INTRODUCTION TO
CRISIS MANAGEMENT
OPERATIONS
27 September 2016
2
How has this necessitated and
changed crisis management
operations?
3
 more complex
 militias, paramilitaries or mercenaries
 interconnectedness of war and economy and of security and
development
 less direct violence; poverty, famine and migration
 failing and failed states
 terrorism, drug and human trafficking, corruption and organized
crime
 crisis management has changed in three dimensions:
Changes in the nature of crises
Expanding the spectrum of tasks (1)
4
 first, the spectrum of tasks has expanded
 from traditional peacekeeping (containment and reduction
of military escalation) to social, political, and economic
transformation (conflict resolution)
 tasks:
 humanitarian aid
 physical protection
 rule of law
 functioning of political institutions
 stable and self-sustainable social and economic structures
Expanding timelines of CM (2)
5
 the increasing set of tasks coincides with
expanding timelines of crisis management
 from conflict prevention, the actual crisis
management (humanitarian intervention, peace
building and peacekeeping) to post-conflict
management
 need to handle the junctions between the different
phases
Increasing number of actors (3)
6
 number of actors involved has increased significantly
(broadened spectrum of tasks)
 no single actor is able to supply specific instruments and
expertise on its own
 the more actors, the higher the political legitimacy
 local actors increasingly involved:
 e.g. local government and administration; political, religious, ethnic,
and other social groups; private sector, the media, militias, organized
crime, forces from neighbouring regions
Comprehensive Approach
7
 conceptual answer to these challenges = “Comprehensive
Approach”
 = all-encompassing response to the demands in crisis
management
 external and internal coordination of policy instruments and
the coherence of common objectives between different
actors
 adopted by all main international organizations
 recent efforts to implement it - mixed results
Comprehensive Approach Antithesis?
8
Mölling, Ch. – Major, C. (2009): Comprehensive Approaches to Crisis
Management. Analytical perspectives and operative concepts of
international organisations, p. 38.
9
EU comprehensive
approach - 2013
UN crisis management
10
 most active in the area of peacekeeping  most affected by the
changes of crises
 from traditional monitoring of ceasefires and patrolling buffer zones
towards highly complex scenarios (interstate, ethnic or tribal
conflicts and civil wars)
 UN PKOs became multidimensional
 = military, police, political, civil affairs, rule of law, human rights,
humanitarian, reconstruction, public information and gender components
 increased demand for personnel and expertise and complexity of
missions
 need to develop a comprehensive doctrine
UN crisis management
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 UN’s adaptation efforts have culminated in the so called Integrated
missions (IM) concept (2006)
 = specific type of operational process and design, where the planning and
coordination processes of the different elements of the UN units are integrated
into a single country-level UN system
 in a high number of multidimensional peacekeeping operations
 tension among various actors
 e. g. the “Department for Political Affairs” and the “Department for
Peacekeeping Operations” rival over the overall control of operations
 still in a starting phase
 need for better channels of communication between the different
agencies
Sources
 EU (1997): Treaty on the European Union, consolidated version, on-line text (http://eur-
lex.europa.eu/en/treaties/dat/11997D/htm/11997D.html).
 Giegerich, B. (2008): European military crisis management. Connecting ambitions and reality, Oxon: Routledge.
 Keukeleire, S. – MacNaughtan, J. (2008): The Foreign Policy of the European Union, Hampshire and New York, Palgrave
Macmillan.
 Kupferschmidt, F. (2007): Crisis Management. A Combined Effort with Civil and Military Means, Stiftung Wissenschaft und
Politik, on-line text (http://www.swp-berlin.org/common/get_document.php?asset_id=3694).
 Lindborg, C. (2002): European Approaches to Civilian Crisis Management, British American Security Information Council,
on-line text (http://www.basicint.org/pubs/Research/2002ccm.pdf).
 Military Technology (2006): Crisis Management – A Fundamental Security Task, No. 9, s. 57-65.
 Mölling, Ch. (2008): Comprehensive Approaches to International Crisis Management, CSS Analyses in Security Policy, Vol.
3, No. 42, s. 1-3, on-line text (http://se2.isn.ch/serviceengine/FileContent?serviceID=10&fileid=0F000603-3181-4CFD-9153-
D8AADAAF6337&lng=en).
 Mölling, Ch. – Major, C. (2009): Comprehensive Approaches to Crisis Management. Analytical perspectives and operative
concepts of international organisations, on-line text (www.unc.edu/euce/eusa2009/papers/mölling_11D.pdf).
 NATO (2002): AJP-01(B) Allied Joint Doctrine.
 NATO (2001): AJP-3.4.1. Peace Support Operations.
 NATO (2003): AJP-9, NATO Civil-Military Co-operation (CIMIC) Doctrine, on-line text (http://www.nato.int/ims/docu/ajp-
9.pdf).
 NATO (2006): Comprehensive Political Guidance, on-line text (http://www.nato.int/docu/basictxt/b061129e.htm).
 UN DPKO (2008): United Nations Peacekeeping Operations. Principles and Guidelines, on-line text
(http://www.un.org/Depts/dpko/dpko/).
 von Kielmansegg, S. (2007): The Meaning of Petersberg: Some Considerations on the Legal Scope of ESDP Operations,
Common Market Law Review, Vol XLIV, No 3, pp. 629-648.
12
EVOLUTION OF UN PEACEKEEPING AND
ITS PRINCIPLES
4 October 2016
Content
 Definition & principles of UN peacekeeping
 Generations of UN peacekeeping
 Peacekeeping and related UN activities
 UN peacekeeping challenges
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Defining UN peacekeeping
 no mention in the UN Charter
 peacekeeping was not anticipated (strong principles of sovereignty and non-
intervention)
 Cold War  the Security Council blocked  necessity of other ways of dealing with
conflicts
 between chapter VI and VII of the UN Charter
 VI - “pacific settlement of disputes”
 VII - “actions with respect to threats to the peace, breaches to the peace, and acts of
aggression” (Articles 41 vs. Article 42)
 “chapter six-and-a-half” initiatives (Dag Hammarskjöld)
 practical implications:
 peacekeeping as an ad hoc response to crises
 key concepts developed through practice
 gradual reinterpretation of UN Charter provisions
15
Chapter VII
 Chapter VII trigger – Article 39:
 The Security Council shall determine the existence of any threat to the peace,
breach of the peace, or act of aggression and shall make recommendations, or
decide what measures shall be taken in accordance with Articles 41 and 42, to
maintain or restore international peace and security.
 Responses:
 Article 41:
 The Security Council may decide what measures not involving the use of armed force
are to be employed to give effect to its decisions, and it may call upon the Members of
the United Nations to apply such measures. These may include complete or partial
interruption of economic relations and of rail, sea, air, postal, telegraphic, radio, and
other means of communication, and the severance of diplomatic relations
 Article 42:
 Should the Security Council consider that measures provided for in Article
41 would be inadequate or have proved to be inadequate, it may take
such action by air, sea, or land forces as may be necessary to maintain or
restore international peace and security. Such action may include
demonstrations, blockade, and other operations by air, sea, or land forces
of Members of the United Nations.
16
Principles of UN peacekeeping
 United Nations Emergency Force as a precedent
 set of principles:
 consent for the establishment of the mission
 non-use of force except in self-defense
 voluntary contributions from small, neutral countries
 impartiality
 control by the secretary-general
 Marrack Goulding: “field operations established by the United Nations, with the
consent of the parties concerned, to help control and resolve conflicts between
them, under United Nations command and control, at the expense collectively of
the member states, and with military and other personnel and equipment
provided voluntarily by them, acting impartially between the parties and using
force to the minimum extent necessary”
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Principles of UN peacekeeping
 “holy trinity” of traditional peacekeeping:
 consent
 impartiality
 non-use of force
 over time, traditional principles of peacekeeping have changed more or less
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Impartiality vs. neutrality
 1948 – UNTSO – observer force in Israel as first PKO ever
 1956 – UNEF I – Egypt, first MCMO
 Guided by aforementioned principles
 Impartiality = not forcing a specific solution
 Neutrality = not tipping the local balance of power
 impartiality = neutrality – only when required action is at the behest
of target country demands
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Impartiality vs. neutrality
 1990s
 Gradual loss of neutrality
 Impartiality = equal implementation of measures
 Hostile parties begin to be named
 2000 Brahimi Report
 Impartiality = loyalty to mission mandate and UN Charter
 Neutrality being substituted by humanitarian protection
 2008 Capstone Doctrine
 Impartiality = loyalty to mission mandate and UN Charter without
prejudice
 Neutrality – not possible any longer except for Buffer Zones
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First generation
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 traditional or classical PKOs
 Cold War (not exclusively!)
 Ramsbotham – Woodhouse: “operations involving military personnel, but
without enforcement powers, undertaken by the United Nations to help maintain
or restore international peace and security in areas of conflict”
 Chapter VI of the UN Charter
 between the deployment of UN Emergency Force (UNEF I) in 1956 and the
UN Transitional Assistance Group (UNTAG) in Namibia in 1988
 e. g. operations in the Middle East, Cyprus, Dominican Republic, on the
border of India and Pakistan, Yemen
First generation
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 lightly armed or unarmed forces
 to monitor a truce, troop withdrawal or buffer zone
 principles of:
 consent
 neutrality (troops from neutral countries)
 impartiality (not taking sides)
 minimum use of force (given the consent of the parties)
 exception = the operation in Congo (ONUC, 1960-1964)
 characteristics of a second generation peacekeeping
 force far beyond self-defense
 prevention of secession by Katanga
 first robust force (up to 19 000 troops)
Second generation
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 end of the CW  expansion of the use of peacekeeping  attempts
to redefine peacekeeping
 traditional peacekeeping not applicable in post-Cold War conditions
 collapsing state authority, warlords not respecting negotiated
agreements  consent uncertain, danger of an attack on UN forces
 traditional formula of non-use of force except of self-defence
ineffective / life-threatening
  requiring something between classical peacekeeping and fullscale
war
Second generation
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 “multidimensional operations”, “wider peacekeeping”, “peace support
operations” – adding especially DDR, SSR, post-conflict reconstruction
 strengthening the military capabilities, better cooperation between military
and civilian actors
 examples:
 Namibia (UNTAG, 1989-90)
 El Salvador (ONUSAL, 1991-95)
 Cambodia (UNTAC, 1992-93)
 Mozambique (ONUMOZ, 1992-94)
 1st generation PK = conflict management X 2nd generation PK = conflict
resolution
 next to military tasks also police and civilian tasks
Functions of peacekeeping operations
(Ramsbotham – Woodhouse 1999)
25
Military functions
(1st + 2nd G)
Political functions
(2nd G)
Humanitarian functions
(2nd G)
Cease-fire observation and
monitoring
Upholding law and order Protecting aid convoys
Maintaining buffer zones Election administration Protecting relief workers
Disarming warring factions Exercising temporary authority Providing humanitarian aid
Regulating the disposition of
forces
Helping to establish viable
government
Establishing safe havens
Clearing mines Training police forces Assisting in refugee repatriation
Preventing infiltration Confidence-building measures
Verifying human rights
agreements
Verifying security agreements Management of local disputes
Logistical support for
humanitarian projects
Third generation
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 = peace enforcement
 to protect the delivery of humanitarian assistance, to enforce
ceasefires, to assist in rebuilding “failed states”
 lack of consent by one or more of the parties
 Chapter VII of the UN Charter  allows for the use force beyond
self-defence
 examples:
 former Yugoslavia (UNPROFOR, 1992-95)
 Somalia (UNOSOM II, 1993-95)
Peacekeeping and related UN activities
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 several forms of UN activities in the field of crisis management
and conflict resolution, mutually interconnected
 conflict prevention
 mainly diplomatic measures to keep tensions and disputes from
escalating
 early warning, information gathering, analysis
 Secretary-General’s “good offices”, preventive deployment,
confidence-building measures
 peacemaking
 measures to address conflicts in progress
 diplomatic action to bring hostile parties to a negotiated agreement
 Secretary-General’s “good offices”
 envoys, governments, groups of states, regional organizations, nongovernmental
groups, prominent personalities
Peacekeeping and related UN activities
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 peace enforcement
 the application of coercive measures
 authorized by the Security Council
 also regional organizations and agencies
 peace building
 to reduce the risk of (re)lapsing into conflict by strengthening
national capacities for conflict management
 complex, long-term process of creating the necessary
conditions for sustainable peace; addresses the deep-rooted
causes of a conflict
Linkages of UN crisis management activities
29
UN peacekeeping in numbers
30
 68 UN PKOs from 1948 till 2014
 currently 15 operations in total
 personnel aspects (as of 2014):
 96,877 of uniformed personnel
 from 116 countries
 82,127 troops, 12,930 police and 1,820 military observers
 5,032 people as international civilian staff
 11,693 people as local civilian staff
 1,980 people as UN volunteers
 117,404 people in all 15 current UN PKOs
 up to one million people in UN PKOs since 1948
 financial aspects:
 Approved resources for the period from 1 July 2013 to 30 June 2014:
about $7.54 billion
Current peacekeeping operations
31
Sources
32
 Bellamy, A. J. – Williams, P. – Griffin, S. (2004): Understanding Peacekeeping,
Cambridge, Polity Press.
 Doyle, M. W. – Sambanas, N. (2007): The UN record on peacekeeping operations,
International Journal, Vol LXII, No 3, pp. 495-518.
 Bureš, O. (2006): UN Peacekeeping in the 21st Century: A Capabilities-Expectations Gap
Analysis, Politologický časopis, Vol XIII, No 4, pp. 379-398.
 Bureš, O. (2008): United Nations Peacekeeping: Bridging the Capabilities-Expectations
Gap, Saarbrücken, VDM Verlag.
 Goulding, M. (1993): The evolution of United Nations peacekeeping, International
Affairs, Vol LIXX, No 3, pp. 451-464.
 Morrison, A. et al. (1999): Peacekeeping, in Kurz, L.: Encyclopedia of Violence, Peace and
Conflict, London, Academic Press.
 Ramsbotham, O. – Woodhouse, T. (1999): Encyclopedia of International Peacekeeping
Operations, Santa Barbara, ABC-Clio.
 UN DPKO (2008): United Nations Peacekeeping Operations. Principles and Guidelines,
on-line text (http://www.un.org/Depts/dpko/dpko/).
 Yilmaz, M. E. (2005): UN Peacekeeping in the Post-Cold War Era, International Journal
of World Peace, Vol XXII, No 2, pp. 13-28.
 http://www.un.org/en/peacekeeping/