Transcript Folie 1

Center for International Peace Operations
Planning and Deployment of UN Peacekeeping Operations
- Interactive Guide -
ZIF Berlin, June 2008
UN Photo, Monuc
UN Photo/Marc Garten
UN Photo
Introduction
This presentation covers the planning process of a peacekeeping operation
at UN Headquarters from its initiation to the deployment of the mission. It
draws on the official “Guidelines and Principles” for UN peacekeeping
operations as well as on other sources.
By mouse-clicking the process evolves gradually, providing information on
every step of the planning process. A functional distinction is made between
decision-making bodies (dark blue) and administrative bodies (light blue).
For more information on the different UN bodies, please click on the
i-buttons
located in the right-hand corner of each box. Integrated
hyperlinks will lead you to the relevant UN websites. By clicking on the
buttons
located at the bottom of each slide you can jump forward or
backward between different phases of the planning process.
Planning a UN peacekeeping operation is a dynamic and non-linear process
which depends on many different factors, such as the urgency of deployment
and the size, scope, and aim of the mission as determined by the Security
Council. Therefore, please note that the planning process presented hereafter
is simplified. Certain steps which appear to be sequential may actually occur
simultaneously or in a different order, while others may be left out on a caseby-case basis. Notwithstanding, each mission is based on certain
indispensable key documents, such as the Concept of Operations (CONOPS)
and the Security Council Resolution
containing the mission’s mandate.
UN Photo/John Isaac
UNUN
Photo/Martine
Perret
UN
Photo/Logan
Abassi
UN
Photo/John
Photo
Isaac
The UN Secretariat has recently developed the so-called Integrated Mission
Planning Process (IMPP) in order to include all other relevant UN bodies and
external actors in the planning of multi-dimensional UN operations. The
guiding principles of the IMPP concept are described in more detail at the end
of this presentation.
Bastian Richter, ZIF
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Overview – Key actors involved in setting up a UN operation
Troop Contributing
Countries (TCC)
Parties to the Conflict
5th Committee
ACABQ
Authorizes operational
budget of a mission
Finally, the involvement of the
main states willing to
Member
parties to the conflict is essential
in troops and/or
contribute
the political process preceding
and to a UN operation
police
accompanying the deployment a UN
peacekeeping operation.
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Budgetary oversight by
the General Assembly
Reports and gives
recommendations
UN Country Team
UN Agencies and Funds
(UNDP, UNHCR, WFP…)
SECURITY COUNCIL
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Police Contributing
Countries (PCC)
NGOs
Tasks planning, authorizes UN bodies and NGOs
UN operationsCentral decision-making
working in the
field
body
Secretary-General
UN Secretariat departments and
offices involved in planning and/or
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continue…
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to to
continue…
implementation of a multidimensional UN operation
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UN Secretariat
Department of
Peacekeeping Operations
(DPKO)
Department of
Field Support
(DFS)
Department of
Safety and Security
(DSS)
Department of
Political Affairs
(DPA)
Office for the
Coordination of
Humanitarian Affairs
(OCHA)
Information – Realignment of the UN Secretariat in 2007
Troop Contributing
Countries (TCC)
Parties to the Conflict
5th Committee
Police Contributing
Countries (PCC)
ACABQ
Authorizes operational
Budget of a mission
Upon proposal of the Secretary-General Ban Ki-Moon (photo), in June 2007 the General
Assembly approved the restructuring of DPKO and the creation of a separate
Department of Field Support (DFS). The reform package aims at strengthening the
UN’s capacity to mount and sustain multi-dimensional peacekeeping operations. In
particular, commonly identified shortcomings in mission support such as logistics,
transportation, and recruitment are to be addressed by the realignment. 287 additional
posts in DPKO and DFS have been approved by the GA. Tasks planning, authorizes
SECURITY COUNCIL
UN Country Team
UN Agencies & Funds
(UNDP, UNHCR, WFP…)
NGOs
UN Photo/Mark Garten
UN operations
Reports and gives
A close interaction between DPKO and
DFS is maintained through:
recommendations
 a joint Chief of Staff;
 a joint Executive Office;
Secretary-General
 shared functional areas: conduct and discipline, training, best practices, evaluation;
 integrated operational teams;
 joint Directors meetings;
UN Secretariat
 joint weekly town-hall meetings.
Department of
Peacekeeping Operations
(DPKO)
Department of
Field Support
(DFS)
Department of
Safety and Security
(DSS)
Department of
Political Affairs
(DPA)
Office for the
Coordination of
Humanitarian Affairs
(OCHA)
Start of the Mission Planning Process…
Secretary-General
The Secretary-General (supported by his
Secretariat) plays a critical role in helping
the Security Council determine whether a
UN peacekeeping operation is the most
appropriate course of action.
The SG may also initiate assessments of a
crisis situation and a possible UN
involvement without consulting the
Security Council beforehand.
SECURITY COUNCIL
It is the prerogative of the Security
Council to determine when and where a
United Nations peacekeeping operation
should be deployed.
Stage 1
Pre-Mandate
Planning
In case of a crisis, the
Secretary-General may task
his Secretariat to develop a
Strategic Assessment of the
situation.
Secretary-General
SECURITY COUNCIL
DPKO
UN SecretariatDFS
Secretary-General
The SG may also seek
consultations with the
Security Council on the
possible options of UN
involvement.
If a peace support operation
is deemed a suitable option
for UN engagement, DPKO
will be designated as the
lead for OCHA
operational
planning.
Based onNote:
the planning
The aim ofDPA
the Strategic
assumptions set out in the
Assessment is to point out
StrategicThe
Assessment,
the
implementation
of such a comprehensive strategic
possible objectives
of a
However, the SecretarySecretary-General decides on
involving
all relevant actors within the
UN might also conclude,
potentialassessment
mission as well
as
General
the strategic objectives and
alternative
options
system
isand
an
Mission
example, that a DPA-led
The Strategic
Assessment
is integral part of the new Integratedfor
form of UN
involvement.
strategies
for
UN involvement.
Political
DSS Mission
Planning
Process (IMPP) and has only recentlySpecial
been tested
convened
by the
Peacebuilding
be more appropriate.
for
the first
time, on Somalia. In that context, a would
DPA-led
SupportUNOffice
(PBSO).
It is usually
Country
Team
In this case, DPA will take
led by
DPA, while
the other relevant
strategic
of the DPKO,
UN Agencies
and Funds assessment mission involving membersthe
lead for further
Secretariat
departments
and DSS,
offices
UNDP,
OCHA,
UNDG, OHCHR, UNPOS and the UNCT
was
(UNDP, UNHCR,
WFP…)
planning.
further contribute
to
the
draft
deployed to the field in January 2008.
document.
Member States
Member states supportive of a
DPKO
The Strategic
Assessment
usuallymay
Other relevant
UN bodies
also entails
a visit
by Secretariat
further
contribute
to the
members
to
the
field.
assessment by providing
specialized information and
expertise.
possible UN operation usually
assist the Secretariat, e.g. by
providing field information.
Stage 1
Pre-Mandate
Planning
Phase A
Strategic
Assessment
DPKO
DFS
Stage 1
Pre-Mandate
Planning
DPA
If the launch of an integrated mission is
OCHA
considered, an Integrated Mission Task
Force
(IMTF)the
comprising
representatives
of Force
In the case of
Somalia,
Integrated
Mission Task
all relevant UN entities will be established
(IMTF) was inbyfact
set up first and was then, afterwards,
DPKO’s Office of Operations (OO) as the
tasked to conduct
the Strategic Assessment.
It remains to be
formal headquarters-based
planning and
seen which procedural
catch on
in the Integrated
coordinatingorder
body will
at strategic
level.
Note:
IMTF
DPKO
Mission
UN Country Team
Planning Process (IMPP).
The IMTF is responsible for implementing
the Integrated Mission Planning Process
(IMPP) for the specific country and mission.
The IMTF will be composed of department,
UN Agencies and Funds agency and UNCT participants who are
(UNDP, UNHCR, WFP…) empowered toWorld
Bank and
IMF
represent
their
respective
offices in the planning process.
DSS
Stage 1
DPKO
Meanwhile at the level of
operational planning, DPKO
and DFS begin to develop a
draft Concept of
Operations (CONOPS).
DFS
TAM
The findings of the TAM
provide the basis for the
operational planning.
The operational planning
process is initiated
a step, following an initial risk and threat
Aswith
a first
Planning Directive
issued by the Department of Safety and Security
assessment
by the Under-Secretary(DSS) and DPKO’s Office of Military Affairs (OMA), a
General of the DPKO.
joint Technical Assessment Mission (TAM) is
deployed.
The TAM, led by the Office of Operations, evaluates
the situation in the field. Among others, the TAM
comprises military, security, political, and logistics
experts from the different DPKO and DFS offices as
well as from other departments.
Pre-Mandate
Planning
Phase B
draft
Concept of
Operations
(CONOPS)
simultaneous planning steps
Within DPKO
The preliminary planning
results are forwarded to
the USG for approval.
USG
Stage 1
DPKO
DFS
Office of Rule of Law &
Security Institutions
Office of Operations
Office of Military Affairs
The regional division in
charge commences to
develop a Draft Mission
Plan.
Development of an
At this
point, several
TAM
Operational
Estimate,
concurrent
planning
including a revisedsteps
risksare
&
initiated
in
DPKO
and
DFS.
threats assessment and
The findings of of
the TAM
Commencement
provide the
basis
for the
planning
of the
police
and
operational
planning. in
Rule
of Law components
the future operation.
possible courses of action.
Close cooperation with
partners in implementing
RoL projects (e.g. DDR and
SSR programs) in the
country, such as UNDP, DPA,
UNICEF, etc.
Initiation of recruitment
planning for mission
leadership & civilian staff
(jointly with Department of
Field Support).
Meanwhile, as the
coordinating office for
operational planning, the
OO leads consultations
with key partners, such as
UN agencies and funds.
Meanwhile, informal talks
with potential Troop
Contributing Countries
(TCCs) to estimate
potential force availability.
The Operational Estimate is
refined, based on likely
availability of troops and
logistics and on a thorough
options analysis.
Meanwhile, initiation of
talks with potential Police
Contributing Countries
(PCCs).
Pre-Mandate
Planning
Phase B
draft
Concept of
Operations
(CONOPS)
simultaneous planning steps
Within DPKO
The preliminary planning
results are forwarded to
the USG for approval.
DPKO
USG
Stage 1
CONOPS
Office of Operations
Office of Military Affairs
Office of Rule of Law &
Security Institutions
The combined planning
results form the draft
Concept of Operations.
Within DFS
Meanwhile, DFS’s Field
Budget and Finance
Division works out the
draft Mission Budget.
Field Budget and
Finance Division
DFS
Initiation of logistics and
transport planning.
Logistics Support
Division
Recruitment of mission
leadership personnel,
such as the SRSG/Head of
Mission, Force
Commander, Police
Commissioner, etc.
Senior Leadership
Appointment Section
Pre-Mandate
Planning
Phase B
draft
Concept of
Operations
(CONOPS)
DPKO
Stage 1
CONOPS
Based on the draft CONOPS,
DPKO and DFS jointly issue a
request for a Pre-mandate
Commitment Authority
(PMCA).
PMCA
DFS
ACABQ
The request for premandate commitment
authority is considered
by the ACABQ.
Pre-Mandate
Planning
A PMCA allows for the
financing of essential premandate tasks necessary to
set up the mission, such as
 the recruitment of core
personnel;
 the deployment of an
advance team;
 the establishment of a
mission HQ;
 the initiation of
procurement with a long lead
time.
Phase B
draft
Concept of
Operations
(CONOPS)
Office of Operations
Secretary-General
This Report of the SecretaryGeneral is based on the draft
CONOPS and builds on the
findings of the Technical
Assessment Mission (TAM) as
well as the analysis of strategic
options.
At the same time, DPKO’s Office
The “SG Report” is usually presented
of Operations prepares a report
by the USG of the DPKO. Based on the
to be presented by the SG to
report’s recommendations, the
the Security Council.
Security Council discusses the
available options for a UN mission.
SECURITY COUNCIL
RESOLUTION
5th Committee
ACABQ
Stage 1
Pre-Mandate
Planning
Phase C
Mandate
Preparation
The Security Council passes a
resolution, which authorizes
the operation’s deployment and
determines its size and
mandate.
The budget and resources
of the mission are then
subject to approval by the
5th Committee of the
General Assembly.
RESOLUTION
Once the mission’s budget has
been approved…
Stage 2
Operational
Planning
DPKO
CONOPS
At this point, the overall
lead gradually shifts over to
the Special Representative
of the Secretary-General as
the Head of Mission.
The SRSG is the most senior
UN official in the host
country. In an integrated
mission, he/she is supported
by a “triple-hatted” Deputy
SRSG/ Resident Coordinator/
Humanitarian Coordinator
(DSRSG/RC/HC).
SRSG
MIP
…DPKO refines the Concept
of Operations (if necessary),
according to the provisions
set forth in the Security
Council resolution.
Supported by a planning team at
mission level, the SRSG finalizes
the Mandate Implementation
Plan (MIP), which is based on
the CONOPS.
While the CONOPS was drafted at
UN Headquarters and provides
the general framework for the
mission, the MIP is prepared in
the mission and sets concrete
benchmarks for the fulfillment
of the mandate.
Phase A
Mandate
Implementation
Plan (MIP)
simultaneous planning steps
Within DFS
Field Budget and
Finance Division
Logistics Support
Division
The mission budget is
refined and forwarded to
ACABQ/5th Committee for
final approval.
Deployment preparations,
e.g. contracting
transport, transferring
mission assets, final
movement planning,
organizing logistics and
supply on the ground.
Meanwhile, several final
planning procedures are
again conducted
concurrently at UN HQ.
Field Personnel Division
Recruitment of staff and
transfer to the mission.
Stage 2
Operational
Planning
DFS
Phase B
Deployment
Preparation
Within DPKO
DPKO
Office of Military Affairs
Office of Rule of Law &
Security Institutions
The Rules of Engagement
(RoE) and further
guidelines are drafted.
The Directives on the
Use of Force (DUF) are
drafted.
Force generation: visits
to Troop Contributing
Countries (TCCs), negotiating Memoranda of
Understanding (MoU);
movement planning.
Force generation: visits
to Police Contributing
Countries (PCCs), MoU
negotiations; movement
planning.
Office of Operations
The OO coordinates and
leads the final deployment
preparations and ensures
compliance with political
guidelines.
UN Secretariat
These documents serve as the
legal basis for the mission’s
As a final step, a Status
SOFA
relation with the host nation,
of Forces Agreement
SOMA
the SOFA covering the military
(SOFA) and a Status of
component and the SOMA the
Mission Agreement
police/civilian component.
(SOMA) are prepared
SOFA and SOMA are negotiated
Deployment
ofofthe Peacekeeping Operation:
by the UN Office
and signed by the UN and the
Host Nation
Legal Affairs.
of the operation.
 once deployed, the authority in the field lies with the SRSG andhost
the nation
senior leadership
team;
SOFA and SOMA are compre the SRSG reports to the SG through the USG of the DPKO;
documents,
 UN Headquarters provides political and strategic guidance andhensive
operational
support.dealing with
all aspects concerning the
mission, such as the freedom of
movement of its members,
jurisdiction over the mission’s
personnel, the provision of
water, electricity and other
utilities, etc.
In practice, agreeing on the
SOFA and the SOMA is one of the
most critical and sometimes
contentious issues between the
UN and the host nation.
Stage 3
Deployment
Information
INTEGRATED MISSION PLANNING PROCESS (IMPP)
 An initiative to achieve UN System-wide coherence in mounting and running a peace operation.
Amid a growing complexity of multi-dimensional peacekeeping operations today, DPKO has recently developed a new
Integrated Mission Planning Process (IMPP). In its guidelines endorsed by the Secretary-General the IMPP is defined
as follows:
“The IMPP does not aim to take over all other planning processes. It aims to ensure that
the right people are at the table, that the right issues are being considered, and that the
appropriate authorities and accountabilities are in place […].” (IMPP Guidelines p. 3)
IMPP thus represents an overarching coordination and planning regime which seeks to comprise all relevant actors, such
as UN offices, agencies and funds (OCHA, UNDP, UNHCR, UNICEF, WFP, OHCHR, etc.) as well as the World Bank and the IMF.
An Integrated Mission can therefore be understood as a UN System-wide response to a crisis.
For the IMPP to be implemented, an Integrated Mission Task Force (IMTF) comprising representatives of all relevant UN
entities will be established as the formal headquarters-based planning body for a UN operation, as shown in this
presentation. In addition, an Integrated Mission Planning Team (IMPT) will be established as the country-based body
responsible for strategic planning in the integrated mission setting.
Once the concept is put into effect, all steps of the mission planning process are supposed to be conducted in
accordance with the guiding principles of the IMPP.
Background of the Integrated Missions Concept and the IMPP
A lack of coherence among field activities in the humanitarian relief, development, political and security spheres had been acknowledged in
a number of evaluation reports and studies on UN peacekeeping operations over the last decade. As a consequence, a series of high-level
panels and working groups worked out different coordination models, which culminated in the development of the Integrated Missions
Concept in 2004/2005. In order for the UN to implement this concept and to enable its different entities in the field to “deliver as one”, the
IMPP was developed (mainly) in 2006 and 2007. In all likelihood, it will be implemented in 2008, while being reviewed and refined.
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Current DPKO-led Field Operations (as of June 2008)
UNFICYP 1964-
UNOMIG 1993-
UNMIK 1999-
UNAMA* 2002-
UNIFIL 1978-
UNMOGIP 1949-
UNDOF 1974UNTSO 1948UNMEE 2000UNAMID 2007MINUSTAH 2004-
UNMIT 2006-
MINURSO 1991-
UNIOSIL* 2006UNMIS 2005-
UNMIL 2003UNOCI 2004MINURCAT 2007-
The number indicates the year of authorization
by the Security Council. Clicking on the tag will
open the mission’s website.
* political or peacebuilding mission
BINUB* 2007MONUC 1999-
Ludwigkirchplatz 3-4
10719 Berlin
Germany
Phone ++49 (0)30 – 520 05 65 – 0
Fax ++49 (0)30 – 520 05 65 – 90
www.zif-berlin.org
[email protected]
Information
SECURITY COUNCIL
It is the prerogative of the Security Council to determine when and where a
UN peacekeeping operation should be deployed in order to restore and
safeguard the peace (UN Charter art. 24(1), art. 39).
The decision to deploy a UN peacekeeping operation requires a minimum of nine
votes from the Security Council’s fifteen members, including the votes of the
five permanent members (art. 27). However, the full backing of a mission by all
Security Council members is strongly desired.
UN Photo/Eskinder Debebe
When considering to establish a UN operation, the Security Council usually
takes into account, among others, the following factors:
 whether a situation exists the continuation of which is likely to constitute a
threat to international peace and security;
 whether a cease-fire exists and whether the parties have committed
themselves to a peace process intended to reach a political settlement
(a “peace to keep”);
 whether a precise mandate for a UN operation can be formulated; and
 whether the safety and security of UN personnel can be reasonably ensured,
including in particular whether reasonable guarantees can be obtained from the
principal parties or factions regarding the safety and security of UN personnel.
Security Council website
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Information
GENERAL ASSEMBLY (GA)
5th Committee
 responsible for administration and budgetary matters;
 based on the 5th Committee’s reports, the GA considers and approves the
UN’s budget and financial and budgetary arrangements with UN agencies;
 each May, the 5th Committee holds a resumed session to deal with
administrative aspects of UN peacekeeping and approves the annual
peacekeeping budget;
 it also considers urgent matters relating to the financing of a
peacekeeping mission authorized by the Security Council at any of its
sessions.
UN Photo/Paulo Filgueiras
General Assembly in session
5th Committee website
Advisory Committee on Administrative and Budgetary Questions
(ACABQ)
 consists of 16 members appointed by the General Assembly;
 examines and reports on the budget submitted by the Secretary-General to
the GA;
 advises the GA on any administrative and budgetary matters referred to it.
ACABQ website
UN Photo/Eskinder Debebe
ACABQ in session
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Information
Department of Peacekeeping Operations (DPKO)
Established 1992, currently led by Under-Secretary-General Jean-Marie Guéhenno
Mandate:
 planning, managing and deploying UN peacekeeping operations;
 providing political & executive direction to UN peacekeeping operations on behalf of the SG;
 close cooperation with the Department of Field Support;
 support of other peace and security operations that are predominantly civilian (political missions);
 working closely with Department of Political Affairs;
UN Photo/Ryan Brown
USG Guéhenno
DPKO website
Organizational chart
USG
Executive Office
Office of Operations
Office of Military Affairs
Africa I Division
Current Military
Operations
Africa II Division
Military Planning
Service
Europe & Latin
America Division
Force Generation
Service
Asia & Middle
East Division
Situation Center
Office of Rule of Law &
Security Institutions
Policy, Evaluation and
Training Division
Police Division
Peacekeeping
Best Practices
Criminal Law &
Judicial Advisory
Section
Integrated
Training Service
DDR Section
Mine Action
Service
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Information
Department of Political Affairs (DPA)
Established 1992 as the UN focal point for conflict prevention, peacemaking, and
peacebuilding, led by Under-Secretary-General B. Lynn Pascoe.
Mandate:
 monitoring and assessing global political developments;
 advising the UN Secretary-General on actions to advance the cause of peace;
 providing support and guidance to UN peace envoys and political missions in the
field;
 serving Member States through electoral assistance and through the support of
DPA staff to the work of the Security Council and other UN bodies;
 with regard to the planning of a peacekeeping operation, DPA (along with the
OHCHR) is in charge of the human rights component of the potential mission.
UN Photo
USG Pascoe
DPA website
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Information
Department of Field Support (DFS)
Established 2007, led by Under-Secretary-General Susana Malcorra (reporting to the USG of the DPKO)
Mandate: Support peace operations in the areas of:
 personnel (recruitment of high quality leadership and field staff; overseeing standards of conduct);
 logistics (ensuring appropriate resources incl. materiel, direction, guidance and oversight);
 communications & IT (ensuring reliable, responsive and continuous voice, data and video services);
 budget and finance (providing financial support services, appropriate funding and responsible
stewardship of funds entrusted to UN peace operations);
Organizational chart
Office of the UnderSecretary-General
……………………
Office of the ASG
Executive Office
Field Personnel
Division
Field Personnel
Operations
Service
Field Personnel
Specialist
Support Service
Field Budget and
Finance Division
Budget and
Performance
Reporting
Service
MOU and Claims
Management
Section
Senior Leadership
Appointments
Section
Logistics Support
Division
Operational
Support Service
Specialist
Support Service
UN Photo/WFP
USG Malcorra
Conduct and
Discipline Unit
Communication and
IT Service
Operations
Section
Information
Systems Section
Transportation
and Movement
Service
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Information
Office for the Coordination of Humanitarian Affairs (OCHA)
Established 1998, led by UN Emergency Relief Coordinator (ERC, with USG status) John Holmes
As a coordinating body, free from day-to-day operational challenges, OCHA focuses on the full spectrum
of issues associated with humanitarian assistance. This includes anticipating changes in operational
environments and setting the agenda for common international humanitarian actions even before crises
occur.
UN Photo
The functions of the ERC are focused in three core areas:
 policy development and coordination functions in support of the Secretary-General, ensuring that all
humanitarian issues, including those which fall through gaps in existing mandates of agencies such as
protection and assistance for internally displaced persons, are addressed;
 advocacy of humanitarian issues with political organs, notably the Security Council; and
 coordination of humanitarian emergency response, by ensuring that an appropriate response
mechanism is established, through Inter-Agency Standing Committee (IASC) consultations, on the
ground.
ERC Holmes
OCHA carries out its coordination function primarily through the Inter-Agency Standing Committee,
which is chaired by the ERC. Participants include all humanitarian partners, from UN agencies, funds
and programs to the Red Cross Movement and NGOs.
OCHA website
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Information
Department of Safety and Security (DSS)
DSS is headed since February 2005 by Under-Secretary-General David Veness.
The Department of Safety and Security is responsible for providing leadership, operational support
and oversight of the security management system to enable the safest and most efficient conduct
of the programs and activities of the UN System.
DSS website
UN Photo
USG Veness
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