998, Congress appropriated the requested $231 million for U.S. assessed contributions to U.N. peacekeeping operations (CIPA) and $76.5 million ($83 million requested) for international peacekeeping activities (PKO). Congress, however, did not include funds ($921 million) sought in an FY1998 supplemental to pay U.N. and international organization arrears in FY1999 ($475 million) and FY2000 ($446 million). In 1999, Congress appropriated $500 million for payment of U.S. assessed contributions to U.N. peacekeeping accounts in the State Department Appropriations Act and $153 million for voluntary contributions to international peacekeeping activities in the Foreign Operations Appropriations Act, both of which were incorporated by reference into the Omnibus Consolidated Appropriations Act, 2000, P.L. 106-113. Congress also sent the President H.R. 3194 (106th Congress), the State Department Authorization Act for FY2000-FY2001 (H.R. 3427), which

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authorized $500 million for the CIPA account for FY2000 and ―such sums as may be necessary for FY2001‖ and contained a number of peacekeeping-related provisions. One provision required an annual report to the United Nations on all U.S. costs (―assessed, voluntary, and incremental‖) incurred in support of all U.N. Security Council passed peace activities and required the President to request the United Nations to compile and publish a report on the costs incurred by all U.N. members in support of U.N. peacekeeping activities. Another provision amended the U.N. Participation Act requiring the President to obtain timely U.N. reimbursement for U.S. goods and services valued at over $3 million per fiscal year, per operation, provided to the United Nations. Another section codified in the U.N. Participation Act language previously enacted on consultations and reports on United Nations Peacekeeping Operations. Lastly, this legislation provided for U.S. arrears payments of $819 million to the United Nations for regular budget and peacekeeping accounts for FY1998, FY1999, and FY2000. In addition, section 913 provided for the forgiveness of $107 million in amounts owed by the United Nations to the United States in reimbursements for peacekeeping troops. The primary benchmarks relating to peacekeeping included a 25% ceiling on peacekeeping assessments and no funding for or development of a U.N. standing army. In 2000, Congress appropriated $846 million for the FY2001 CIPA account, in response to the President‘s request of $738.6 million for FY2001 and an FY2000 supplemental of $107 million. Congress did not approve the supplemental for FY2000. In June 2000, the House Appropriations Committee, in recommending a smaller appropriation, expressed its ―gravest concern‖ over what it called ―the Administration‘s tendency to ... extend moribund missions and to establish and expand missions irrespective of Congressional input or the availability of funding to pay for them.‖ The $134 million requested for the FY2001 PKO account was reduced in the Foreign Operations appropriations bill to $127 million (P.L. 106-429). On October 5, 2001, President Bush signed legislation amending the Foreign Relations Authorization Act, Fiscal Years 2000-2001 (P.L. 107-46). This bill revised a condition prohibiting the obligation of appropriated funds for payment of U.S. arrearages for assessed contributions to the United Nations until the share of the budget for each assessed U.N. peacekeeping operation does not exceed 28.15% for any single U.N. member. On November 28, 2001, the President signed H.R. 2500, appropriating funds for the State Department, including the amount requested for the FY2002 CIPA account (P.L. 107-77). The law includes a provision requiring that 15% ($126,620,850) of the $844,139,000 appropriated for CIPA remain available until September 30, 2003. On January 10, 2002, the

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President signed H.R. 2506, providing $135 million ($150 million requested) in voluntary contributions for the FY2002 PKO account under the Foreign Operations Act. On March 21, 2002, President Bush, in his Emergency FY2002 Supplemental Appropriations request (H.Doc. 107-195), included $43 million for the CIPA account, ―to meet projected increased costs for U.N. peacekeeping operations. The United States has a clear national interest in resolving multi-state conflicts and encouraging the evolution of stable democracies in countries in which U.N. peacekeeping missions are operational.‖ Congress provided $23,034,000 for ―increased assessments‖ for the U.N. operation in the Congo in H.R. 4775, which was signed on August 2, 2002 (P.L. 107-206). On September 30, 2002, the President signed the Foreign Relations Authorization Act, Fiscal Years 2002-2003 (P.L. 107-228), in which Congress authorized $844 million for U.S. assessed contributions in CIPA and amended provisions relating to 25% assessment level condition and cap on payment of U.S. assessed contributions to U.N. peacekeeping operations. On February 20, 2003, the President signed the FY2003 Consolidated Appropriations Resolution (P.L. 108-7), which provided $673,710,000 for the CIPA account ($725.9 million requested) and $120,250,000 for the PKO account ($108.8 million requested). The conferees provided that, as requested by the President, 15% of the amount in the CIPA account (approx. $101 million) be available through September 30, 2004. This was due to ―demonstrated unpredictability of the requirements ... from year to year and the nature of multi-year operations‖ with ―mandates overlapping the [U.S.] ... fiscal year.‖ On April 24, 2003, the Senate Foreign Relations Committee, in recommending S. 925, authorized, for FY2004, the requested $550.2 million to pay U.S. assessed contributions to U.N. peacekeeping accounts. The Committee set the assessment limit for U.S. peacekeeping contributions beyond CY2004 at 27.4%. The Committee also asked the Secretary of State to assess U.N. implementation of the Brahimi Panel recommendations on U.N. peacekeeping capabilities reform and U.S. support of U.N. progress in this area (S.Rept. 10839). On July 16, 2003, the House passed H.R. 1950, authorizing $550.2 million, as requested, for the CIPA account and setting the peacekeeping assessment cap for CY2005 and CY2006 at 27.1%. An authorization bill was not enacted in 2003. On July 23, 2003, the House passed H.R. 2799, appropriating for FY2004, the requested $550.2 million for CIPA. The Senate Appropriations Committee, on September 5, 2003, recommended $482,649,000 for the CIPA account (S. 1585). Committee and floor recommendations for the PKO account ranged from $84.9 million (S. 1426) to $85 million (H.R. 2800) to $110 million (H.R. 1950). The

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FY2004 Consolidated Appropriations bill, signed on January 23, 2004 (P.L. 108199), Div. B, provided $550,200,000 (including $454,842,000 in new direct appropriations and $95,358,000 in prior year unobligated balances) for the CIPA account and in Div. C, Foreign Operations, $74,900,000 for the PKO account. On November 6, 2003, the President had signed the Emergency Supplemental Appropriations for Defense and for Reconstruction of Iraq and Afghanistan for FY2004 (P.L. 108-106) which added $245 million to the CIPA account for assessed costs of U.N. peacekeeping in Liberia and $50 million to the PKO account to support multilateral peacekeeping needs in Iraq and Afghanistan. On July 1, 2004, the House Appropriations Committee reported H.R. 4754, including the State Department Appropriations bill for FY2005, providing $650 million, as requested, for the CIPA account. The bill does not include requested language to make a portion of appropriations under CIPA available for two fiscal years. On July 8, 2004, the House passed this bill, including the requested CIPA funds. On July 15, 2004, the House passed H.R. 4818, the Foreign Operations Appropriations Act, providing the requested $104 million for the PKO account. On September 15, 2004, the Senate Appropriations Committee reported S. 2809, including the State Department Appropriations bill, providing $574 million for the CIPA account and on September 16, 2004, the Committee reported S. 2812, providing the requested amount for the PKO account in Foreign Operations Appropriations. On September 23, 2004, the Senate, after incorporating S. 2812 into H.R. 4818 as an amendment, passed H.R. 4818, by voice vote. For FY2005, Congress provided $490 million for CIPA and $104 million for PKO (FY2005 Consolidated Appropriations Act, P.L. 108-447, December 8, 2004). The $490 million was reduced to $483,544,832 by an across-the-board cut of 0.80% and a Division B cut of 0.54%. The $104 million for the PKO account was cut 0.80% to $103,168,000. The peacekeeping assessment cap for CY2005 was set at 27.1% in P.L. 108-447. In 2005, the President signed H.R. 1268 (P.L. 109-13, May 11, 2005), an FY2005 Supplemental that provided $680 million for CIPA for FY2005 ($50 million of this was transferred to the PKO account, leaving $630 million available). On November 22, 2005, the President signed H.R. 2862 which included, in the State Department Appropriations Act, FY2006, the requested $1,035,500,000 for the CIPA account, of which 15% shall be available until September 30, 2007 (P.L. 109108). The actual amount available, after a recision, was $1,022,275,000. The Foreign Operations Appropriations Act, FY2006, was enacted, with $175 million for the PKO account (P.L. 109-102, November 14, 2005). On February 16, 2006, President Bush had requested, in an FY2006 supplemental, an additional $69.8 million for CIPA and $123 million for PKO, provided that such

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sums (of the PKO funds) as may be necessary may be transferred to and merged with CIPA for peacekeeping operations in Sudan. On June 15, 2006, Congress sent to the President H.R. 4939, providing $129.8 million for the CIPA account and $178 million for the PKO account.64 On December 26, 2007, the President had signed into law H.R. 2764, the Consolidated Appropriations Act, 2008, Division J of which was the Department of State, Foreign Operations and Related Programs Appropriations Act, FY2008.65 This Act provided $1,700,500,000 [$1,690,517,000] for the CIPA account and $263,230,000 [$261,381,000] for the PKO account.66 This compares with the President‘s request for FY2008 of $1,107,000,000 for U.S. assessed contributions to U.N. peacekeeping operations, in the CIPA account, and $221,200,000 for the PKO account. In addition, in October, the President had requested, in a FY2008 Supplemental, an additional $723,600,000 for CIPA, as emergency requirements.67 Thus, the President‘s CIPA request for FY2008 totaled $1,830,600,000. The Act also included language raising the peacekeeping assessment cap to 27.1% for assessments made in calendar year 2008. Payment of U.S. contributions to U.N. peacekeeping operations had been limited to a level of 25% for assessments made in calendar years 2006 and 2007.

APPENDIX A. U.N. PEACEKEEPING OPERATIONS: A CHRONOLOGICAL LIST Name of Operation U.N. Truce Supervision Organization in Palestine U.N. Military Observer Group in India and Pakistan

Acronym and Service Dates UNTSO 1948 UNMOGIP 1949

U.N. Emergency Force I

UNEF I 1956-1967

U.N. Observer Group in Lebanon U.N. Operation in the Congo

UNOGIL June-Dec. 1958 ONUC 1960-1964 UNSF Oct. 1962-Apr. 1963 UNYOM July 1963-Sept. 1964 UNFICYP 1964 DOMREP May 1965-Oct. 1966 UNIPOM Sept. 1965-Mar. 1966

U.N. Security Force in West New Guinea U.N. Yemen Observer Mission U.N. Peacekeeping Force in Cyprus Mission of Represent. of the Sec‘ty-Gen‘l in the Dominican Republic U.N. India/Pakistan Observer Mission U.N. Emergency Force II

UNEF II 1973-1979

U.N. Disengagement Observer Force

UNDOF 1974

Location Middle East Jammu, Kashmir and Pakistan Gaza; Egyptian side in Sinai — — West Irian — — — India-Pakistan border Suez Canal sector; Sinai Peninsula Israel-Syria: Golan Heights

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Name of Operation U.N. Interim Force in Lebanon U.N. Good Offices Mission in Afghanistan and Pakistan U.N. Iran-Iraq Military Observer Mission U.N. Angola Verification Mission U.N. Transition Assistance Group U.N. Observer Group in Central America

ONUCA Nov. 1989-Jan. 1992

Location Southern Lebanon — — — Namibia and Angola Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua

UNIKOM Apr. 1991-Oct. 6, 2003 ONUSAL May 1991-Apr. 1995 UNAVEM II May 1991Feb. 1995

—

U.N. Mission for the Referendum in Western Sahara

MINURSO Apr. 1991

—

U.N. Advance Mission in Cambodia

UNAMIC Oct. 1991-Mar. 1992

—

U.N. Protection Force

UNPROFOR Feb. 1992; March 1995-Jan. 1996

Former Yugoslavia: Croatia, Bosnia, ―Macedonia‖; B&H

U.N. Iraq-Kuwait Observation Mission U.N. Observer Mission in El Salvador U.N. Angola Verification Mission II

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Acronym and Service Dates UNIFIL 1978 UNGOMAP Apr. 1988Mar. 1990 UNIIMOG 1988-1991 UNAVEM Jan. 1989-May 1991 UNTAG Apr. 1989-Mar. 1990

U.N. Transitional Authority in Cambodia U.N. Operation in Somalia I U.N. Operation in Mozambique U.N. Operation in Somalia II U.N. Observer Mission Uganda-Rwanda U.N. Observer Mission in Georgia U.N. Observer Mission in Liberia U.N. Mission in Haiti U.N. Assistance Mission for Rwanda U.N. Aouzou Strip Observer Group U.N. Mission of Observers in Tajikistan U.N. Angola Verification Mission III

UNTAC Feb. 1992-Oct. 1994 UNOSOM Apr. 1992-Apr. 1993 ONUMOZ Dec. 1992-Jan. 1995 UNOSOM II May 1993March 1995 UNOMUR June 1993Sept. 1994 UNOMIG Aug. 1993 UNOMIL Sept. 1993Sept. 1997 UNMIH Sept. 1993-June 1996 UNAMIR Oct. 1993March 1996 UNASOG May 4-June 13, 1994 UNMOT Dec. 1994-May 15, 2000 UNAVEM III Feb. 1995-

— —

— — — — Uganda — — — — Chad and Libya — —

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U.N. Confidence Restoration Operation in Croatia U.N. Preventive Deployment Force U.N. Mission in Bosnia and Herzegovina (Includes Intl. Police Task Force (IPTF)) U.N. Transitional Administration for E. Slavonia, Baranja & W. Sirmium U.N. Mission of Observers in the Prevlaka U.N. Support Mission in Haiti U.N. Verification Mission in Guatemala U.N. Observer Mission in Angola U.N. Transition Mission in Haiti U.N. Civilian Police Mission in Haiti U.N. Civilian Police Support Group Croatia U.N. Mission in the Central African Republic

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U.N. Observer Mission in Sierra Leone U.N. Interim Administration Mission in Kosovo U.N. Observer Mission in the Democratic Republic of the Congo

June 1997 UNCRO March 1995-Jan. 1996 UNPREDEP March 1995Feb. 1999 UNMIBH Dec. 1995-Dec. 31, 2002 UNTAES Jan. 1996Jan.1998 UNMOP Jan. 1996-Dec. 15, 2002 UNSMIH June 1996-July 1997 MINUGUA Jan. 20-May 1997 MONUA July 1997-Feb. 1999 UNTMIH Aug.-Nov. 1997 MIPONUH Dec.1997March 2000 UNPSG Jan.-Oct. 15, 1998 MINURCA March 27, 1998-Feb. 15, 2000 UNOMSIL July 1998-Oct. 1999

— ―Macedonia‖ Bosnia & Herzegovina Croatia Croatia — — — — — — — —

UNMIK June 10, 1999

—

MONUC Aug. 6, 1999

—

U.N. Mission in Sierra Leone

UNAMSIL Oct. 22, 1999Dec. 31, 2005

—

U.N. Transitional Administration in East Timor

UNTAET 1999-2002

—

UNMEE Sept. 15, 2000July 31, 2008 UNMISET May 20, 2002May 20, 2005 UNMIL Sept. 19, 2003 UNOCI April 4, 2004 ONUB June 1, 2004Dec. 31, 2006 UNMIS March 24, 2005 UNMIT August 25, 2006 MINUSTAH June 1, 2004 UNAMID July 31, 2007; started December 31, 2007 MINURCAT September 25, 2007

—

U.N. Mission in Ethiopia and Eritrea U.N. Mission of Support in East Timor U.N. Mission in Liberia U.N. Mission in Cote d’Ivoire U.N. Operation in Burundi U.N. Mission in the Sudan U.N. Integrated Mission in Timor-Leste U.N. Stabilization Mission in Haiti African Union/United Nations Hybrid Operation in Darfur U.N. Mission in the Central African Republic and Chad

— — — — — — — Darfur, Sudan Chad and the Central African Republic

Note: The Names of Operations in bold are still in existence.

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APPENDIX B. U.N. PEACEKEEPING OPERATIONS: NUMBERS CREATED ANNUALLY, 1948-2008 Year — Number 1948 — one 1949 — one 1956 — one 1958 — one

1960s — six

1970s — three

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1988 — two

1989 — three

1991 — five

1992 — four

1993 — six

Operation and Dates U.N. Truce Supervision Organization in Palestine (UNTSO) 1948 U.N. Military Observer Group in India and Pakistan (UNMOGIP) 1949 U.N. Emergency Force I (UNEF I) 1956-1967 U.N. Observer Group in Lebanon (UNOGIL) June-Dec. 1958 U.N. Operation in the Congo (ONUC) 1960-1964 U.N. Security Force in West New Guinea (UNSF) Oct. 1962-Apr. 1963 U.N. Yemen Observer Mission (UNYOM) July 1963-Sept. 1964 U.N. Peacekeeping Force in Cyprus (UNFICYP) 1964Mission of Representative of the Secretary- General in the Dominican Republic (DOMREP) May 1965-Oct. 1966 U.N. India/Pakistan Observer Mission (UNIPOM) Sept. 1965-Mar. 1966 U.N. Emergency Force II (UNEF II) 1973-1979 U.N. Disengagement Observer Force (UNDOF) 1974U.N. Interim Force in Lebanon (UNIFIL) 1978 U.N. Good Offices Mission in Afghanistan and Pakistan (UNGOMAP) Apr. 1988-Mar. 1990 U.N. Iran-Iraq Military Observer Mission (UNIIMOG) 1988-1991 U.N. Angola Verification Mission (UNAVEM) Jan. 1989-May 1991 U.N. Transition Assistance Group (UNTAG) Apr. 1989-Mar. 1990 U.N. Observer Group in Central America (ONUCA) Nov. 1989-Jan. 1992 U.N. Iraq-Kuwait Observation Mission (UNIKOM) Apr. 1991-Oct. 6, 2003 U.N. Observer Mission in El Salvador (ONUSAL) May 1991-Apr. 1995 U.N. Angola Verification Mission II (UNAVEM II) May 1991-Feb. 1995 U.N. Mission for the Referendum in Western Sahara (MINURSO) Apr. 1991 U.N. Advance Mission in Cambodia (UNAMIC) Oct. 1991-Mar. 1992 U.N. Protection Force (UNPROFOR) Feb. 1992; March 1995-Jan. 1996 U.N. Transitional Authority in Cambodia (UNTAC) Feb. 1992-Oct. 1994 U.N. Operation in Somalia I (UNOSOM) Apr. 1992-Apr. 1993 U.N. Operation in Mozambique (ONUMOZ) Dec. 1992-Jan. 1995 U.N. Operation in Somalia II (UNOSOM II) May 1993-March 1995 U.N. Observer Mission Uganda-Rwanda (UNOMUR) June 1993-Sept. 1994 U.N. Observer Mission in Georgia (UNOMIG) Aug. 1993 U.N. Observer Mission in Liberia (UNOMIL) Sept. 1993-Sept. 1997 U.N. Mission in Haiti (UNMIH) Sept. 1993-June 1996 U.N. Assistance Mission for Rwanda (UNAMIR) Oct. 1993-March 1996

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1994 — two

1995 — four

1996 — three

1997 — four

1998 — three

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1999 — four

2000 — one 2002 — one 2003 — two 2004 — three 2005 — one 2006 — one 2007 — two

107

U.N. Aouzou Strip Observer Group (UNASOG) May 4-June 13, 1994 U.N. Mission of Observers in Tajikistan (UNMOT) Dec. 1994-May 15, 2000 U.N. Angola Verification Mission III (UNAVEM III) Feb. 1995-June 1997 U.N. Confidence Restoration Operation in Croatia (UNCRO) March 1995Jan. 1996 U.N. Preventive Deployment Force (UNPREDEP) March 1995-Feb. 1999 U.N. Mission in Bosnia and Herzegovina (Includes Intl. Police Task Force (IPTF)) (UNMIBH) Dec. 1995-Dec. 31, 2002 U.N. Transitional Administration for E. Slavonia, Baranja & W. Sirmium (UNTAES) Jan. 1996-Jan.1998 U.N. Mission of Observers in the Prevlaka (UNMOP) Jan. 1996-Dec. 15, 2002 U.N. Support Mission in Haiti (UNSMIH) June 1996-July 1997 U.N. Verification Mission in Guatemala (MINUGUA) Jan. 20-May 1997 U.N. Observer Mission in Angola (MONUA) July 1997-Feb. 1999 U.N. Transition Mission in Haiti (UNTMIH) Aug.-Nov. 1997 U.N. Civilian Police Mission in Haiti (MIPONUH) Dec.1997-March 2000 U.N. Civilian Police Support Group - Croatia (UNPSG) Jan.-Oct. 15, 1998 U.N. Mission in the Central African Republic (MINURCA) March 27, 1998-Feb. 15, 2000 U.N. Observer Mission in Sierra Leone (UNOMSIL) July 1998-Oct. 1999 U.N. Interim Administration Mission in Kosovo (UNMIK) June 10, 1999-a U.N. Observer Mission in the Democratic Republic of the Congo (MONUC) Aug. 6, 1999 U.N. Mission in Sierra Leone (UNAMSIL) Oct. 22, 1999-Dec. 31, 2005 U.N. Transitional Administration in East Timor (UNTAET) 1999-2002 U.N. Mission in Ethiopia and Eritrea (UNMEE) Sept. 15, 2000-July 31, 2008 U.N. Mission of Support in East Timor (UNMISET) May 20, 2002 U.N. Mission in Cote d‘Ivoire (MINUCI) May 2003April 2004 U.N. Mission in Liberia (UNMIL) Sept. 19, 2003 U.N. Mission in Cote d’Ivoire (UNOCI) April 4, 2004 U.N. Operation in Burundi (ONUB) June 1, 2004-Dec. 31, 2006 U.N. Stabilization Mission in Haiti (MINUSTAH) June 1, 2004 U.N. Mission in the Sudan (UNMIS) March 24, 2005 U.N. Integrated Mission in Timor-Leste (UNMIT) August 25, 2006 U.N. Mission in the Central African Republic and Chad (MINURCAT) September 25, 2007 African Union/United Nations Hybrid Operation in Darfur (UNAMID) July 31, 2007 [December 31, 2007)

Note: The names of operations in bold are still in existence.

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APPENDIX C. UNITED NATIONS PEACEKEEPING OVER THE YEARS: STATISTICAL DATA FOR COMPARATIVE ANALYSIS, 1978-2008

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Year

1978 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

No. of Operations as of 12/31 6 7 10 8 11 13 17 17 16 16 15 16 17 15 15 13 13 16 15 15 17 16 (as of 9/30)

U.N. Costs Calendar Year in US $ 202,000,000 266,000,000 635,000,000 464,000,000 490,000,000 1,767,000,000 3,059,000,000 3,342,000,000 3,364,000,000 1,405,000,000 1,160,000,000 995,000,000 1,324,000,000 2,139,000,000 2,700,000,000 2,702,000,000 2,727,000,000 3,645,000,000 4,737,000,000 not available not available not available

U.N. Personnela

16,700 13,000 17,900 13,700 15,300 52,200 78,744 (7/31) 78,111 (9/30) 68,894 (8/31) 29,140 (1/31) 24,952 (1/31) 14,347 (11/30) 18,460 38,501 (11/30) 47,108 46,799 (4/30) 45,815 64,720 70,103 80,368 84,309 88,754 (as of 9/30)

U.S. Contribution CY, in U.S. $ 61,572,000 36,712,000 173,312,000 132,004,101 144,016,219 544,592,595 794,237,165 991,400,000 411,137,688 333,958,992 372,570,005 245,971,114 237,401,601 518,583,902 1,328,471,746 794,235,696 651,584,282 1,160,431,052 1,161,345,476 1,118,372,949 not available not available

U.S. Personnel, as of 12/31

87 436 2,629 963 2,851 759 644 583 as of 11/30 677 885 750 631 518 429 387 324 316 309 (as of 9/30)

Sources of Data in Appendix C: Number of Operations United Nations and Appendix A. U.N. Costs Global Policy Forum, New York, [http://www.globalpolicy.org/finance/tables/pko/ expendarrears.htm] United Nations Department of Peacekeeping Operations U.N. Personnel United Nations, Department of Peacekeeping Operations, [http://www.un.org/Depts/ dpko/dpko/] Global Policy Forum, [http://www.globalpolicy.org/security/peacekpg/ data/pcekprs.htm] U.S. Contributions U.N. document: Status of Contributions, as of 31 December of any given year, ST/ADM/SER.B./ — U.S. Personnel U.N. Department of Peacekeeping Operations, [http://www.un.org/Depts/dpko/dpko/] a. Figure is as of December 31, unless highest of year is very different. In 1993, 12/31 figure is 69,961; in 1994, 12/31 is 69,356. In 1996, 12/31 figure is 24,919; in 1997, 12/31 is 14,879. In 2002, 12/31 figure is 39,652.

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APPENDIX D. U.N. PEACEKEEPING: STATUS OF U.S. ASSESSED CONTRIBUTIONS FOR CALENDAR YEAR 2006 (AS OF DECEMBER 31, 2006) (IN U.S. DOLLARS) Arrears as of 12/31/05 CURRENT OPERATIONS UNDOF (Middle 9,547,922 East) Name of Operation

11,383,937

UNIFIL (Lebanon)

49,133,032

24,059,941

MINURSO (W. Sahara)

46,292,356

8,067,075

UNFICYP (Cyprus)

11,185,065

6,759,756

UNOMIG (Georgia) 5,832,236

8,694,487

UNMIK (Kosovo)

32,605,948

30,350,278

237,268,962

151,955,730

4,617,849

38,803,163

UNMIL (Liberia)

0

150,263,782

UNOCI (Cote d‘Ivoire)

7,672,964

104,409,106

MINUSTAH (Haiti)

7,731,806

121,874,560

ONUB (Burundi)

9,883,508

67,795,938

UNMIS (Sudan)

120,481,581

214,472,520

MONUC (DR Congo) UNMEE (Ethiopia/Eritrea) Copyright © 2010. Nova Science Publishers, Incorporated. All rights reserved.

2006 Assessments

CLOSED OPERATIONS UNIKOM 4,195,464 (Iraq, Kuwait) UNMIBH 33,825,345 (Bosnia & Herz.) MONUA 34,794,215 (Angola) UNPROFOR 43,492,191 (former Yugoslavia) UNAMIR (Rwanda) 341,372 UNTAC 11,465,637 (Cambodia) UNTAES (Croatia) 8,699,793 (includes CPSG)

Payments in 2006 (Paid + Credits = Total) 10,165,762 + 525,548 CR = 10,691,220 26,037,442 + 2,335,778 CR = 28,373,220 11,325,597 + 393,029 CR = 11,718,626 6,033,957 + 230,780 CR = 6,264,737 5,865,412 + 491,525 CR = 3,356,937 25,819,150 + 2,762,115 CR = 28,581,265 262,844,000 + 18,222,997 CR = 281,066,997 16,912,846 + 8,520,434 CR = 25,433,280 72,294,273 + 28,700,359 CR = 100,994,632 90,676,151 + 15,206,338 CR = 105,882,489 85,264,664 + 1,761,261 CR = 87,025,925 71,859,532 + 8,384,028 CR = 80,243,500 313,492,800 + 743,023 CR = 314,235,823

Outstanding as of 12/31 10,240,549 44,819,753 42,640,805 11,680,084 8,169,786 34,374,961 108,157,695 17,987,632 49,269,150 6,199,581 42,580,441 14,203,942 20,718,278

not applicable

3,748,871 CR = 3,748,871

446,593

not applicable

0

33,825,345

not applicable

0

34,794,215

not applicable

0

43,492,191

not applicable

0

341,372

not applicable

0

11,465,637

not applicable

0

8,699,793

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Marjorie Ann Browne Table. (Continued)

Name of Operation

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UNPREDEP (Macedonia) UNTMIH/MIPONU H (Haiti) MINURCA (Central African Republic) UNOSOM II ONUMOZ (Mozambique) UNAMSIL (Sierra Leone) UNTAET (E. Timor)

Arrears as of 12/31/05

2006 Assessments

Payments in 2006 (Paid + Credits = Total)

Outstanding as of 12/31

1,232,081

not applicable

0

1,232,081

19,385,377

not applicable

0

19,385,377

35,538,048

not applicable

0

35,538,048

20,340,516

not applicable

0

20,340,516

6,680,111

not applicable

0

6,680,111

29,051,537

not applicable

26,309,887 CR = 26,309,887

2,741,650

32,031,356

not applicable

4,445,390 CR = 4,445,390

27,585,966

TOTALS

823,326,272

938,890,273

Regular Budget

251,851,905

423,464,855

995,591,586 + 122,781,363 CR = 1,118,372,949 383,908,137

657,611,552 291,408,623

Sources: United Nations. Status of Contributions, as of December 31, 2005, and December 31, 2006. Notes: Total Paid includes $122,781,363 in credits applied to the accounts of current operations. These credits are from unencumbered balances and applied per resolutions of the U.N. General Assembly and/or as the contributing member state requests. The Outstanding columns do not include $6,090,877 in contributions outstanding for UNAMET (E. Timor) and $144,390 in contributions outstanding for MINUGUA (Guatemala). Both these operations were primarily under the control of the Department of Political Affairs rather than the Department of Peacekeeping Operations. Credits totaling $17,893,368 were available for the United States but not used, as of December 31, 2006, for five operations: UNTAG (Namibia): $11,991,064; ONUSAL (El Salvador): $2,677,182; UNMIH (Haiti): $1,448,861; UNOMIL (Liberia): $883,052; and UNMOT (Tajikistan): $893,209. 2006 assessments figure is for bills received during CY2006.

APPENDIX E. U.N. PEACEKEEPING: STATUS OF U.S. ASSESSED CONTRIBUTIONS FOR CALENDAR YEAR 2005 (AS OF DECEMBER 31, 2005) (IN U.S. DOLLARS) Arrears as of 12/31/04 CURRENT OPERATIONS UNDOF (Middle 9,547,922 East) Name of Operation

2005 Assessments 11,489,156

UNIFIL (Lebanon)

33,944,819

26,145,644

MINURSO (W. Sahara)

45,757,724

12,560,662

Payments in 2005 (Paid + Credits = Total)

Outstanding as of 12/31

11,063,876 + 425,280 CR = 9,547,922 11,489,156 8,698,650 + 2,258,781 CR = 49,133,032 10,957,431 10,992,403 + 1,033,627 CR 46,292,356 = 12,026,030

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252,426,299

7,369,168 + 187,160 CR = 7,556,328 9,040,588 + 294,685 CR = 9,335,273 40,832,296 + 14,427,214 CR = 55,259,510 73,932,842 + 1,193,046 CR = 75,125,888 10,582,746 + 4,821,802 CR = 15,404,548 284,593,111 + 8,764,192 CR = 293,357,303 46,281,571 + 5,387,258 CR = 51,668,829 146,922,081 + 4,546,547 CR = 151,468,628 101,458,849 + 3,557,492 CR = 105,016,341 133,342,343 + 3,924,428 CR = 137,266,771 90,941,118 + 2,527,604 CR = 93,468,722 131,944,718

not applicable

0

4,195,464

not applicable

0

33,825,345

not applicable

0

34,794,215

not applicable

0

43,492,191

not applicable not applicable

0 0

341,372 11,465,637

not applicable

0

8,699,793

not applicable

0

1,232,081

not applicable

0

19,385,377

not applicable

0

35,538,048

not applicable

0

20,340,516

not applicable

0

6,680,111

UNFICYP (Cyprus)

15,046,190

3,695,203

UNOMIG (Georgia)

5,832,236

9,335,273

UNAMSIL (Sierra Leone)

54,208,472

30,102,575

UNMIK (Kosovo)

32,605,948

75,125,888

UNTAET (E. Timor)

46,970,273

465,631

MONUC (DR Congo) 109,117,869

421,508,396

UNMEE (Ethiopia/Eritrea)

4,617,849

51,668,829

UNMIL (Liberia)

0

151,468,628

UNOCI (Cote d‘Ivoire)

24,607,928

88,081,377

MINUSTAH (Haiti)

48,214,389

96,784,188

ONUB (Burundi)

52,257,852

51,094,378

UNMIS (Sudan) not applicable CLOSED OPERATIONS UNIKOM (Iraq, 4,195,464 Kuwait) UNMIBH (Bosnia & 33,825,345 Herz.) MONUA (Angola) 34,794,215 UNPROFOR (former 43,492,191 Yugoslavia) UNAMIR (Rwanda) 341,372 UNTAC (Cambodia) 11,465,637 UNTAES (Croatia) 8,699,793 (includes CPSG) UNPREDEP 1,232,081 (Macedonia) UNTMIH/MIPONUH 19,385,377 (Haiti) MINURCA (Central 35,538,048 African Republic) UNOSOM II 20,340,516 ONUMOZ 6,680,111 (Mozambique)

111

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11,185,065 5,832,236 29,051,537 32,605,948 32,031,356 237,268,962 4,617,849 0 7,672,964 7,731,806 9,883,508 120,481,581

112

Marjorie Ann Browne Appendix E. (Continued)

Payments in 2005 Outstanding (Paid + Credits = Total) as of 12/31 1,107,996,360 + 53,349,116 TOTALS 702,719,621 1,281,952,127 823,326,272 CR = 1,161,345,476 Regular Budget 240,520,860 439,611,612 428,280,567 251,851,905 Sources: United Nations. Status of Contributions, as of December 31, 2004, and December 31, 2005. Notes: Total Paid includes $53,349,116 in credits applied to the accounts of current operations. These credits are from unencumbered balances and applied per resolutions of the U.N. General Assembly and/or as the contributing member state requests. The Outstanding columns do not include $6,090,877 in contributions outstanding for UNAMET (E. Timor) and $144,390 in contributions outstanding for MINUGUA (Guatemala). Both these operations were primarily under the control of the Department of Political Affairs rather than the Department of Peacekeeping Operations. Credits totaling $17,893,368 were available, as of December 31, 2005, for the United States for five operations: UNTAG (Namibia): $11,991,064; ONUSAL (El Salvador): $2,677,182; UNMIH (Haiti): $1,448,861; UNOMIL (Liberia): $883,052; and UNMOT (Tajikistan): $893,209. 2005 assessments figure is for bills received during CY2005.

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Name of Operation

Arrears as of 12/31/04

2005 Assessments

APPENDIX F. U.N. PEACEKEEPING: STATUS OF U.S. ASSESSED CONTRIBUTIONS FOR CALENDAR YEAR 2004 (AS OF DECEMBER 31, 2004) (IN U.S. DOLLARS) Arrears as of 12/31/03 CURRENT OPERATIONS UNDOF (Middle 9,547,922 East) Name of Operation

2004 Assessments 11,319,478

UNIFIL (Lebanon)

43,086,385

27,756,248

MINURSO (W. Sahara)

41,847,257

15,556,030

UNFICYP (Cyprus)

11,185,065

10,974,723

UNOMIG (Georgia)

5,832,236

9,504,531

UNAMSIL (Sierra Leone)

29,051,537

151,213,452

UNMIK (Kosovo)

32,605,948

118,025,210

UNTAET (E. Timor)

31,853,058

54,813,924

10,473,943

245,887,340

4,617,849

67,014,457

MONUC (DR Congo) UNMEE

Payments in 2004 (Paid + Credits = Total) 10,810,260 + 509,218 CR = 11,319,478 12,551,792 + 24,346,022 CR = 36,897,814 10,042,459 + 1,603,104 CR = 11,645,562 6,842,744 + 270,854 CR = 7,113,598 8,401,568 + 1,102,962 CR = 9,504,530 118,726,153 + 7,330,364 CR = 126,056,517 115,115,953 + 2,909,257 CR = 118,025,210 35,769,688 + 3,927,021 CR = 39,696,709 111,312,570 + 35,930,844 CR = 147,243,414 60,415,945 + 6,598,512 CR

Outstanding as of 12/31 9,547,922 33,944,819 45,757,724 15,046,190 5,832,236 54,208,472 32,605,948 46,970,273 109,117,869 4,617,849

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(Ethiopia/Eritrea) = 67,014,457 UNMIL (Liberia) not applicable 380,841,360 380,841,360 0 UNOCI (Cote not applicable 106,631,162 82,023,234 24,607,928 d‘Ivoire) MINUSTAH (Haiti) not applicable 107,371,405 59,157,016 48,214,389 ONUB (Burundi) not applicable 93,890,282 41,632,430 52,257,852 CLOSED OPERATIONS UNIKOM (Iraq, 5,352,181 not applicable 1,156,717 CR 4,195,464 Kuwait) UNMIBH (Bosnia & 38,359,814 not applicable 4,534,469 CR 33,825,345 Herzegovina) MONUA (Angola) 41,309,040 not applicable 6,514,825 CR 34,794,215 UNPROFOR (former 45,333,637 not applicable 1,841,446 CR 43,492,191 Yugoslavia) UNOMIL (Liberia) 1,090,869 not applicable 1,090,869 CR (883,052) UNAMIR (Rwanda) 4,257,231 not applicable 3,915,859 CR 341,372 UNMOT (Tajikistan) 219,791 not applicable 219,791 CR (893,209) UNTAES (Croatia) 10,713,712 not applicable 2,013,919 CR 8,699,793 (includes CPSG) UNPREDEP 2,203,908 not applicable 971,827 CR 1,232,081 (―Macedonia‖) UNTMIH and 19,385,377 not applicable 0 19,385,377 MIPONUH (Haiti) MINURCA (Central 35,538,048 not applicable 0 35,538,048 African Republic) UNTAC (Cambodia) 11,465,637 not applicable 0 11,465,637 UNOSOM II 20,340,516 not applicable 0 20,340,516 (Somalia) ONUMOZ 6,680,111 not applicable 0 6,680,111 (Mozambique) TOTALS 497,326,681 1,400,799,282 1,160,431,052 702,719,621 Regular Budget 267,960,871 362,852,996 390,293,007 240,520,860 Sources: United Nations. Status of Contributions, as of December 31, 2003, and December 31, 2004. Notes: Total Paid includes $1,053,643,172 in actual payments and $106,787,880 in credits applied against outstanding contributions. These credits are from unencumbered balances and applied per resolutions of the U.N. General Assembly and/or as the contributing member state requests. The Outstanding columns do not include $6,090,877 in contributions outstanding for UNAMET (E. Timor) and $144,390 in contributions outstanding for MINUGUA (Guatemala). Both these operations were primarily under the control of the Department of Political Affairs rather than the Department of Peacekeeping Operations. Credits totaling $17,863,368 were available, as of December 31, 2004, for the United States for five operations: UNTAG (Namibia): $11,991,064; ONUSAL (El Salvador): $2,677,182; UNMIH (Haiti): $1,418,861; UNOMIL (Liberia): $883,052; and UNMOT (Tajikistan): $893,209. UNOMIL and UNMOT are listed as credits under Contributions Outstanding, as of 12/31/04, within parenthesis. 2004 assessments figure is for bills received during CY2004.

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End Notes 1

P.L. 110-329. See text at [http://www.fas.org/irp/offdocs/pdd25.htm]. 3 These figures are taken from Peacekeeping Operations Expenditures: 1947-2005, a table compiled by Michael Renner (Senior Researcher, Worldwatch Institute and Global Policy Forum), found at [http://www.globalpolicy.org/finance/tables/pko/expend.htm]. 4 U.S. Department of State. Congressional Budget Justification. Fiscal Year 2009, p. 757. Found at [http://www.state.gov/documents/organization/100326.pdf]. 5 Congressional Record [daily edition], June 19, 2008: H5676. 6 Congressional Record [daily edition], June 19, 2008: H5680. 7 S.Rept. 110-425, pages 23-24. 8 S.Rept. 110-425, pages 23-24. 9 S.Rept. 110-425, page 23. 10 According to OMB Bulletin No. 08-02, dated September 30, 2008, the percentage of the year covered by the CR is 43.01 percent.. 11 Each of these tribunals is funded from both the CIPA account and the Contributions to International Organizations (CIO) account. See CRS Report RL33611, United Nations System Funding: Congressional Issues, by Marjorie Ann Browne and Kennon H. Nakamura. 12 H.Rept. 110-197, p. 32-35, and 127-130. 13 H.R. 2764, as reported, sec. 684. 14 H.Rept. 110-197, p. 33. 15 S.Rept. 110-128, p. 19-20 and 67-68. 16 The FY2008 Emergency Supplemental request did not include additional funds for the PKO account. 17 The Budget for Fiscal Year 2008; Appendix volume, p. 1172 18 H.Rept. 110-60, pp. 196-197, 205-206. The CIPA account included $184 million for UNIFIL, $16 million for UNMIT, and $88 million for a potential Chad mission. The PKO account included $40 million for Somalia, $150 million for the AU operation in Sudan (AMIS), and $35 million for security sector reform in Liberia. 19 S.Rept. 110-37 and S. 965, p. 37, 44-45. 20 For further background, see CRS Report RL33185, Liberia’s Post-War Recovery: Key Issues and Developments, by Nicolas Cook. 21 S.Rept. 109-277. 22 Holbrooke, Richard C. Permanent Representative of the United States to the United Nations. Prepared Statement, January 9, 2001. In U.S. Congress. Senate. Committee on Foreign Relations. A Report on the United Nations Reforms. Hearing, 107th Congress, 1st Session, January 9, 2001. Washington, DC, U.S. Government Printing Office, 2001. (S. Hrg. 107-15) p. 15-19. 23 U.S. Congress. House. Conference Report to Accompany H.R. 5122. H.Rept. 109-702 (109th Congress, 2nd session), p. 826. 24 S.Rept. 110-130. 25 Ibid., p. 3. 26 Added in Department of State Appropriations Act, 2006, Title IV of P.L. 109-108 (H.R. 2862), November 22, 2005 [119 Stat. 2323]. This report is sent to Congress on a semiannual basis. 27 See discussion of U.N. peacekeeping operations and concepts in Simma, Bruno. The Charter of the United Nations; a Commentary; Second Edition. New York, Oxford University Press, 2002. Vol. I, pages 648-700. Simma places this discussion between Chapters VI and VII of the U.N. Charter. U.N. peacekeeping operations have often been referred to as Chapter VI and ½ operations. See also [http://www.un.org/Depts/dpko/dpko/ faq/] for a 28-page brochure of questions and answers on U.N. peacekeeping.

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See How is UN peacekeeping financed? and Peacekeeping budgets at [http://www.un.org/ga/fifth/pkofinancing.shtml]. Link to Assembly Resolution 49/233 A (December 22, 1994) is available under Peacekeeping budgets. A new session of the Assembly starts in September of each year and meets daily through mid to late December. Most of the issues on the Assembly‘s agenda are considered and acted on during this three-month period, usually referred to as the main part of the session. Peacekeeping items are, for the most part, considered the following May. 29 United Nations. Implementation of the recommendations of the Special Committee on Peacekeeping Operations. Report of the Secretary-General. New York, United Nations, 2007. U.N. document A/61/668, p. 3. 30 U.N. document A/55/305-S/2000/809, p. 2, para. 10. 31 UNAMA is U.N. Assistance Mission in Afghanistan; UNIOSIL is the U.N. Integrated Office in Sierra Leone, and BINUB is the U.N. Integrated Office in Burundi. See United Nations Peacekeeping Operations Fact Sheet at [http://www.un.org/Depts/dpko/dpko/ bnote.htm]. 32 See CRS Report RL31120, Peacekeeping: Military Command and Control Issues, by Edward F. Bruner and Nina M. Serafino, for discussion of foreign command issues. 33 See [http://www.state.gov/p/inl/civ] for information and links. 34 This is now the Department of State, Foreign Operations, and Related Programs Appropriations Act. 35 On December 3, 1992, the Security Council acted, under Chapter VII of the U.N. Charter, to authorize the Secretary-General and Member States cooperating ―to use all necessary means to establish as soon as possible a secure environment for humanitarian relief operations in Somalia.‖ The result was the Unified Task Force (UNITAF), a U.N.authorized operation under a U.S.-led unified command. This was not a U.N. peacekeeping operation, but cooperated with the U.N. operation in Somalia (UNOSOM). UNITAF ended on May 4, 1993. 36 See [http://www.un.org/Depts/dpko/dpko/reports.htm] , for the reports: S/1999/1257, on Rwanda; and A/54/549 on Srebrenica. 37 Voluntary payments by Cyprus and Greece reduce the totals required from assessed contributions. 38 Statement by Council President, January 31, 1992. This was the first Council meeting at the ―Summit‖ level. Heads of state and government from 13 of the 15 member states attended; two Council members were represented at the foreign minister level. Yearbook of the United Nations, 1992, p. 34. Also, U.N. document number S/23500. 39 The report, U.N. document number A/47/277-S/24111, can be found at [http://www.un.org/Docs/SG/agpeace.html]. 40 A/47/277, para. 50, p. 14-15. 41 October 29, 1992, on stand-by arrangements for more rapid access to peacekeeping personnel; November 30, 1992, on fact-finding and preventive diplomacy; December 30, 1992, on special economic problems associated with imposition of sanctions; January 28, 1993, on cooperation with regional arrangements and organizations; February 26, 1993, on humanitarian assistance and its relationship to peacemaking, peacekeeping, and peace-building; March 31, 1993, on the safety of U.N. forces and personnel; April 30, 1993, on post-conflict peace-building; and May 28, 1993, on U.N. peacekeeping operations. 42 The Informal Open-Ended Working Group on an Agenda for Peace was created in 1992 and stopped meeting in 1996. As the title indicated, participation was open to the entire U.N. membership. See [http://www.globalpolicy.org/reform/wkgrplst.htm]. The Special Committee on Peacekeeping Operations was created by U.N. General Assembly Resolution 2006 (XIX) in 1965 to undertake a comprehensive review of peacekeeping operations. Its membership, expanded in 1996, numbered 124 member states in 2006. 43 See text of the nearly 70-page report at [http://www.un.org/peace/reports/ peace_operations/]. 44 High-Level Panel on Threats, Challenges, and Change. A More Secure World: Our Shared Responsibility. United Nations, 2004. p. 68-69. See [http://www.un.org/ secureworld/]. 45 In Larger Freedom: Towards Development, Security and Human Rights for All. Report of the Secretary-General. U.N. document A/59/2005 at [http://www.un.org/largerfreedom/].

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46

Media reports on this issue throughout 2004 and even earlier had led Annan in July 2004 to ask the Permanent Representative of Jordan, His Royal Highness Prince Zeid Ra‘ad Zeid Al-Hussein to act as his adviser and to assist in addressing the problem. After the U.N. Special Committee on Peacekeeping Operations, in its 2005 report, asked Annan for a ―comprehensive report with recommendations on sexual exploitation and abuse by U.N. peacekeeping personnel, Annan asked Prince Zeid to prepare the report, which was issued on March 24, 2005. See U.N. document A/59/710, at [http://www.un.org/Depts/dpko/CDT/ reforms.html]; includes links to statements, reports, and related materials. 47 Special Measures for Protection from Sexual Exploitation and Sexual Abuse. Reportof the Secretary-General. U.N. document A/61/957, p. 7. 48 Taken from U.N. News Service, May 29, 2007. Formal discipline standards for peacekeepers needed, say UN official. Available at [http://www.un.org/apps/news/ printnews.asp?nid=22720]. See also Press Conference on International Day of United Nations Peacekeepers, May29, 2007. Available at [http://www.un.org/News/briefings/docs/ 2007/070529_Guehenno.doc.htm] 49 U.N. Press Release GA/10605, dated July 24, 2007, p. 1. 50 On January 5, 2007, U.N. Assistant Secretary-General for Peacekeeping Operations Jane Holl Lute noted that between January 2004 and the end of November 2006, investigations completed against 319 peacekeeping personnel in all missions, resulted in summary dismissals of 18 civilians and the repatriation of 17 police and 144 military personnel. U.N. Press Briefing, January 5, 2007. 51 A/RES/62/214. 52 USUN Press Release # 392 (07), available at [http://www.usunnewyork.usmission.gov/press_ releases/20071221_392.html] 53 USUN Press Release # 110 (08), available at [http://www.usunnewyork.usmission.gov/press_ releases/20080508_110.html] 54 USUN Press Release #154 (08), available at [http://www.usunnewyork.usmission.gov/press_ releases/20080619_154.html]. 55 Letter dated 15 February 2007 from the Secretary-General addressed to the President of the General Assembly. U.N. document A/61/749*, see especially Annex I, p. 3-18. 56 Note that the name of the DPKO was not changed to the Department of Peace Operations. 57 A/RES/61/279, Strengthening the capacity of the United Nations to manage and sustain peacekeeping operations. The Department was established in July 2007. 58 See the 54-page report of the Advisory Committee on Administrative and Budgetary Questions for a detailed accounting of the Assembly response to the Secretary-General‘s proposals, as detailed further in his follow-on reports: U.N. document A/61/937. 59 Speech on September 27, 1993, in Public Papers of the Presidents. William J. Clinton, 1993, vol 2, p. 1612-1618. 60 Holbrooke, Richard C. U.S. Permanent Representative to the United Nations, 5th Committee (on Administrative and Budgetary Questions), May 16, 2000. USUN (U.S. Mission to the United Nations). Press Release #62 (00). 61 See text at [http://www.usip.org/un/report/usip_un_report.pdf]. 62 S. 2560, ―A bill to reclassify the cost of international peacekeeping activities from international affairs to national defense‖ Introduced, April 9, 1992, Senator Paul Simon, 102nd Congress. Hearings held, June 9, 1992, Senate Committee on Governmental Affairs. 63 Letter to Congressional Leaders Transmitting the Report on the Recommendations of the United Nations Secretary-General, January 19, 1993. Letter at [http://bushlibrary.tamu.edu/research/public_papers.php?id=5197&year=1993&month=all]. 64 Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006, H.R. 4939, P.L. 109-234, signed June 15, 2006. 65 P.L. 110-161. 66 An across-the-board rescission reduced the amount available. The figure in brackets represents the amount available after application of the rescission.

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FY2008 Supplemental, for U.S. assessed contributions to the AU/U.N. Hybrid Operation in Darfur (UNAMID). Congress provided, in H.R. 2764, $468 million in emergency funding in the CIPA account. An additional $333,600,000 remains pending in an emergency supplemental before Congress.

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In: United Nations Peacekeeping in the 21st Century ISBN: 978-1-60741-562-6 Editor: Efram R. Isely © 2010 Nova Science Publishers, Inc.

Chapter 3

UNITED NATIONS PEACEKEEPING: LINES OF AUTHORITY FOR FIELD PROCUREMENT REMAIN UNCLEAR, BUT REFORMS HAVE ADDRESSED SOME ISSUES

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Government Accountability Office WHY GAO DID THIS STUDY The United States is the largest financial contributor to United Nations (UN) peacekeeping operations—providing about $1.4 billion in 2008 (about 26 percent of the total UN peacekeeping assessed budget)—and has a strong interest in the efficient and effective management of these operations. The size and scope of UN peacekeeping has significantly increased over the past several years and the UN has pursued management reforms to strengthen its capacity to support operations. GAO was asked to examine (1) the status of the current restructuring and strengthening of peacekeeping management including procurement for the field, (2) the status of reforms to address previously identified problems with peacekeeping procurement, and (3) the UN Logistics Base‘s support of peacekeeping operations. GAO reviewed relevant UN documents; conducted structured interviews with chief procurement officers at 20 peacekeeping missions; and interviewed UN and U.S. officials.

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State agreed with the report and commented that it would draw upon some of the report findings in its discussion with the United Nations. The UN agreed with GAO‘s assessment of the status of reforms and provided technical comments, which are addressed in the report as appropriate.

WHAT GAO FOUND

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The United Nations (UN) is in the process of restructuring and strengthening its organization for peacekeeping management, but has not resolved the issue of authority for field procurement, which is fundamental to the restructuring. Instead, the authority for field procurement remains divided between two departments, leaving the lines of accountability and responsibility for field procurement unclear. See figure. Member states are also concerned that the head of the new Department of Field Support reports to and takes direction from the head of the Department of Peacekeeping Operations on matters related to peacekeeping missions. The UN has not yet appointed several key senior-level staff for both departments, at a critical time in the restructuring.

Source: GAO analysis. Due to space limitations, this graphic does not represent the full procurement process. UN Field Procurement Process (for procurements requiring HQ review; $500,000 and above)

The UN has made some progress in implementing procurement reforms to improve internal controls and processes. For example, the UN Secretariat has United Nations Peacekeeping in the 21st Century, Nova Science Publishers, Incorporated, 2010. ProQuest Ebook Central,

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established financial disclosure requirements for all staff involved in the procurement process, expanded training for peacekeeping staff and updated its procurement manual. However, these efforts have not addressed some previously identified concerns, including difficulties in attracting and retaining field procurement staff and in applying procurement processes in the field. The UN Logistics Base (UNLB) in Brindisi, Italy, provides important communications and logistical support to peacekeeping operations and has expanded considerably since 2002. UNLB maintains the UN‘s worldwide information and technology network and provides peacekeeping missions with stocks that are essential during start-up. In response to peacekeeping mandates, UNLB has further expanded to take on tasks such as training and aviation support. However, its growth over the past 5 to 6 years has raised concerns of the General Assembly, which requested that it clarify its role and future development plans.

ABBREVIATIONS

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ACABQ CPO DDR DFS DOD DPKO ERM GA GIS HCC IAPSO IT LCC MDTS MOU MRP OIOS PD SDS SPC

UN Advisory Committee on Administrative and Budgetary Questions Chief Procurement Officer Disarmament, Demobilization and Reintegration Section UN Department of Field Support United States Department of Defense UN Department of Peacekeeping Operations Enterprise Risk Management General Assembly Geographic Information Systems Headquarters Committee on Contracts Inter-Agency Procurement Services Organization Information Technology Local Committee on Contracts Mobile Deployable Telecommunications System Memorandum of Understanding Material Resource Plan Office of Internal Oversight Services UN Department of Management‘s Procurement Division Strategic Deployment Stocks Standing Police Capacity

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United Nations United Nations Humanitarian Response Depot United Nations Logistics Base

September 18, 2008

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The Honorable Joseph R. Biden, Jr. Chairman The Honorable Richard G. Lugar Ranking Member Committee on Foreign Relations United States Senate The United States is the largest financial contributor to United Nations (UN) peacekeeping operations—providing about $1.1 billion in 2008—and has a strong interest in the efficient and effective management of these operations. Over the past several years, the size and scope of UN peacekeeping has increased more than four-fold. In January 2000, the UN deployed about 18,000 troops, police, and observers to peacekeeping operations worldwide. As of August 2008, the UN had over 88,000 peacekeeping troops, police, and observers conducting 16 peacekeeping operations in 15 countries. The UN operations support U.S. national interests by carrying out mandates to help stabilize regions and promote international peace. Some mandates for these operations include working to ensure that southern Lebanon is not utilized for hostile activities; assisting with the restoration and maintenance of the rule of law and public safety in Haiti; and contributing to the protection of civilian populations and facilitating humanitarian activities in Darfur. To effectively carry out its increased peacekeeping responsibilities, the UN has been pursuing the implementation of various management reforms, including some contained in the Secretary-General‘s 2007 reform proposal to restructure peacekeeping management. The management and organizational restructuring was intended to strengthen the UN‘s capacity to direct and support operations by splitting the Department of Peacekeeping Operations (DPKO) into two departments—DPKO and a newly created Department of Field Support (DFS). Two core elements of the proposed restructuring are the transfer authority for field procurement from the Department of Management to DFS and the strengthening of DPKO and DFS at senior managerial levels. Other reforms include efforts to strengthen UN procurement processes and to develop and expand the UN logistics base. UN procurement totals about $2 billion annually and has been vulnerable to fraud, waste, and abuse, according to UN oversight reports. UN and GAO reports

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in 2006 and 2007 identified weaknesses in procurement and made recommendations to address them, such as clarifying lines of authority between headquarters and the field.1 The U.S. government also has expressed concerns that a number of procurement reforms have experienced delays, including the establishment of an independent bid protest system and the need to improve transparency and accountability in UN procurement activities. The UN Logistics Base (UNLB) has been operating in Brindisi, Italy, since 1994 to contribute to efficient and effective peacekeeping operations. In 2002, UNLB‘s role was expanded to focus on providing strategic deployment stocks2 (SDS) for rapid start-up of new missions. With the growth of peacekeeping, UNLB has taken on additional duties, such as providing the communications network for all missions. In this report, we examine (1) the status of restructuring and strengthening peacekeeping management, including the authority for field procurement; (2) the status of reforms to address previously identified problems with peacekeeping procurement; and (3) UNLB‘s support of peacekeeping operations and its recent expansion. To address these objectives, we reviewed UN planning and budget reports, General Assembly resolutions, performance reports and evaluations, and other UN documents. We also reviewed UN staffing, budget, and procurement data. In addition we reviewed previous GAO reports on UN management and procurement reforms and used the internal controls framework that is widely accepted in the international audit community and has been adopted by leading accountability organizations.3 At UN headquarters in New York, we met with officials from DPKO, DFS, the Department of Management, and the Office of Internal Oversight Services. We also met with officials at the U.S. Mission to the United Nations and with representatives of other UN member states. In addition, we conducted structured interviews with chief procurement officers at 20 field missions, including all 17 peacekeeping missions4 and the 3 special political missions directed by DPKO. During these interviews, we discussed procurement reforms and processes, followed up on previous GAO findings, and also discussed issues related to peacekeeping management and UNLB. In Washington, D.C., we met with State and DOD officials. We also traveled to Rome and Brindisi, Italy, to meet with officials from UNLB and the UN Humanitarian Response Depot, as well as representatives of the U.S. Mission to the Rome-based UN organizations. We conducted this performance audit from August 2007 to September 2008 in accordance with generally accepted government auditing standards. These standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained

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provides a reasonable basis for our findings and conclusions based on our audit objectives. Appendix I provides a more detailed description of our objectives, scope, and methodology.

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RESULTS IN BRIEF The United Nations is in the process of restructuring and strengthening its organization for peacekeeping management, but has not resolved the issue of authority for field procurement, which is fundamental to this reform. As the Secretary-General and the General Assembly have not decided whether to shift the authority and resources for field procurement from the Department of Management to the Department of Field Support (DFS), the process for peacekeeping procurement remains divided between the two departments, leaving the lines of accountability and responsibility for field procurement unclear. Most of the field missions‘ chief procurement officers told us that this situation has created challenges for field procurement. For example, one field procurement officer told us that, if a procurement delay impacts a mission‘s operations, it is possible that no one can be held accountable for the delay. The physical reorganization of the Departments of Peacekeeping Operations and Field Support is substantially in place. However, some member states are concerned that under the new organizational structure, the Under Secretary-General of DFS reports to and take direction from the Under Secretary-General of DPKO for matters related to DPKO-managed field missions. This is a unique arrangement within the UN and is not to set a precedent, according to member states. Although both departments are making progress in hiring for additional staff positions established by the restructuring, this effort is behind schedule, and several key senior-level positions are filled on a temporary basis. The United Nations has made some progress in implementing procurement reforms to improve internal controls and processes, but has not resolved several continuing procurement concerns. To strengthen internal controls, the UN Secretariat has established financial disclosure requirements for all staff involved in the procurement process and has implemented a 1-year restriction on the employment of former UN procurement staff by UN vendors, among other efforts. The UN has also initiated measures to improve peacekeeping procurement, including expanding training for peacekeeping staff and updating its procurement manual. However, the UN has not fully implemented some procurement concerns we previously identified in 2006. For example, the UN has

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not made progress in addressing concerns that limited career development opportunities have made it difficult to attract and retain staff needed for field procurement. Most chief procurement officers told us that the UN has not established a formal career path for procurement staff. In addition, almost all of the chief procurement officers reported difficulties in applying some vendor registration requirements in the field, for example obtaining bank statements from local vendors where no banking system exists. UNLB provides important communications and logistical support to peacekeeping operations and has expanded considerably since 2002. However, member states have requested that the Secretariat justify this expansion by clearly defining UNLB‘s role and future development plans. UNLB maintains the UN‘s worldwide information and technology network, which links UN headquarters with all peacekeeping operations and field missions. UNLB also provides peacekeeping operations with strategic deployment stocks (SDS) that are essential during mission startup. From 2002 to 2008, UNLB‘s budget grew from $14 million to over $45 million, and its staff levels increased from 130 to 264. UNLB has further expanded to take on tasks such as training field mission staff and providing aviation support services for certain missions. Because of UNLB‘s growth, the General Assembly endorsed the recommendation that UNLB clarify and report on its role and future operations in light of its expanded tasks. In response to these concerns, UNLB and DFS are developing a proposed 5- year plan for supporting peacekeeping missions. The Department of State and the UN provided written comments on a draft of the report, which we have reprinted in appendixes IV and V. State agreed with the main findings of the report and agreed that much work remains in the UN‘s ongoing process to restructure and strengthen its organization for peacekeeping management. State commented that it would draw upon our findings in its continuing discussions with the UN. The UN commented that the report was a generally accurate reflection of the current situation. State and the UN also provided technical comments which we addressed in the report as appropriate.

BACKGROUND Restructuring Peacekeeping Management One of Secretary-General Ban Ki-Moon‘s first major initiatives, upon beginning his tenure in 2007, was to submit to the General Assembly a proposal

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to restructure the Department of Peacekeeping Operations (DPKO) and establish the Department of Field Support (DFS). The Secretary-General‘s proposal, built on previous reform efforts, included requests to reorganize the offices within DPKO, provide additional senior and professional staff for both departments, create new capacities and integrated structures, and transfer resources and authority for field procurement from the Department of Management to DFS. The Secretary- General proposed adding 400 new posts funded under the UN‘s support account for peacekeeping operations, including 162 posts in DPKO and 123 posts in DFS. In August 2007, the General Assembly approved many but not all of the elements of the Secretary-General‘s proposal, listed below: Creation of new structures, including establishment of DFS from DPKO‘s former Office of Mission Support; within DPKO, consolidation of former offices into an Office of Rule of Law and Security Institutions and a Policy, Evaluation and Training Division; and reconfiguration of the Africa Division into two divisions; Creation of new capacities, such as a Public Affairs Unit within DPKO‘s Office of the Under-Secretary-General; a security sector reform capacity5 in the Office of Rule of Law and Security Institutions, and evaluation and partnership capacities6 in the Policy, Evaluation and Training Division; Increase in number of senior and working-level positions, including the creation of new positions such as Under Secretary-General of DFS, and Chief of Staff of DPKO (responsible for overseeing the implementation of the DPKO/DFS restructuring, among other duties7); and upgrading the Military Advisor position to the Assistant Secretary- General level. Elements of the Secretary-General‘s restructuring proposal that were not approved by the General Assembly included the following: Establishment of the Field Procurement Service within DFS, which would have increased the delegation of authority for field procurement in DFS; Creation of 17 of the 42 positions requested for Integrated Operational Teams, located within DPKO; and Creation of a risk management capacity within DFS. The Secretariat set a target date of March 2008 to finish recruitment of new staff and a target date of June 2008 to implement the restructuring of DPKO and DFS.

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UN Procurement Reforms UN spending on procurement has grown significantly over the past decade as peacekeeping operations have expanded, as the Procurement Division has reported increases in procurement spending from about $318 million in 1998 to approximately $1.9 billion in 2007. According to DFS, over 85 percent of the UN‘s procurement spending is in support of peacekeeping operations, with field missions accounting for almost 50 percent of total UN procurement. Peacekeeping procurement is conducted both by field missions and the headquarters Procurement Division, located within the Department of Management. The Procurement Division develops policies and procedures for headquarters and field procurement based on the UN Financial Regulations and Rules. The Procurement Division also oversees training for procurement staff and provides advice and support for field purchases. In addition, the Procurement Division negotiates, prepares, and administers contracts for goods and services for peacekeeping missions. These involve multi-year systems contracts for goods and services such as air transportation or vehicles. Each field mission has a procurement section led by a chief procurement officer who typically has a personal delegation of procurement authority to award contracts up to $75,000.8 Contracts or purchase orders above the authority delegated to chief procurement officers must be approved by the mission‘s Director or Chief of Mission Support, based on the advice of the mission‘s Local Committee on Contracts (LCC), which reviews and recommends contract awards above delegated authorities. Contracts worth more than $500,000 must first be recommended by the Director or Chief of Mission Support based on the advice of the LCC. The cases are then forwarded to the Headquarters Committee on Contracts (HCC), located in New York for review. The HCC reviews proposed awards and provides a recommendation to the Assistant Secretary-General of the Office of Central Support Services (the contracting approval authority), as to whether the contracts are in accordance with the UN Financial Regulations and Rules and procurement policies. UN procurement reform is an important element of strengthening the management of peacekeeping and weaknesses in UN procurement have raised significant concerns. In 2006, we reported that weak internal controls over UN peacekeeping procurement expose UN operations to risk of waste, fraud, and abuse. We further reported that the UN‘s control environment for procurement is weakened by the absence of (1) an effective organizational structure, (2) a commitment to a professional workforce, and (3) specific ethics guidance for procurement staff. To address these concerns, we recommended that the Secretary

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of State and the Permanent Representative of the United States to the UN work with other member states to encourage the Secretary-General to take the following eight actions: Establish clear and effective lines of authority and responsibility between headquarters and the field for UN procurement, Enhance the professionalism of the UN procurement workforce by establishing a comprehensive procurement training program and a formal career path, Provide the Headquarters Committee on Contracts with an adequate structure and manageable workload for contract review needs, Establish an independent bid protest process for UN vendors, Take action to keep the UN procurement manual complete and updated on a timely basis and complete ethics guidance, Develop a consistent process for providing reasonable assurance that the UN is conducting business with only qualified vendors, Develop a strategic risk assessment process that provides reasonable assurance of systematic and comprehensive examination of headquarters and field procurement, and Standardize and strengthen monitoring of procurement activities by procurement managers, including actions to ensure that oversight agencies‘ recommendations are implemented and that officials are held accountable for their actions.9 In November 2007, as part of a broader review of UN management reforms, we reported that the UN Secretariat had improved the UN procurement process, but not in all the areas of vulnerability we had previously identified. Internal UN oversight entities have also reported on UN procurement activities and reforms. In a February 2007 report summarizing its audits and investigations of peacekeeping operations, the Office of Internal Oversight Services (OIOS) identified serious deficiencies in procurement management, systems, and processes. In October 2007, the UN‘s Procurement Task Force also raised concerns about internal controls involving contracts that it reported to have a value of approximately $610 million and identified fraud and corruption schemes related to some of them. The Procurement Task Force further reported that these cases involved a misappropriation of approximately $25 million.

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UN Logistics Base The UN Logistics Base (UNLB) in Brindisi, Italy, is a permanent logistics base that supports UN peacekeeping operations and has been in operation since 1994. The predecessor to UNLB, located in Pisa, Italy, was used as a storage facility for assets received upon the closure of DPKO missions, but with the increase in peacekeeping missions, the need arose for a more strategically located facility in which to store and maintain reserves for missions. Since 1994, UNLB has evolved to provide additional services including logistics, communications, and other support services to UN peacekeeping missions and has a budget of just over $45 million for fiscal year 2008-2009. UNLB has a natural deepwater harbor as well as air, road, and rail infrastructure, and is within 5,000 kilometers, or a 6hour flight, of most peacekeeping operations (see Figure 1). Under a memorandum of understanding with the Government of Italy, UNLB occupies the Brindisi premises rent free. The World Food Program manages a UN Humanitarian Response Depot adjacent to the UNLB facility. In 2002, UNLB began managing strategic deployment stocks (SDS), which include equipment used for the start-up of new missions. SDS is designed to help enable the rapid deployment of new missions within 30 to 90 days. To ensure that it is always in a state of readiness to support a newly established mission, UNLB maintains SDS as a revolving inventory that is replenished after equipment is shipped to missions.

RESTRUCTURING OF PEACEKEEPING MANAGEMENT UNDER WAY, BUT AMBIGUITY REMAINS ON PROCUREMENT LINES OF AUTHORITY The United Nations is in the process of restructuring and strengthening its organization for peacekeeping management, but the Secretary-General and General Assembly have not decided whether the Department of Management or the Department of Field Support (DFS) will have full authority for field procurement. According to procurement officers in the field, authority and responsibility for peacekeeping is divided and remains unclear (A full discussion of the implementation of procurement reforms is in the following section). Although the reorganization of the Departments of Peacekeeping and Field Support is largely in place, some member states are concerned that the Under Secretary-General of DFS reports to and takes direction from the Under

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Secretary-General of DPKO for matters related to DPKO-managed field operations, in an arrangement that is both new and unique within the UN. Both departments are proceeding to recruit the additional staff authorized, but the recruitment is behind schedule and several key senior-level positions have not been permanently filled, according to the UN.

Source: GAO analysis. Note: Map is not drawn to scale and is for illustrative purposes only. A list of all DPKO missions is on the following page. Peacekeeping Missions UNTSO – United Nations Truce Supervision Organization; UNMOGIP – United Nations Military Observer Group in India and Pakistan; UNFICYP – United Nations Peacekeeping Force in Cyprus; UNDOF – United Nations Disengagement Observer Force; UNIFIL – United Nations Interim Force in Lebanon; MINURSO - United Nations Mission for the Referendum in Western Sahara; UNOMIG - United Nations Observer Mission in Georgia; UNMIK - United Nations Interim Administration Mission in Kosovo; MONUC - United Nations Organization Mission in the Democratic Republic of the Congo; UNMIL - United Nations Mission in Liberia; UNOCI - United Nations Operation in Cote d‘Ivoire; MINUSTAH - United Nations Stabilization Mission in Haiti; UNMIS - United Nations Mission in the Sudan; UNMIT - United Nations Integrated Mission in Timor-Leste; UNAMID African Union-United Nations Hybrid Operation in Darfur; MINURCAT - United Nations Mission in the Central African Republic and Chad. Special Political Missions led by DPKO UNAMA – United Nations Mission in Afghanistan; UNIOSIL – United Nations Integrated Office in Sierra Leone; BINUB – United Nations Integrated Office in Burundi. Figure 1. Map with Location of UNLB and Field Missions

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Decision on Authority for Field Procurement Has Not Been Made and Lines of Authority and Responsibility Remain Unclear The authority for field procurement remains divided between the Department of Management and DFS. In his 2007 peacekeeping restructuring proposal, the Secretary-General considered the delegation of authority and resources for field procurement to DFS fundamental to the rationale for realigning peacekeeping and establishing the new department.'0 The Secretary-General‘s plan further stated that this transfer of authority would simplify the line of authority and accountability for procurement and would result in more timely delivery of goods and services to the field. In 2007, however, the General Assembly deferred its decision on whether to approve the transfer of authority for field procurement and approximately 50 staff from the Department of Management to DFS, pending the submission of a report by the Secretary- General. This report is to explain in detail the proposed management structure for procurement, including procurement procedures for peacekeeping operations. The General Assembly originally requested that this report be issued in time for its fall 2007 session, but the Secretary- General has not yet issued it. In 2006, we reported that the division of authority over field procurement between the Department of Management and DPKO had led to diffused accountability over procurement functions. We reported that because the UN had not established a single organizational entity or mechanism capable of comprehensively managing procurement, it was unclear which department was accountable for addressing problems in the UN‘s field procurement process. To address these concerns, we recommended that the Secretary of State and the Permanent Representative of the United States to the UN work with other member states to encourage the Secretary-General to establish clear and effective lines of authority between headquarters and the field for UN procurement, among other steps. The U.S. government‘s position is that the UN must fix systemic problems in the UN procurement system including the lack of accountability and an ineffective and inefficient organizational structure. Officials of both the Department of Management and DFS acknowledge that the current divided authority for procurement is an area of vulnerability. For example, Department of Management officials told us that the dual control over procurement prevents the strategic management of procurement. These officials stated that the Department of Management‘s procurement division has overall responsibility for UN procurement, but lacks authority or jurisdiction over peacekeeping missions. DFS officials agreed that the continued divided management structure for field procurement is problematic. These officials said

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that each field procurement crosses between the Departments of Management and Field Support multiple times, which is inefficient and leaves open the question of which department is ultimately accountable and responsible for the procurement. Figure 2 illustrates the divided lines of authority in the procurement of goods and services that exceed field mission authority, with approval and clarifications moving back and forth between DFS and the Department of Management before the procurement is completed.

Source: GAO analysis. Note: This figure provides a high-level summary view and does not include all steps of the field procurement process. a The evaluation and acceptance of authority is completed in conjunction with DFS. Figure 2. UN Field Procurement Process (for procurements exceeding mission authority and requiring HCC review—$500,000 and above)

In our structured interviews, chief procurement officers at peacekeeping missions commented that the lack of clear authority and accountability continues to adversely impact them. Eighteen of the 20 chief procurement officers we interviewed outlined challenges or difficulties stemming from the division of responsibilities for field procurement. For example, DFS does not have full

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operational control and authority for field procurement because it does not approve individual cases, according to one chief procurement officer. The Department of Management‘s Procurement Division does review cases before they are submitted to the Headquarters Committee on Contracts, but is not operationally accountable for late procurements in the field, according to another chief procurement officer. As a result, one field procurement officer told us that, even when a procurement delay impacts a mission‘s operation, it is possible that no one can be held accountable because procurement staff followed the rules and procedures of their departments. Eighteen of the 20 chief procurement officers we interviewed also expressed confusion or uncertainties over the division of responsibilities between the two departments as well as which department they should seek guidance from. For example, several chief procurement officers told us that the Procurement Division indicated that they should not communicate with the division on procurement questions, but should instead ask DFS. However, DFS has only a two-person office to assist field missions with their procurement concerns, and several of the chief procurement officers said that DFS lacks the resources needed to sufficiently support field procurement. Several chief procurement officers also said they feel like ―orphans‖ and are often left on their own to make procurement decisions in isolation. Department of Management and DFS officials expressed opposing views on how to resolve the issue of divided authority for field procurement. Department of Management officials stated that transferring authority and resources for procurement to DFS would weaken internal controls by including the field requisitioning and procurement functions within the same department. These officials also said that the procurement division within the Department of Management should be given overall responsibility for all UN procurement, including in the field. DFS officials, however, stated that they should be provided the authority and staff to conduct field procurement. These officials said that procurement procedures need to be improved to reflect the realities of conducting procurement in the field. They pointed out that expediting field procurement was central to the Secretary-General‘s peacekeeping reform, and the continuation of the status quo on field procurement raises the question of why DFS was created. Some chief procurement officers said a decision should be made as soon as possible but did not express an opinion about which department should be given overall responsibility for field procurement.

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Restructuring of DPKO and DFS Is Largely in Place, but Member States Have Raised Several Concerns As of August 2008, the reorganization of peacekeeping management is largely in place, including the co-location of staff from the Departments of Peacekeeping Operations and Field Support and new offices for both departments. Co-location included moving offices and staff of both departments to adjacent locations within the UN so that they could work together on common issues. DPKO also established new offices such as the Office of Rule of Law and Security Institutions, which consolidated the existing police, justice, corrections, mine action, and disarmament and demobilization units. This new office is intended to be more comprehensive in helping reform a country‘s police and military and developing its courts and judiciary. One element of the reorganization that is still in process is the development of the Integrated Operational Teams within DPKO. These teams, which are intended to improve coordination between UN departments in planning, deploying, and supporting peacekeeping operations, were approved by the General Assembly in 2007, but are not fully established. DPKO planned to have seven teams—made up of political, military, police and support specialists—operational by March 2008. As of June 2008, the team for the joint United Nations/African Union Mission in Darfur is the only one that is fully operational. Figure 3 highlights the reorganization‘s major changes to the organizational structures of DPKO and DFS. Although UN officials have told us the restructuring of the Departments of Peacekeeping and Field Support is mostly in place, some member states are concerned that the newly established Under Secretary-General of DFS reports to and takes direction from the Under Secretary-General of DPKO for matters related to DPKO-managed field operations. The Secretary- General intended this organizational structure to ensure cooperation and integration between the two departments. However, the General Assembly specified that this arrangement, with one Under Secretary-General subordinate to another, was not to set a precedent. The UN Advisory Committee on Administrative and Budgetary Questions (ACABQ), as well as several of the representatives from individual member states that we spoke to, expressed concern over the feasibility of this arrangement, given that it is both new and unique within the UN.

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Source: GAO analysis. Figure 3. Reorganization of DPKO and DFS

The ACABQ has raised concerns about the Secretary-General‘s proposal to strengthen DPKO‘s Office of Military Affairs. The Secretary-General reported that the office lacked the rank, capacity, and specialist capabilities to successfully fulfill the functions of a strategic military headquarters for peacekeeping operations in routine and crisis situations. In March 2008, the Secretary-General proposed to expand the Office of Military Affairs by 92 positions, upgrade it with higher-ranking military officers, and expand its functions. The ACABQ reviewed the SecretaryGeneral‘s proposal, and although it did support additional strengthening of the office, it did not recommend approval. The ACABQ reported that the Secretary-General had not substantiated the challenges faced by the Office of Military Affairs with relevant data and did not submit the proposal as part of a comprehensive budget for peacekeeping support. The General Assembly subsequently approved 45 new posts and requested the Secretariat to further report on the strengthening and restructuring of the Office of Military Affairs.

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Recruitment of Additional Staff Is Proceeding, but Senior-Level Turnover Has Raised Concerns As of August 2008, a UN official informed us that 134 of the 152 new staff positions authorized by the General Assembly for DPKO and DFS had been selected. However, the departments had established a goal to fill all of the newlycreated positions by March 2008. A DPKO official informed us that the hiring of staff has taken longer than expected because of the UN‘s lengthy hiring process. Filling positions at the senior level is a particular concern because the restructuring is being completed while the UN is expanding peacekeeping missions. In addition, new Under Secretaries General for both DPKO and DFS were just appointed in June 2008 and March 2008, respectively. According to the UN, DPKO has 26 senior staff positions with 7 of them not filled by permanent appointees, and DFS has 15 senior staff positions with 5 not filled by permanent appointees. Key positions that are vacant or are temporarily filled include DPKO‘s Chief of Staff (who ensures coordination between DPKO and DFS and oversees the implementation of the restructuring, among other activities), the principal officers of both Africa divisions, and DFS‘s Director of Logistics Support, according to a UN official. In addition to these positions, DFS reported that the Assistant Secretary-General for Field Support and the Chief of Transport and Movement vacated their posts in late August 2008. The UN Advisory Committee on Administrative and Budgetary Questions (ACABQ) has raised concerns that the vacancies and the many new appointees are likely to have a major impact on the performance of the two departments. According to the ACABQ, it is unclear how these vacant positions, as well as the limited amount of time the newest senior appointees have been in their positions, will affect the restructuring implementation. DFS officials disagreed with the ACABQ‘s assessment because, in their view, the mid-level staff are experienced and will provide continuity despite senior management changes. Moreover, the duties of many of the vacant senior level positions are being carried out by experienced staff, who temporarily fill these positions, according to UN officials.

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PEACEKEEPING PROCUREMENT REFORMS ARE PROCEEDING, BUT HAVE NOT ADDRESSED SOME PREVIOUSLY IDENTIFIED CONCERNS

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The United Nations has made some progress in implementing procurement reforms, but has not resolved continuing concerns in areas such as developing career paths for procurement officers in the field. Reforms have included policies to strengthen internal controls—including the expansion of financial disclosure requirements to cover all procurement staff—and efforts to improve the procurement function, such as an expansion of training for procurement staff. However, these reforms and initiatives have not addressed some previously identified concerns, such as difficulties in attracting and retaining field procurement staff. Chief procurement officers at peacekeeping missions raised these and other concerns as continuing challenges to conducting procurement activities in the field. See table 1 for a summary of UN procurement reform accomplishments and continuing concerns.

Recent Reforms Have Included Policies to Strengthen Internal Controls and Actions to Improve the Procurement Function The UN has made progress in implementing procurement reforms, in particular through the issuance of several organizationwide policies to improve internal controls. The UN also has taken steps to improve the functioning of procurement in headquarters and the field through expanded training and updates to its vendor management database and procurement manual, among other initiatives. Following a World Summit held in 2005, the UN outlined a series of procurement reform actions in 2006,11 and the Procurement Division established a Procurement Reform Implementation Team to implement these reform initiatives focused on internal controls, the procurement process, and strategic management. In a November 2007 status update on these reforms, the Secretariat reported that it had implemented 35 of 74 total reform actions, including 10 of the 27 main reform deliverables.

Procurement Division Has Implemented Policies to Improve Internal Controls As part of the UN‘s procurement reform process, the Secretariat has initiated or revised several procurement policies intended to improve internal controls

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covering the overall UN procurement process.12 Initiatives that the Department of Management‘s Procurement Division has implemented include the following: Financial disclosure requirement for procurement staff. In 2007, the UN expanded its financial disclosure requirements, previously only required for senior-level staff, to also cover all staff involved in procurement activities regardless of their function or grade level. These staff are required to file a disclosure or declaration of interest on an annual basis.13

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Post-employment restrictions. In 2007, the Secretary-General issued a bulletin establishing a post-employment restriction for all UN staff members participating in the procurement process. The policy prohibits former UN staff members from accepting employment or compensation from any UN contractor for 1 year following their UN employment.14 Supplier code of conduct. In 2006, the UN issued a supplier code of conduct on its Web site to raise awareness of the ethical responsibility of the vendor community. It included discussions of issues such as the avoidance of conflict of interest. In 2007, the UN revised the supplier code of conduct to reflect the latest provisions on post-employment restrictions. Ban on gifts for Procurement Division staff. The Procurement Division also has issued a guideline for its staff establishing zero tolerance for gifts and hospitality from UN vendors. This guideline is more stringent than the relevant provisions of the existing UN Staff Rules, which are applicable to the staff at large and allow staff to receive gifts of a nominal value, under certain conditions. Table 1. Implementation Status of Procurement Reforms and Continuing Concerns Procurement Reforms That Have Been Implemented Policies to Improve Internal Controls Financial disclosure requirement Post employment restrictions Supplier code of conduct Actions to Improve Procurement

Continuing Procurement Challenges Limited career development and staffing in the field Difficulties in attracting and retaining field procurement staff Difficulties in applying procurement processes in the

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field Procurement Reforms That Have Yet to Be Approved or Implemented Independent bid protest process Ethics guidance for procurement staff Lead agency concept Risk assessment for field procurement

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Source: GAO analysis.

UN has expanded procurement training for headquarters and field staff In 2006, we reported that the UN had not established training requirements for its procurement staff, resulting in inconsistent training levels across the procurement workforce.15 Other studies had also found that UN procurement staff lacked sufficient knowledge of procurement policies and procedures.16 The Procurement Division, in coordination with the Office of Human Resources Management and the Inter-Agency Procurement Services Office (IAPSO17), has since developed a series of training courses for headquarters and field staff that were delivered in 2007 and 2008. These training modules covered topics including the fundamentals of UN procurement, contract and supplier relations, and ethics in procurement. According to the Department of Management, a joint procurement training program provided training to over 850 staff responsible for procurement activities at various locations. Chief procurement officers at 18 of the 20 field missions told us that their mission had received procurement training recently. However, while expressing appreciation for the training delivered in the field, 13 of the 20 chief procurement officers we interviewed stated that the UN had not established a comprehensive procurement training program for procurement staff. For example, one chief procurement officer observed that there are no benchmarks or minimum requirements for training and that it is largely driven by the availability of funds. Some chief procurement officers also emphasized to us that because of the high turnover of field procurement staff, training must continue to be offered to the field and must not be a one-time event. Several procurement chiefs also discussed a need to expand training for other mission staff involved in the procurement process—particularly requisitioners.18 In May 2008, the UN approved a Procurement Division training framework document that covers the division‘s longer-term plans and objectives for procurement training. The document outlines an objective of establishing a Procurement

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Reforms Have also Focused on Vendor Management and the Procurement Manual, among Other Initiatives comprehensive procurement training program that covers not only procurement staff, but also requisitioning and contract management staff. However, the document does not make clear how this training will be funded.

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Procurement Reforms Have Also Focused on Vendor Management and the Procurement Manual, among Other Initiatives The Procurement Division also has implemented reforms in other areas, including updating its vendor management database and its procurement manual. In 2006, we reported that the UN has had persistent difficulties in maintaining effective rosters of qualified vendors and that it had not updated its procurement manual since 2004 to reflect current UN procurement policy. The Procurement Division has taken action on the following reform areas: Vendor Database Management. In August 2007, the Procurement Division established a Vendor Registration and Management Team that has, among its responsibilities, to manage and develop the UN‘s database of vendors determined to be qualified to do business with the organization.19 Procurement division officials stated that the team has removed 5,000 companies with incomplete or out-of-date information from the database. In addition, these officials stated that a pilot project is under way at headquarters to streamline vendor registration requirements. Procurement Manual. The Department of Field Support established a working group composed of headquarters and field official that is focused on reviewing and updating the procurement manual. A DFS official stated that the working group‘s recommendations are forwarded to the Procurement Division for consideration and revision of the manual. The UN updated the manual in November 2007 and again in June 2008.20 According to the UN, the manual will continue to be regularly amended to reflect best practices in public sector procurement. UN officials reported that recent changes to the manual included a more detailed discussion of the best value for money principle, among other issues. Increase in HCC Threshold. In August 2008, the UN increased the minimum threshold for procurement contracts required to be reviewed by the Headquarters Committee on Contracts from $200,000 to $500,000.

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The UN Office of Internal Oversight Services had recommended in 2003 that this threshold be increased to $500,000 or $1 million in order to reduce the committee‘s workload and improve efficiency. Fourteen of the 20 chief procurement officers we interviewed had told us that the financial threshold for HCC‘s review of procurement cases should be raised. Some of these officials referred to rising prices since the $200,000 limit was established or the decline in the value of the U.S. dollar vis-àvis the Euro as reasons for increasing the limit.21

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Procurement from Developing Countries. UN officials stated that the organization has taken steps to increase procurement opportunities for vendors from developing countries. In November 2007, the Secretariat reported that procurement from developing country vendors increased from 41 percent of total procurement in 2004 to 55 percent in 2006. To increase procurement opportunities, the UN has conducted business education seminars in various countries to increase awareness of potential vendors about the UN procurement process.22 Expanded Delegation of Authority for Local Procurement. To address challenges to field procurement at mission start-up, the Procurement Division has expanded a list of items for which missions have increased procurement authority. These items are core requirements such as food, water, and cleaning services, which could more easily be procured locally. For these items, missions have a delegated procurement authority of $1 million, rather than their typical $200,000 limit for other goods and services.

UN Has Not Resolved Several Continuing Concerns over Peacekeeping Procurement Although the UN has made progress in implementing procurement reforms from its 2006 agenda, it has not fully addressed several concerns previously raised by GAO and others. These include the need to improve career development options and conditions of service in the field in order to attract and retain qualified procurement staff, and adapt headquarters- based procurement processes to the field environment. In addition, the UN has not implemented other reforms, such as establishing an independent bid protest mechanism.

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Limited Career Development Opportunities Contribute to Difficulties in Attracting and Retaining Qualified Field Procurement Staff The United Nations has not made progress in addressing previously raised concerns over career development opportunities in order to attract and retain staff needed for field procurement. In 2006 we reported that the UN had not established a career path for professional advancement for headquarters and peacekeeping procurement staff and that the peacekeeping procurement workforce is adversely affected by considerable staff turnover, especially in peacekeeping missions where UN staff must operate in demanding, unpredictable, and dangerous conditions.23 GAO‘s Framework for Assessing the Acquisition Function at Federal Agencies24 also states that critical success factors for acquiring, developing and retaining talent are targeted investments in people and utilizing human capital approaches targeted to meet organizational needs. As discussed earlier, the Procurement Division has recently issued a training framework document that includes an objective to support the professional development of staff members in areas including staff mobility and career advancement.25 However, 14 of the 20 chief procurement officers we interviewed stated that the UN has not established a formal career path for procurement staff. One chief procurement officer, for example, told us that there is no clarity in this area and little prospect for promotion and development, which has an impact on staff performance. Another field official said that opportunities for career development for field staff are ―totally forgotten‖ by the UN and that when a mission closes, the staff are left wondering what will happen to them.26 The UN commented that several proposals to reform human resources management are currently before the General Assembly, including proposals on harmonizing conditions of service, streamlining contractual arrangements, and establishing career peacekeepers. Overall, the UN continues to have difficulties in retaining high-quality procurement staff for sustained periods in peacekeeping missions. We previously reported that about 23 percent of procurement staff positions in peacekeeping missions were vacant in 2005, and DFS reported that the vacancy rate for field procurement missions has remained at over 20 percent from 2006 to 2008.27 UN officials also told us that turnover among field procurement staff has continued to hurt the continuity of their operations and that peacekeeping missions continue to faces challenges in deploying qualified, experienced procurement staff, especially during the critical start-up phase. In addition, 19 of 20 chief procurement officers expressed concerns to us about vacancies or understaffing among field procurement staff. One chief procurement officer at a large mission told us that when his mission started up there were only two temporary duty staff assigned to

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the procurement function and that it took 2 years for the section to reach 75 percent of its allocated staffing level. In discussing the significance of field procurement vacancies, another chief procurement officer told us that staff are pushed harder and burn out faster, and there is a heightened risk that errors will be made.

Chief Procurement Officers Continue to Cite Difficulties in Applying UN Procurement Processes and Procedures in the Field In our 2006 report, we noted that field procurement staff operate under regulations that do not always reflect differences inherent to operating in field locations and that UN procurement rules and processes are difficult to apply in peacekeeping missions, according to UN officials, in particular during start-up. Despite the UN‘s efforts to improve field procurement, chief procurement officers continue to note challenges in implementing UN procurement policies and processes in the field environment. For example, 17 of the 20 chief procurement officers we interviewed identified difficulties in applying the UN‘s vendor registration requirements in the countries where the missions are operating. One official told us that the requirement for potential vendors to provide bank statements is impossible to meet in areas where there are no functioning banks.28 Another procurement official stated that the UN vendor registration system does not take into account these circumstances on the ground, and if the missions strictly followed the rules and the paperwork requirements, they would not be able to do business. As an example, this official told us that to purchase water the mission has to find an individual with a borehole. The UN official stated that this person may have a gun and a donkey, but the only paper he handles for his business is cash.29 Officials in the Department of Management‘s Procurement Division stated that they are working to streamline vendor registration requirements, including reducing paperwork requirements for low-value contracts. The Department of Management commented that the Procurement Division is piloting a revised vendor registration process at UN headquarters that requires less formal documentation and is intended to expedite vendor registration. Although the Procurement Division has revised and updated the procurement manual in both of the last 2 years, 15 of the 20 chief procurement officers we interviewed told us that the procurement manual should be further revised to better reflect the field procurement environment. Several chief procurement officers, for example, stated that the manual should be shortened and simplified to more clearly distinguish between policy and guidelines and that separate guidance for field procurement should be established. Another official stated that when the manual was written the operational requirements in field were not taken into

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account. This official added that during a war, it is not always possible to go through a long bidding process for fuel or food and that sometimes time frames need to be condensed to meet local conditions. Procurement division officials told us that a future revision and update of the manual will include a more extensive revision to reflect field concerns.

Additional Procurement Reforms Have Yet to Be Implemented In addition to the concerns raised above, several other elements of the UN‘s procurement reform agenda continue to be discussed within the organization but have not yet been implemented. These include:

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Independent Bid Protest. We previously reported that the UN had not established an independent bid protest process, a widely endorsed control mechanism that permits vendors to file complaints with an office or official who is independent of the procurement process.30 Procurement division officials stated that a procedure for bid protests has been agreed to in principle but still needs to be formalized. In addition, these officials stated that a pilot project for a bid protest system in UN headquarters is planned to begin in September 2008. Ethics Guidance. A 2006 UN report on procurement reform discussed plans to issue specific guidance on ethics responsibilities for procurement staff in 2006. However, according to Procurement Division officials, these guidelines have not yet been finalized and issued.31 In March 2008, the ACABQ expressed its concern over the delay in issuing the ethics guidelines for procurement staff and reiterated that every effort should be made to resolve outstanding issues and issue the guidance without further delay. UN officials told us that an issue still to be resolved is whether the formal adoption of the Procurement Division‘s guidance on zero tolerance for gifts for procurement staff will require a change to the UN staff regulations. Lead Agency Concept. The UN also has made little progress in establishing a lead agency concept, which is intended to achieve savings and reduce duplication of work for commonly procured products, such as office supplies, information technology, and communications equipment. Under the concept a UN organization with an established contract with favorable terms and conditions would make purchases under the contract

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on behalf of other organizations in the UN system. In its 2006 procurement reform plan, the UN projected that implementation of the lead agency concept would take 6 to 12 months. However, UN officials stated the General Assembly has yet to approve a proposal to implement the concept. According to the Department of Management, the lead agency concept may be of limited application, given that a significant proportion of the UN Secretariat‘s procurement activities are in support of peacekeeping activities and which may not be required by other UN agencies. Risk Assessments of Field Procurement. In 2006, we reported that the UN lacks a comprehensive risk assessment framework for procurement activities.32 A UN official acknowledged that there has been little progress to report on the establishment of a risk management system. Fifteen of the 20 chief procurement officers we interviewed also told us that they had not received guidance or requirements from UN headquarters for conducting risk assessments of procurement activities. 33 One official, for example, stated that although there has been discussion within UN headquarters about risk management, no formal guidance has been issued. At the organizational level, the UN continues to develop and plan for the roll-out of an overall risk assessment framework, known as the Enterprise Risk Management (ERM) concept. The UN is planning to implement the ERM by 2010.34

UNLB PROVIDES IMPORTANT COMMUNICATIONS AND LOGISTICAL SUPPORT TO PEACEKEEPING MISSIONS, BUT ITS GROWTH HAS RAISED CONCERNS AMONG MEMBER STATES UNLB provides several important services to peacekeeping missions, including the management of the UN‘s worldwide communications and information network and the rapid deployment of Strategic Deployment Stocks (SDS). In response to peacekeeping mandates, UNLB‘s responsibilities have increased to incorporate other services, such as training and aviation support. However, its growth over the past 5 to 6 years has raised concerns among UN member states about its expansion and future roles in peacekeeping support.

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UNLB Provides Important Communications and Logistical Support for Peacekeeping Operations and Administers Training and Other Services to Missions

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UNLB supports peacekeeping missions through the provision of several important services including the management of the UN‘s global communications network and the management and rapid deployment of strategic equipment to the missions when they start. In addition to these core functions, UNLB provides administrative support to six ―tenant units‖ hosted at the base that provide services such as training and aviation support.35 Services that UNLB provides to peacekeeping operations include the following: UNLB manages the UN worldwide communications hub that links operations between UN headquarters, UN agencies, peacekeeping missions, and a number of other field offices through e-mail, telephone, and videoconferencing. UNLB‘s Communications and Information Technology Service serves more than 90,000 UN staff at headquarters and at field operations.36 On a yearly basis, UNLB establishes 4,000 videoconferences, processes 24 million inter-mission telephone calls, and routes 120 million email messages involving headquarters and UN field missions. UNLB also maintains the UN satellite communication network and the mobile communication vehicles used in the field (as shown in Figure 4).

Source: Photographs taken by GAO during a site visit to Brindisi, Italy. UNLB Data Center and Satellite Farm and Mobile Communication Vehicle Figure 4. UNLB‘s Communications and Data Facilities

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and supplies from SDS.37 SDS is composed of equipment considered vital to missions at start-up, such as computers, generators, portable offices, and vehicles. (See app. III for a list of the various components of SDS managed by UNLB.) UNLB also receives goods and equipment that have been procured directly from a manufacturer on behalf of peacekeeping missions, inspects the goods, and refits the equipment for the missions‘ needs, then ships them to missions. Finally, UNLB refurbishes used equipment, such as vehicles and generators, for inclusion in the UN Reserve stock for re-issuance to peacekeeping missions. UNLB provides administrative support services to six ―tenant units‖ hosted at the base that provide various services and support. For example, UNLB administers training courses, seminars, and pre-deployment briefings at its on-site training facility. As part of the training function, UNLB provides the civilian pre-deployment training that new or returning UN staff enroll in before deploying to a mission.38 According to UN officials, UNLB provided training to 2,000 staff in 2007, of which 400 were preparing to deploy to peacekeeping missions. UNLB also provides oversight of aviation safety for UNMIK, UNOMIG, and itself and develops geospacial information for missions. UNLB‘s Air Operations Centre provides ground support to aircraft movements and also coordinates with the UN‘s World Food Program to provide aviation support for humanitarian flights from Brindisi. The Geographic Information Services (GIS) Center provides mapping and support services to peacekeeping operations, in Darfur and Lebanon, for example.

UNLB Has Expanded Since 2002 UNLB has grown since 2002 in response to the growing number of peacekeeping mandates and the Secretary-General‘s decisions to place additional services at UNLB. Since 2002, the UN Security Council has mandated the deployment or expansion of eight peacekeeping operations and authorized a fourfold increase in the number of UN peacekeepers. From fiscal year 2002/2003 to fiscal year 200/2009,39 UNLB‘s budget increased from $14 million to over $45 million, and its staff levels increased from 130 to 264 (see table 2). As shown in table 2, UNLB has also been actively shipping SDS stocks to missions. Since 2002, when the General Assembly approved the SDS, UNLB has supported 40 operations with SDS shipments amounting to over $300 million. This includes

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shipments to all new missions since 2004, the supply of operational and security materials to existing missions, and ad hoc support to operations, including the rotation of SDS. UNLB‘s expansion since 2002 includes the administration and management of offices that support peacekeeping. In fiscal year 2006/2007, UNLB initiated its training center and Regional Aviation Safety Office, and the base‘s fiscal year 2007/2008 budget initiated administrative support for the Strategic Air Operations Center, GIS Center, and the Engineering Design Unit. In 2008, UNLB will manage facilities for DPKO‘s Standing Police Unit.

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Table 2. UNLB’s Apportionments, Staffing Levels, and SDS Shipments from 2002 to 2008 (U.S. Dollars in millions) Fiscal year 2002/2003 2003/2004 2004/2005 2005/2006 2006/2007 2007/2008 2008/2009

Apportionments $14.3 22.2 28.4 31.5 35.5 40.4 45.8a

Staff 130 136 136 202 216 242 264

SDS Shipments $2.4 76.3 76.9 30.1 59.1 56.9

Source: GAO analysis of UNLB data. a 2008/2009 reflects approved budget rather than apportionment.

In July 2008, the General Assembly approved UNLB‘s 2008/2009 budget, which includes an increase in staff. UNLB‘s annual budget documents include performance measures and indicators of achievement relating to the management of SDS and other equipment. UNLB is meeting most of its performance indicators, which include a near 100 percent availability of its IT communications services to UN staff and a reduction in equipment receipt and inspection times, but faces some challenges in shipping this equipment to the missions. For example, UNLB has not met its goal of processing shipments of equipment within a 17-day target period, due in part to the time it takes to procure shipping contracts. While noting these challenges, the ACABQ also has recognized UNLB‘s achievements in several areas, particularly its recent certifications in the International Organization for Standardization (ISO) process for excellence in supply inventory and information security management (ISO 27001).

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General Assembly Requested UNLB to Clarify Its Role in Supporting Peacekeeping, in Light of Its Expansion While the General Assembly approved UNLB‘s 2008-2009 budget, it endorsed the ACABQ‘s previous recommendation that the Secretary- General report on the role and future development of the base. In 2007 and 2008, the General Assembly and the ACABQ reported that a longer-term perspective was needed to clarify the concept and functions of UNLB, and the basis for placing certain functions at the base. The General Assembly endorsed the recommendation that the Secretary-General report in the 2009-2010 budget proposal on UNLB‘s roles and future development. The ACABQ also raised several specific issues about UNLB‘s new services. In 2007, and subsequently in 2008, the ACABQ requested analyses of the function of the GIS Center and the Engineering Standardization and Design Center, stressing the need for the GIS Center to clarify its goals, resources and roles. For the Engineering Center, the ACABQ saw a need for determining what efficiency and productivity gains would be achieved by establishing the unit at UNLB. In 2008, the ACABQ also emphasized that a forthcoming report on training strategy should provide an analysis of the optimum venues and conditions for training, including training that may be more effective if provided regionally. The ACABQ also recommended that the Secretary-General clarify reporting lines between the ―tenant units,‖ UNLB, and UN headquarters. In response to the ACABQ‘s concerns, endorsed by the General Assembly, the Secretary-General stated that support for establishing logistics functions at UNLB would be based on analysis of projected costs and overhead weighed against potential benefits, including savings and productivity gains. To clarify UNLB‘s future strategy, the Department of Field Support and UNLB are developing a 5-year plan that is to be incorporated into UNLB‘s 2009-2010 budget. According to UNLB officials, the plan is expected to show UNLB expansion possibilities as well as refurbishment of infrastructure requirements for the next 5 years. They said one factor that could change UNLB‘s role is a decision by the General Assembly to shift field procurement authority and responsibility to DFS. According to the head of DFS‘s Logistics Division, if DFS were given more responsibility for field procurement, UNLB could play a greater role in procuring for, managing, and monitoring the UN‘s worldwide contracts for goods and services.

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CONCLUSION Management reforms needed to cope with the dramatic growth of peacekeeping are incomplete. Reforms to restructure peacekeeping management and strengthen procurement are still being discussed by the Secretariat and member states, but have not been resolved. In addition, the UN is in the process of clarifying long-term plans for the UN logistics base. Central to resolving these issues is a decision about which UN department—the Department of Management or the Department of Field Support—has authority and responsibility for peacekeeping procurement. The UN Secretariat has been unable to reach agreement on the management authority over field procurement, and as this decision continues to be delayed, the divided authority between two departments remains. UN officials and member states agree that this dual control over procurement is inefficient and ineffective and continues to expose the organization to risks. In a 2006 report, we identified the UN‘s divided organizational structure for managing procurement as a vulnerability that leaves unclear which department is accountable for problems in the UN‘s field procurement process. In that report, we recommended that the United States work with other member states to encourage the Secretary-General to take steps such as establishing clear and effective lines of authority between headquarters and the field for UN procurement. In 2007, we further reported that due to the time and attention given to the SecretaryGeneral‘s peacekeeping restructuring proposal, the General Assembly had not considered several procurement reform issues, including establishing lines of accountability, delegation of authority, and the responsibilities of the Department of Management and the Department of Peacekeeping Operations. A decision on this issue will provide direction to complete the restructuring and resourcing of the Department of Field Support, clarify lines of authority and responsibility for peacekeeping procurement, and help clarify a longer-term strategy for the logistics base. However, the UN has yet to resolve this issue. Further progress in other procurement reform areas also is needed. While the UN has taken steps to expand procurement training and update its procurement manual, it has not made progress in establishing an independent bid protest process and continues to face difficulties in attracting and retaining field procurement staff. Continued pressure by the United States and other member states to move these and other procurement reforms forward is needed to fully address concerns that we raised in our 2006 and 2007 reports covering UN procurement.

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Thomas Melito Director, International Affairs and Trade

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APPENDIX I: OBJECTIVES, SCOPE, AND METHODOLOGY Our review focused on three objectives related to the management of peacekeeping operations: (1) the status of restructuring and strengthening peacekeeping management, including the authority for field procurement; (2) the status of reforms to address previously identified problems with peacekeeping procurement; and (3) UN Logistics Base‘s (UNLB) support of peacekeeping operations and its recent expansion. To assess the status of restructuring and strengthening peacekeeping management, we reviewed UN documents, including the SecretaryGeneral‘s peacekeeping restructuring proposal, restructuring status reports, Department of Peacekeeping Operations (DPKO) and Department of Field Support (DFS) documents, General Assembly (GA) resolutions, Advisory Committee on Administrative and Budgetary Questions (ACABQ) reports, Office of Internal Oversight Services (OIOS) reports, and other UN documents. We also reviewed previous GAO reports. We also used a framework that is widely accepted in the international audit community and has been adopted by leading accountability organizations, including the International Organization of Supreme Audit Institutions, the U.S. Office of Management and Budget, and GAO.40 This framework includes the following elements of internal control: (1) the control environment, (2) risk assessment, (3) control activities, (4) information and communications, and (5) monitoring. In addition, we conducted interviews at UN headquarters in New York, with officials from the Office of the SecretaryGeneral, DPKO, DFS, OIOS, and the Procurement Division (PD). We also met with officials at the U.S. Mission to the United Nations and with representatives of the ACABQ and with individual UN member states, including leading contributors to the UN and developing countries. In addition, we conducted structured interviews with chief procurement officers at 20 field missions to discuss management authority for field procurement and other issues related to the DPKO/DFS restructuring. For more information on these structured interviews,

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see the detailed description below. In Washington, D.C., we also met with State and Department of Defense (DOD) officials. To assess the status of peacekeeping procurement reforms, we reviewed UN documents, including UN Secretariat reports on the status of procurement reforms, PD and DFS documents, ACABQ reports, OIOS reports, and other documents. We also collected data on UN field procurement and on procurement staff vacancies. In addition, we reviewed previous reports and the internationally accepted internal control framework referred to above. In addition, we conducted structured telephone interviews with chief procurement officers41 at 20 current peacekeeping and special political missions. For these structured interviews, we selected the population of 17 current peacekeeping missions, as well as the 3 special political missions that are led by DPKO. Besides being led by DPKO, these special political missions are also similar to the peacekeeping missions in that they have their own delegated procurement authority from UN headquarters. We did not include within our scope other special political missions that are not led by DPKO or that do not have delegated procurement authority. We selected the following 17 peacekeeping missions and 3 special political missions for our interviews:

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Peacekeeping Missions UNTSO UNMOGIP

United Nations Truce Supervision Organization United Nations Military Observer Group in India and Pakistan UNFICYP United Nations Peacekeeping Force in Cyprus UNDOF United Nations Disengagement Observer Force UNIFIL United Nations Interim Force in Lebanon MINURSO United Nations Mission for the Referendum in Western Sahara UNOMIG United Nations Observer Mission in Georgia UNMIK United Nations Interim Administration Mission in Kosovo MONUC United Nations Organization Mission in the Democratic Republic of the Congo UNMEE United Nations Mission in Ethiopia and Eritrea42 UNMIL United Nations Mission in Liberia UNOCI United Nations Operation in Côte d‘Ivoire MINUSTAH United Nations Stabilization Mission in Haiti UNMIS United Nations Mission in the Sudan UNMIT United Nations Integrated Mission in Timor-Leste

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UNAMID African Union-United Nations Hybrid operation in Darfur MINURCAT United Nations Mission in the Central African Republic and Chad Special Political Missions led by DPKO

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UNAMA UNIOSIL BINUB

United Nations Mission in Afghanistan United Nations Integrated Office in Sierra Leone United Nations Integrated Office in Burundi

Our structured interview included questions on procurement reforms and processes, previous GAO findings, and issues relating to peacekeeping management and UNLB. Structured interview development involved multiple iterations in which questions were assessed methodologically for coherence, completeness, and balance. Two methodologists provided detailed input on the questions during the entire period of development. In the final phase of interview development, we pre-tested our questions with three of our initial respondents and refined our questions based on their input. To analyze the open-ended responses to our structured interview questions, we first developed a set of summary statements to be used for reporting purposes. These summary statements were based on an inductive exercise involving an indepth reading and comparison of responses to questions under each of the eight recommendation categories and on other issues. Second, we tested these statements on an initial set of three interviews. This test involved two analysts separately coding all of the summary statements for each of the three interviews. Most statements were coded in one of three ways: (1) positive response – the interview data corresponded to the statement; (2) negative response – the interview data contradicted the statement; (3) non-response – no reference to the statement was contained in the interview data. The two analysts met and reconciled their responses; this effort also resulted in modifications to the summary statements. Third, the two analysts used the revised statements to separately code each of the remaining 17 interviews and then met to reconcile any differences in coding. The level of correspondence between the two analysts‘ coding of the summary statements was very high, 89 percent. The final tallies of the analysis were obtained by counting, for each statement, the number of positive, negative, and non-responses. Summary results of this analysis across all eight recommendation areas are provided in Appendix II.

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To assess the status of procurement reforms, we also met with UN officials in New York, including officials with the Office of the Secretary- General, the Procurement Division, DFS, DPKO, and OIOS. In addition, we met with representatives of the U.S. mission to the United Nations and with representatives from the ACABQ and individual member states. In Washington, we also met with State and DOD officials. To identify and examine the support UNLB provides to peacekeeping missions, we reviewed UN documents and reports, including budget documents, UNLB data and documents, DPKO Material Resource Plans (MRP), ACABQ reports, OIOS reports, and General Assembly resolutions. We determined that data from the UN's inventory management system are sufficiently reliable for the purposes of our report, which is to support findings concerning UNLB's support for peacekeeping operations and its expansion. We traveled to Rome and Brindisi, Italy, to meet with officials from UNLB, the UN Humanitarian Response Depot (UNHRD), and representatives of the U.S. Mission to the Rome-based UN organizations. We met with UNLB officials to gain information on UNLB‘s operations, responsibilities related to the management of strategic deployment stocks (SDS), and challenges with supporting peacekeeping operations. We met with UNHRD and U.S. Mission officials to discuss other UN organizations‘ logistics operations to support humanitarian missions. We also met with officials with the U.S. Permanent Mission to the UN in New York, as well as State officials and DOD officials in Washington, D.C. It was beyond the scope of this review to conduct an analysis of the cost-effectiveness of UNLB‘s location in comparison to other locations. We conducted this performance audit from August 2007 to September 2008 in accordance with generally accepted government auditing standards. These standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives.

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APPENDIX II: SUMMARY RESULTS OF GAO’S SURVEY OF CHIEF PROCUREMENT OFFICERS AT UN PEACEKEEPING MISSIONS The following table provides of statements derived from our structured telephone interviews with chief procurement officers (CPO) at 20 UN field missions. The statements are organized by categories that correspond to recommendations from our 2006 report on UN procurement.43 For each statement, we list the number of respondents that provided answers corresponding to the statement (Yes), the number of respondents providing answers indicating the opposite view (No), and the number of respondents who did not provide an answer or provided an answer that was unclear. For a detailed description of our scope and methodology for these structured interviews, see appendix I.

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Category/statement

Yes

No

No answer or unclear

CPOs at peacekeeping missions identified challenges to 20 0 conducting procurement activities in the field Lines of authority and responsibility between headquarters and the field for UN procurement CPOs expressed confusion or uncertainties over the division of 18 0 responsibilities between DFS and PD. CPOs told us that lines of authority and responsibility for 1 17 procurement between headquarters and the field are clear. CPOs expressed challenges or difficulties stemming from the 18 0 division of responsibilities between DFS and PD. CPOs stated that overall responsibility for field procurement 19 0 should be clarified between DFS and PD. CPOs stated that DFS lacks the resources needed to sufficiently 9 0 support field procurement. CPOs stated that they feel like ―orphans‖ or that they are often 9 0 left on their own to make procurement decisions in isolation. Procurement training program and establishment of a formal career path for procurement officers CPOs told us that their mission had received procurement 18 1 training recently. CPOs stated that the UN has not established a comprehensive 13 1 procurement training program for procurement staff. CPOs told us that the UN has not established a formal career 14 1 path for procurement staff. CPOs told us that their missions were not in a position to 16 3 implement the Best Value for Money principle. Functions and workload of the Headquarters Committee on Contracts (HCC) CPOs discussed one or more challenges associated with the 17 2 HCC‘s review of procurement cases.

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0

2 2 2 1 11 11

1 6 5 1

1

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Category/statement

Yes

No

No answer or unclear

CPOs told us that the financial threshold for the HCC‘s review 14 2 of procurement cases should be raised. Establishment of an independent bid protest process for UN vendors CPOs discussed concerns to take into account if a formal independent bid protest were to be established for field 16 1 missions. CPOs told us that their missions have received few, if any, complaints from companies about the outcomes of the bidding 14 2 process. UN procurement manual and ethics guidance CPOs stated that their staff refer to the UN Procurement Manual 14 2 as a reference tool. CPOs stated that the Procurement Manual should be revised to 15 3 better reflect the field procurement environment. CPOs stated that UN headquarters sought their input on 19 0 revisions to the Procurement Manual. Process for assuring that the UN is conducting business with only qualified vendors CPOs identified difficulties in applying the UN‘s vendor registration requirements in the countries where the missions 17 0 are operating. CPOs told us that the UN‘s vendor registration process was 14 1 unclear or that it needed to be revised. CPOs told us that UNHQ provides them with information on suspended or suspect vendors.

20

0

Risk assessment process providing reasonable assurance of systematic and comprehensive of headquarters and field procurement CPOs stated that they have not received guidance or requirements from UN headquarters for conducting risk 15 3 assessments of procurement activities. Monitoring of procurement activities by procurement managers CPOs described monitoring and oversight of field procurement 11 0 (by UN headquarters) as limited. Other CPOs expressed concerns to us about vacancies or understaffing 19 0 among field procurement staff.

Source: GAO analysis of structured interviews with UN chief procurement officers.

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4

3

4

4 2 1

3 5

0

2

9

1

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APPENDIX III: COMPONENTS OF STRATEGIC DEPLOYMENT STOCKS (SDS)

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SDS44 includes vehicles, communications equipment, and accommodation, among other items. This equipment is stored and maintained at UNLB as a reserve to be used for rapid deployment to newly starting missions. The following table lists the categories of SDS managed and stored by UNLB.45 The equipment is grouped into six sections: Engineering, Geographic Information Systems (GIS), Medical, Supply, Communication and Information Technology Services (CITS), and Transport. Engineering Maintenance Supplies Prefabricated Facilities Bridges Field Supply Supplies Spare Parts and Supplies Generators Water Purification Septic Tanks Geographic Information Systems (GIS) IT Equipment Software Packages Spare Parts and Supplies Medical46 Clinic and Hospital Equipment Medical Supplies Communication and InformationTechnology Services (CITS) Public information equipment Communication equipment IT Equipment

Supply Office Furniture Office Equipment Accommodation Equipment Fire Fighting Equipment Refrigeration Equipment Fuel Tanks and Pumps Security and Safety Equipment Stationary and Office Supplies Sanitary and Cleaning Materials Binoculars and Observation Equipment Spare Parts and Supplies Uniforms, Flags, and Decals Personal protection gear Rations Transport Ambulances Buses Forklifts and Cargo Handles Passenger, 4WD, pickups Vehicle workshop equipment Other vehicles IT equipment

Source: United Nations.

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APPENDIX IV: COMMENTS FROM THE DEPARTMENT OF STATE

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APPENDIX V: COMMENTS FROM THE UNITED NATIONS

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End Notes

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1

GAO, United Nations: Procurement Internal Controls Are Weak, GAO-06-577 (Washington, D.C.: April 2006). GAO, United Nations: Progress on Management Reform Efforts Has Varied, GAO-08-84 (Washington, D.C.: November 2007). United Nations, Report of the Office of Internal Oversight Services on the Activities of the Procurement Task Force for the 18-month period ended 30 June 2007, A/62/272 (October 2007). 2 Strategic deployment stocks include vehicles, communications equipment, and accommodation, among other items. This equipment is stored and maintained at UNLB as a reserve to be used for rapid deployment to newly starting missions. 3 Committee of Sponsoring Organizations of the Treadway Commission, Internal Control— Integrated Framework (September 1992). 4 One mission, UNMEE, closed after our structured interviews were conducted. 5 Prior to the addition of a security sector reform capacity within DPKO, no strategic mechanism existed on a UN-wide scale to develop or implement policies or guidelines for peacekeeping missions. Rather, each peacekeeping mission defined, engaged, and reported on security sector reform in different ways. 6 A partnerships capacity within DPKO was developed to bring a more coordinated and strategic approach to peacekeeping and post-conflict engagement with other UN and non- UN partners. 7 Some of the other responsibilities of the Chief of Staff include monitoring the day-to-day internal operations of DPKO, ensuring effective coordination and integrated functioning with DFS, and leading and coordinating DPKO‘s engagement with intergovernmental bodies. 8 The delegation of procurement authority comes from the Department of Management to the Under Secretary-General of DFS. The head of DFS, in turn, delegates procurement authority to the Directors or Chiefs of Mission Support, who delegate authority to chief procurement officer and other procurement staff as appropriate. 9 We also recommended that the Secretary of State report to Congress annually regarding UN progress in reforming its procurement process, with particular attention to the status of UN progress in addressing the above recommendations. 10 Currently, the UN financial rules state that the Department of Management has authority over procurement and over the designation of officials responsible for procurement. The UN procurement manual gives DFS some authority over local procurement, but the manual is subordinate to the UN‘s financial rules and regulations. 11 UN General Assembly, 60 Session. Investing in the United Nations: for a Stronger Organization Worldwide: Detailed Report; Addendum: Procurement Reform, A/60/846/Add.5 (June 2006). 12 The Procurement Division established a Planning, Compliance and Monitoring Section to coordinate acquisition planning, monitor compliance with procurement policies, and develop ethics programs, among other responsibilities. 13 The Procurement Division has reported 100 percent staff compliance with the financial disclosure requirements for 2006 and 2007. 14 The measure also prohibits former UN staff from acting on behalf of others in procurement-related matters for a period of 2 years following their UN employment 15 In our 2006 report, we recommended that the United States work with other member states to encourage the Secretary-General to establish a comprehensive procurement training program. 16 For example, Deloitte, Assessment of Internal Controls in the United Nations Secretariat Procurement Operations (Nov. 20, 2005). 17 IAPSO assists UN agencies and development projects in purchasing goods and services and has developed various procurement training courses. 18 Requisitioners are staff in other mission sections, such as engineering or information technology and communications, who initiate requirements for goods and services to be acquired. 19 Prospective vendors must register on the UN Web site and meet certain criteria to become registered on the UN‘s vendor database—the United Nations Global Marketplace.

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20

In our 2006 report, we recommended that the United States work with other member states to encourage the Secretary-General to take action to keep the UN procurement manual completed and updated on a timely basis. 21 UN budgets are based on U.S. dollars, but chief procurement officers told us that in some cases they purchase goods that are priced in Euros. 22 The ACABQ recently noted this progress but encouraged the Secretariat to continue to seek additional opportunities to promote procurement from developing countries. 23 We recommended in 2006 that the United States work with other member states to encourage the Secretary-General to establish a formal career path for procurement staff. 24 GAO, Framework for Assessing the Acquisition Function at Federal Agencies, GAO-05-218G (Washington, D.C.: September 2005). 25 The UN has previously discussed plans to support procurement staff in obtaining professional certification in procurement functions, but these plans have not moved forward. The new training framework states that certification is envisaged as a voluntary program, that it is the staff member‘s own responsibility to obtain accreditation and qualifications, and that further investigation is needed to determine financial support for certification programs. 26 The Department of Management acknowledged the concern of chief procurement officers that the UN has not established a formal career path for procurement and noted that the career path is governed by policies promulgated by the UN‘s Office of Human Resources Management. 27 DFS reported to us that the vacancy rate for field procurement staff was 21 percent in September 2006, 29 percent in November 2007, and 20 percent in March 2008. 28 This official stated that in these situations, the mission places more weight on a company‘s previous work in assessing its qualifications to conduct business with the UN. 29 The official further stated that the missions deal with these types of constraints by following overall principles, such as assessing whether companies are ethical and capable of supplying the UN. 30 Chief procurement officers at field missions discussed with us issues to take into account if a formal independent process is established that covers field missions. For example, some officials raised questions over how a formalized protest process could impact the acquisition of goods and services critical to the functioning of peacekeeping missions. 31 In 2006, we recommended that the United States work with other member states to encourage the Secretary-General to complete this ethics guidance. 32 We recommended that the United States work with other member states to encourage the SecretaryGeneral to develop a strategic risk assessment process for headquarters and field procurement. 33 One CPO did cite a pilot risk assessment activity that is underway at the mission. This official stated that OIOS has created a management framework for the mission that lists the risks to achieving goals of key business processes, as well as strategic, political risks, operational, and financial risks. The official further stated that this risk framework is not exclusive to procurement, but deals with all services at the mission. 34 The Department of Management also commented that a risk assessment of the department, including the Procurement Division, was conducted in 2008. 35 These offices are located at UNLB but are operationally under the direction of DPKO, UNLB is also providing support for a pilot project known as the Reference Check Unit. According to UNLB officials, preparations are underway for UNLB to provide office space and administrative support to a 25-person unit called the Standing Police Capacity (SPC) while it is awaiting deployment to the field. 36 For example, Communication and Information Technology Services staff provide support to the Mobile Deployable Telecommunications System (MDTS). MDTS is a vehicle fitted with equipment that allows field mission staff to communicate with UNLB and the UN‘s global infrastructure. 37 UNLB maintains several categories of SDS. Approximately, $1.8 million are medical stocks that are stored at the vendor, not at UNLB. The Engineering Section tests and fixes generators, water purification systems, pre-fabricated units (e.g,. kitchens and warehouses), and field defense

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(e.g., barbed wire fences). Equipment from the engineering section makes up 60 percent (approximately $40 million) of the SDS volume. 38 The civilian pre-deployment training provides a uniform briefing to all staff to prepare them for deployment to the field. 39 The UN‘s fiscal year runs from July 1 to June 30 of the following year. 40 Committee of Sponsoring Organizations of the Treadway Commission, Internal Control— Integrated Framework (September 1992). 41 At 2 of the 20 missions, a chief procurement officer was not in place during the time of our interview, and the mission‘s procurement section was headed by an officer-in-charge. Throughout this report we refer to the 20 officials we interviewed, collectively, as chief procurement officers. 42 UNMEE‘s mission has since terminated. 43 GAO-06-577. 44 The SDS information was used in one particular peacekeeping mission (UNMIT), but is typical of what can be found in SDS for other missions. 45 Each category of equipment can include numerous individual items. For example, the Personal Protection Gear category, under the Supply section, includes goggles, helmets, vests, and gloves, among other items. 46 UNLB does not store supplies under the Medical section on site, but manages these supplies through its medical vendor.

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CHAPTER SOURCES

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The following chapters have been previously published: Chapter 1 – This is an edited, reformatted and augmented version of a United States Government Accountability Office publication, Report GAO-09-142, dated December 2008. Chapter 2 – This is an edited, reformatted and augmented version of a United States Congressional Research Service publication, Report Order Code RL33700, dated November 13, 2008. Chapter 3 – This is an edited, reformatted and augmented version of a United States Government Accountability Office publication, Report GAO-08-1094, dated September 2008.

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INDEX

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A academic, 44 accommodation, 33, 192, 197 accountability, 118, 148, 152, 153, 162, 164, 184, 185 accreditation, 198 achievement, 182 adjustment, 93 administrative, 20, 26, 30, 73, 76, 88, 100, 108, 114, 117, 179, 180, 181, 199 administrators, 109 adult literacy, 16 African Union (AU), 3, 10, 37, 64, 84, 89, 100, 131, 134, 143, 146, 161, 165, 187 alternative, 60, 117 amendments, 88 analysts, 188 appendix, 44, 55, 190 application, 88, 93, 146, 177 appointees, 167, 168 appropriations, 85, 86, 90, 91, 106, 118, 119, 121, 122, 125, 126, 127 Appropriations Committee, 81, 84, 85, 86, 87, 89, 91, 97, 125, 126, 127 armed forces, 101 Asia, 91

assessment, 12, 23, 49, 50, 86, 87, 88, 93, 94, 95, 96, 116, 121, 126, 127, 128, 148, 158, 168, 170, 178, 185, 191, 199 assets, 27, 34, 37, 159 assumptions, 22, 49 auditing, 6, 46, 153, 189 authority, 10, 15, 19, 80, 84, 89, 97, 101, 114, 115, 148, 151, 152, 153, 155, 156, 157, 158, 160, 162, 163, 164, 173, 183, 184, 185, 186, 190, 197 availability, 13, 14, 117, 125, 171, 182 averaging, 17 aviation, 2, 20, 21, 23, 24, 27, 48, 49, 66, 67, 69, 71, 72, 73, 149, 154, 178, 179, 180 avoidance, 170 awareness, 170, 173

B banking, 154, 176 behavior, 31, 112 benchmarks, 124, 171 benefits, 33, 38, 183 Best Practice, 44 binding, 64 bipartisan, 116

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168

Index

Brazilian, 73 buffer, 24, 98 buildings, 21, 22, 27, 33 Bush Administration, 86, 90 business education, 173

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C Cambodian, 104 capacity building, 20, 25 career development, 32, 154, 170, 174 CDT, 113, 145 cease-fire, x, 2, 6, 10, 17, 18, 22, 43, 46, 50, 80, 81, 103 Central African Republic, 5, 28, 32, 64, 131, 133, 134, 137, 139, 142, 161, 187 certification, 75, 97, 123, 182, 198 Chief of Staff, 156, 167, 197 child protection, 26 CIPA, 80, 81, 83, 84, 85, 86, 87, 88, 89, 90, 91, 93, 105, 119, 120, 121, 122, 123, 124, 125, 126, 127, 128, 143, 146 civilian, ix, 1, 5, 7, 8, 11, 16, 17, 19, 20, 21, 23, 25, 26, 27, 32, 33, 35, 38, 43, 44, 45, 48, 50, 85, 102, 105, 107, 108, 118, 151, 180, 199 Clinton Administration, 116 closure, 159 coherence, 188 Cold War, 106 Committee of Sponsoring Organizations of the Treadway Commission, 197, 199 Committee on Appropriations, 81, 97 communication, 107, 114, 179 community, 112, 152, 170, 185 compensation, 169 complexity, 99 compliance, 197 components, 23, 31, 46, 114, 180 composition, 23, 48, 73, 103 compounds, 34 confidence, 25

conflict, ix, 1, 4, 17, 21, 23, 98, 100, 104, 117, 145, 170, 197 confusion, 164, 190 Congressional Budget Office, 96 Congressional Record, 143 consensus, 38 consent, x, 80, 98 Consolidated Appropriations Act, 88, 93, 97, 123, 124, 127, 128 consolidation, 155 constraints, 3, 198 construction, 10 contingency, 44, 48 continuity, 32, 168, 175 contractors, 33 contracts, 26, 33, 102, 157, 159, 173, 176, 182, 183 control, x, 20, 23, 31, 39, 79, 83, 101, 102, 108, 116, 138, 140, 142, 157, 163, 164, 176, 184, 185, 186 corruption, 159 cost-effective, 11, 189 costs, 7, 14, 38, 50, 82, 84, 88, 89, 121, 124, 125, 127, 183 cost-sharing, 74 country of origin, 65 courts, 75, 165 covering, 169, 184 crimes, 18, 83, 86, 90, 92 CRS, 143, 144 CSS, 66

D data collection, 118 database, 115, 169, 170, 172, 198 debt, 87 decisions, 29, 164, 181, 190 decolonization, 104 defense, 119, 146, 199 Defense Authorization Act, 95, 119, 122 delivery, 103, 162

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Index demobilization, 10, 22, 47, 117, 165 democracy, 11 Democratic Republic of Congo, 4, 81, 83 Department of Defense (DOD), 3, 73, 106, 120, 150, 186 Department of State, 2, 9, 13, 42, 52, 80, 81, 84, 85, 87, 88, 93, 96, 97, 105, 128, 143, 144, 155, 194 developing countries, ix, 6, 173, 185, 198 development assistance, 25 directives, 90 discipline, 111, 113, 114, 115, 118, 145 disclosure, 149, 154, 168, 169, 170, 197 displaced persons, 7, 11, 18, 23, 47 dispute settlement, 81 disputes, 10 distress, 103 distribution, 62 division, 31, 50, 91, 96, 162, 163, 164, 171, 172, 176, 190 draft, 9, 14, 38, 42, 111, 155 duplication, 177 duration, 39, 122 duties, 75, 81, 152, 168

E economic institutions, 11 economic problem, 144 Economic Support Fund, 106 election, x, 7, 80, 104, 105, 115 emergency medical services, 31 Emergency Supplemental Appropriations Act, 121, 146 employees, 97 employment, 33, 154, 169, 170, 198 engagement, 98, 103, 197 environment, ix, x, 3, 22, 23, 24, 26, 29, 46, 49, 50, 51, 76, 79, 144, 157, 174, 175, 176, 185, 191 environmental conditions, 8, 49 ethics, 157, 158, 171, 177, 191, 197, 199

169

Ethiopian, 73 Euro, 173 evolution, ix, 1, 5, 7, 21, 42, 43, 75, 125 exercise, 188 expenditures, 82 expertise, 31, 73, 110 exploitation, 85, 97, 110, 111, 112, 113, 118, 145 external relations, 114

F failure, 61 federal law, 75 feedback, 111 finance, 26, 32, 84, 86, 91, 105, 108, 116, 119, 122, 135, 143 financial support, 198 fire, x, 2, 6, 10, 17, 18, 22, 43, 46, 50, 80, 81, 103 firearms, 31 firms, 102 flexibility, 33, 89 Foreign Operations Appropriations Act, 124, 127, 128 foreign policy, 116 Foreign Relations Committee, 126 forgiveness, 124 fraud, 152, 157, 159 freedom, 98

G Geographic Information System(GIS), 150, 180, 181, 182, 192 gifts, 170, 177 global communications, 116, 179 Global War on Terror, 121, 146 goals, 37, 116, 182, 199 goods and services, 34, 36, 101, 124, 157, 162, 163, 173, 183, 198, 199 governance, 14, 43

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Index

government, v, x, 2, 3, 6, 7, 8, 10, 11, 12, 18, 22, 29, 30, 31, 36, 37, 38, 41, 43, 46, 47, 49, 98, 107, 117, 144, 152, 153, 162, 189 Government Accountability Office (GAO), vii, 1, 147, 201 greed, 148 gross domestic product, 16 groups, 20, 23, 106 growth, 60, 149, 152, 154, 178, 183 guidance, 158, 164, 170, 176, 177, 178, 191, 199 guidelines, 13, 14, 15, 49, 112, 176, 177, 197

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H health, 16 high-level, 163 hiring, 154, 167 homeless, 103 host, 10, 13, 15, 18, 20, 23, 27, 29, 33, 98, 111, 112 hostilities, 98 House, 81, 85, 86, 87, 89, 91, 117, 125, 126, 127, 143 House Appropriations Committee, 81, 85, 86, 125, 127 hub, 179 human, x, 11, 16, 18, 19, 22, 26, 38, 47, 60, 61, 80, 110, 174, 175 human capital, 174 human development, 16, 19 Human Development Report, 77 human resources, 26, 38, 175 human rights, x, 11, 18, 22, 47, 80, 110 humanitarian, x, 11, 17, 18, 21, 22, 23, 47, 80, 103, 144, 151, 180, 189 humanity, 18

I

implementation, 60, 99, 114, 118, 126, 151, 156, 160, 167, 168, 177 incentives, 30, 33, 38 inclusion, 180 independence, 103 indicators, 182 information and communication technology, 114 Information System, 150, 192 information technology, 150, 177, 179, 192, 198, 199 infrastructure, 3, 21, 22, 24, 27, 34, 48, 49, 50, 88, 159, 183, 199 inspection, 182 instability, 18, 43, 49, 103 Institute of Peace, 116 institution building, 14, 43 institutions, 2, 6, 11, 18, 43, 45, 47 instructors, 37 integration, 112, 114, 166 intelligence, 23, 116 internal controls, 149, 152, 154, 157, 159, 164, 168, 169 internally displaced person, 3, 7, 11, 18, 23, 47 international law, 110 International Organization for Standardization (ISO), 182 interoperability, 37 intervention, 10, 11, 103 interviews, xi, 6, 7, 35, 44, 48, 50, 148, 152, 164, 185, 186, 188, 189, 191, 197 isolation, 164, 190

J judiciary, 165 jurisdiction, 163 justice, 165 justification, 40

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Index

K Katrina, 90, 93 killing, 104

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L labor, 25 land mines, x, 80 language, 25, 60, 85, 86, 88, 89, 95, 96, 111, 122, 124, 127, 128 law, x, 7, 11, 14, 18, 20, 22, 26, 31, 39, 40, 43, 47, 75, 80, 86, 110, 112, 125, 128, 151 leadership, 115 legislation, 94, 95, 96, 122, 124, 125 less developed countries, 16 life expectancy, 16, 19 limitations, 24, 51, 60, 149 links, 144, 145, 154, 179 literacy, 16 location, 5, 11, 22, 34, 46, 47, 48, 49, 62, 63, 165, 189 logistics, 3, 7, 8, 9, 14, 19, 23, 24, 26, 27, 28, 29, 32, 35, 36, 37, 38, 44, 48, 49, 50, 68, 69, 71, 72, 75, 100, 101, 116, 151, 159, 183, 184, 189 longevity, 16

M maintenance, 10, 11, 20, 98, 100, 151, 192 mandates, ix, 2, 3, 6, 7, 8, 9, 10, 11, 14, 15, 16, 17, 19, 20, 21, 27, 40, 41, 42, 43, 45, 47, 48, 126, 149, 151, 178, 181 manufacturer, 180 mapping, 180 media, 114 membership, 145 memorandum of understanding (MOU), 111, 150, 159 mentoring, 25

171

messages, 179 Middle East, 62, 76, 101, 102, 128, 136, 138, 140 misappropriation, 159 mobile communication, 179 modules, 171 money, 84, 106, 112, 119, 120, 172 movement, 27, 98 multidimensional, 10, 14, 15, 16, 17, 19, 20, 22, 41, 43, 44, 75 multidisciplinary, 73 multilateral, 127

N nation, 20, 76 National Defense Authorization Act, 95, 122 national interests, 11, 27, 39, 45, 151 national security, 119 NATO, 4, 10 negotiating, 95, 112 network, 149, 152, 154, 178, 179 North Atlantic Treaty Organization, 4, 10

O obligation, 119, 125 occupational groups, 20 Office of Management and Budget (OMB), 85, 86, 143, 185 oversight, 9, 25, 41, 111, 118, 152, 158, 180, 191

P partnerships, 15, 109, 114, 156, 197 peace treaty, 83, 86 peacekeepers, 145 peacekeeping forces, 12, 29, 97, 98 performance indicator, 182 permit, 107, 117

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Index

PKO, 5, 80, 81, 83, 84, 86, 87, 88, 89, 90, 91, 105, 108, 110, 121, 122, 123, 124, 125, 126, 127, 128, 143, 151, 155, 185 planning, 2, 5, 7, 13, 14, 21, 22, 25, 26, 33, 34, 43, 44, 46, 47, 48, 49, 50, 73, 75, 106, 108, 114, 116, 117, 152, 165, 178, 197 political instability, 18, 43, 49 population, 7, 25, 50, 186 post-Cold War, 106 pressure, 184 prevention, 100, 107, 113, 144 prisoners, 10 Procurement Officer, 150, 175, 189 productivity, 183 professional development, 25, 174 professionalism, 158 program, 37, 44, 117, 158, 171, 190, 198 proliferation, 113 property, v, 26, 35, 112 protection, 7, 11, 17, 18, 20, 26, 35, 46, 76, 103, 111, 151, 192 protocol, 83, 86 public, ix, 10, 11, 18, 35, 114, 146, 151, 172 public affairs, 114 public safety, 11, 151 public sector, 172 purification, 199

Q

reflection, 155 reforms, xi, 14, 38, 43, 123, 145, 147, 148, 149, 151, 152, 154, 158, 160, 168, 169, 172, 174, 183, 184, 185, 186, 188 refugees, 11 regional, 10, 76, 83, 86, 89, 91, 100, 109, 114, 144 regular, 12, 38, 64, 86, 91, 93, 94, 106, 115, 123, 124 regulations, 113, 175, 177, 197 reimbursement, 124 relationship, 144 relevance, 39 rent, 159 repatriation, 145 rescission, 88, 121, 146 reserves, 109, 159 resolution, 14, 97, 98, 99, 103, 106 resources, ix, x, 2, 3, 6, 7, 9, 13, 14, 15, 19, 21, 23, 26, 27, 29, 30, 35, 36, 38, 39, 40, 41, 42, 45, 51, 79, 153, 155, 162, 164, 175, 182, 190 responsibilities, 13, 14, 110, 113, 151, 164, 172, 177, 178, 184, 189, 190, 197 restructuring, xi, 25, 115, 147, 148, 151, 152, 153, 156, 160, 162, 166, 167, 168, 184, 185 risk, 14, 35, 109, 156, 157, 158, 175, 178, 184, 185, 191, 199 rule of law, 7, 11, 14, 18, 20, 22, 26, 43, 47, 151

qualifications, 198

S R rail, 159 range, 7, 20, 94, 114, 117 reading, 188 recognition, 9, 42 reconciliation, 22, 47, 188 reconstruction, 10 recreational, 118 recruiting, 30, 38, 45

safety, 11, 36, 145, 151, 180 sanctions, 144 satellite, 179 savings, 123, 177, 183 school, 77 SDS, 150, 152, 154, 159, 178, 180, 181, 182, 189, 192, 199 search, 24, 37 Secretary of Defense, 119

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Index Secretary of State, 41, 85, 87, 97, 113, 121, 123, 126, 158, 162, 197 security, ix, x, 1, 4, 7, 8, 10, 14, 17, 18, 20, 21, 22, 23, 26, 27, 29, 36, 38, 47, 50, 80, 89, 90, 100, 104, 105, 107, 109, 113, 116, 117, 119, 135, 143, 156, 181, 182, 197 Security Council, x, 5, 10, 12, 13, 14, 18, 22, 28, 34, 39, 43, 46, 47, 79, 81, 93, 97, 98, 99, 100, 103, 104, 105, 106, 107, 108, 112, 113, 116, 117, 118, 122, 123, 124, 144, 181 Senate, 4, 81, 84, 85, 87, 89, 91, 95, 96, 97, 117, 126, 127, 143, 146, 151 Senate Foreign Relations Committee, 126 series, 121, 169, 171 services, v, 13, 26, 31, 34, 35, 36, 73, 97, 101, 123, 124, 154, 157, 159, 162, 163, 173, 178, 179, 180, 181, 182, 183, 198, 199 sexual abuse, 111 sites, 21 skills, 8, 25, 30 sovereignty, 103 Speaker of the House, 117 speech, 116 stability, 11, 37, 44, 75, 76, 85, 88, 117, 151 staffing, 7, 29, 35, 45, 114, 152, 170, 175 standard of living, 16, 19 standards, 6, 33, 36, 46, 48, 49, 73, 75, 76, 111, 112, 113, 114, 118, 145, 153, 189 State Department, 6, 28, 44, 45, 86, 90, 91, 96, 97, 105, 116, 119, 120, 121, 122, 124, 125, 127 statistics, 99 statutory, 84, 96, 122 strain, 99 strategic management, 163, 169 strategies, 45, 111 strength, 29, 39, 41, 73, 76, 101 sub-Saharan Africa, 2, 7, 8, 11, 15, 19, 21, 22, 25, 26, 27, 29, 32, 33, 34, 47, 48, 49, 50 supervision, 98, 104, 118 supplemental, 81, 84, 85, 88, 89, 90, 93, 106, 122, 124, 125, 128, 146 suppliers, 97, 123

173

supply, 21, 24, 27, 73, 76, 109, 181, 182 support services, 154, 159, 180 support staff, 21, 26 systems, 6, 22, 45, 157, 159, 199

T task force, 37 technology, 114, 149, 154, 177, 198 temporary appointment, 38 tenure, 155 term plans, 171, 183 territorial, 103 terrorist groups, 23 testimony, 94 threat, ix, 7, 23, 26, 49 threshold, 172, 191 time, 13, 14, 30, 35, 36, 43, 50, 60, 95, 96, 99, 102, 109, 148, 162, 168, 171, 176, 182, 184, 199 title, 96, 145 tolerance, 112, 113, 170, 177 tracking, 80, 100 trafficking in persons, 97 trainees, 73 training, 8, 11, 20, 25, 31, 37, 38, 45, 76, 85, 107, 108, 113, 118, 122, 149, 154, 157, 158, 168, 169, 170, 171, 174, 178, 179, 180, 181, 183, 184, 190, 198, 199 transfer, 89, 106, 107, 122, 151, 155, 162 transition, 17 transparency, 152 transport, 8, 23, 24, 26, 27, 28, 29, 34, 35, 37, 39, 48, 49, 51, 65, 66, 67, 68, 69, 71, 72, 73 transportation, 13, 20, 26, 37, 157 travel, 34 tribunals, 83, 86, 90, 92, 143 truck companies, 66, 67, 69, 71, 72 turnover, 32, 171, 174, 175

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Index

U U.N. Security Council, x, 79, 81, 93, 97, 98, 99, 100, 103, 104, 107, 113, 118, 121, 123, 124 U.S. military, x, 5, 79, 83, 101, 102, 122 UN General Assembly, 197 uniform, 118, 199 United Kingdom, 4, 12, 76 United Nations Department of Peacekeeping Operations, 135 United Nations Development Program (UNDP), 4, 19, 43, 49, 77 unobligated balances, 127 unpredictability, 126 updating, 154, 172 urban areas, 24

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V vacancies, 35, 168, 175, 186, 191 vehicles, 19, 24, 25, 72, 76, 107, 157, 179, 180, 192, 193, 197

victims, 97, 111, 118 videoconferencing, 179 violence, 85 voice, 127 volatile environment, 10 vulnerability, 158, 162, 184

W war, 18, 83, 86, 90, 176 War on Terror, 121, 146 water, 21, 22, 26, 173, 176, 199 weapons, x, 31, 73, 76, 80 White House, 89 withdrawal, 30 women, 18, 47, 85, 99, 118 workforce, 157, 158, 171, 174 workload, 158, 173, 190 World Bank, ix, 7, 18, 43, 48, 75, 77 World Food Program, 159, 180 writing, 9, 42

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