EVALUATION OF HUMANUNDP ASSISTANCE TO CONFLICT-AFFECTED COUNTRIES SECURITY
Evaluation Office United Nations Development Programme EVALUATION TEAM
Team Leader Mary Kaldor (Professor of Global Governance, London School of Economics)
International Carrol Faubert Consultants (Principal Consultant, Abacus International Management LLC) Rajeev Pillay (Principal Consultant and General Partner, Abacus International Management LLC)
International Christine Chinkin Consultant for (Professor of International Law, Law and Gender London School of Economics)
National Andrea Calvaruso (Guatemala) Consultants Victor Mantantu Nathazi (Democratic Republic of the Congo) Parviz Mullojanov (Tajikistan) Mohammed Niaizi (Afghanistan) Michèle Oriol (Haiti) Omar Sharifi (Afghanistan) James Vincent (Sierra Leone)
UNDP Evaluation Office Task Managers Khaled Ehsan and S. Nanthikesan
Research Assistants Mat Bolton Nayma Qayum Sally Stares Sabine Selchow
Advisory Panel Dame Margaret Anstee (Former United Nations Under-Secretary-General) Graham Brown (Queen Elizabeth House, Oxford, United Kingdom) Sakiko Fukuda-Parr (Harvard University, former Director of UNDP’s Human Development Report Office) Robert Picciotto (Kings College, London; former Head of the Operations Evaluation Department [currently known as the Independent Evaluation Group],World Bank) Gunnar Sørbø (Director,The Chr. Michelsen Institute, Norway) Nira Yuval-Davis (Professor, University of East London, United Kingdom)
EVALUATION OF UNDP ASSISTANCE TO CONFLICT-AFFECTED COUNTRIES
Copyright © UNDP 2006, all rights reserved. Manufactured in the United States of America The analysis and recommendations of this report do not necessarily reflect the views of the United Nations Development Programme, its Executive Board or the United Nations Member States. This is an independent publication by UNDP and reflects the views of its authors. Design: Suazion Inc. (NY, suazion.com) Production: A.K. Office Supplies (NY) Foreword
Nearly 33 million people around the world The evaluation recommends that UNDP were rendered homeless last year due to take a bolder position in impressing upon violent conflicts. The many agencies of the Security Council and the international the UN system are actively engaged in community the paramount importance of supporting these communities to reclaim integrating development concerns within the right to live with dignity and security. UN strategies for security. Recognizing that Crisis prevention and recovery is a core UNDP is best placed to address the structural practice area for UNDP, with activities conditions conducive to conflict, the report in conflict-affected countries constituting urges the organization to strengthen its nearly 40 percent of global expenditure in analytical and programmatic capacity in 2005. Given the significance of this work, core development areas rather than in the UNDP Executive Board requested the carrying out adhoc gap-filling exercises. Evaluation Office to conduct an independent And UNDP is encouraged to finance these evaluation of UNDP assistance to conflict- activities through increased core funding. affected countries. This report is a result of the dedication and This evaluation documents the changing contributions of many people.The Evaluation character of conflict in the past few Office is deeply grateful to the evaluation decades, underlining that violations of team that produced it. The team was led by human rights and human security are not Mary Kaldor. She was supported by Rajeev a side effect but a central methodology of Pillay and Carrol Faubert. The international current violent conflicts. The report concludes consultant for law and gender, Christine that while the international community has Chinkin, provided support to the team in succeeded in stabilizing conflicts, it has not drafting the report. The international team adequately addressed the structural conditions was joined by a team of national experts: conducive to conflict. The response needs to Andrea Calvaruso (Guatemala), Parviz be more coherent, integrating humanitarian Mullojanov (Tajikistan), Victor Mantantu and development concerns into peace- Nathazi (Democratic Republic of the Congo), building efforts. A strategy to prevent Mohamed Niaizi (Afghanistan), Michèle conflict must address the conditions that Oriol (Haiti), Omar Sharifi (Afghanistan), are conducive to violent conflict and be James Vincent (Sierra Leone). bound up integrally with improving human security. For this reason, the report uses the The evaluation benefited from the advice of analytical framework of human security to an advisory panel of leading international capture the sustainability and effectiveness experts drawn from academia and the public of UNDP assistance to prevent conflict arena: Dame Margaret Anstee, Graham and build peace. Brown, Sakiko Fukuda-Parr, Robert Picciotto, Gunnar Sørbø and Nira Yuval-Davis. The analysis of UNDP assistance to conflict- affected countries since 2000 is based on The team was assisted by researchers Mat detailed case studies of six Security Council- Bolton, Nayma Qayum, Sally Stares and mandated countries (Afghanistan, Democratic Sabine Selchow. Concepcion Cole and Republic of the Congo, Guatemala, Haiti, Michelle Sy provided administrative support Sierra Leone and Tajikistan). This was to this exercise and Anish Pradhan provided supplemented by a survey of 24 countries technical support to the publication process. receiving support from the UNDP Bureau We would also like to express our appreciation for Crisis Prevention and Recovery. to Lois Jensen, editor of this report, and to
FOREW ORD i Shreya Dawan, editor of the country studies. and the Evaluation Office. Without their In the Evaluation Office, the evaluation interest and involvement, the evaluation was task-managed by Khaled Ehsan and would not have been possible. S. Nanthikesan. I hope that this evaluation will be useful to We are very grateful to government and civil a broad audience and that it will contribute society representatives in the case-study to more effective support from UNDP to countries who candidly fielded many building societies where people can live questions from the team. I would like to free from fear and free from want. single out for special thanks all the Resident Representatives and UNDP staff of the countries visited by the team, the Director and Deputy Director of the Bureau for Crisis Prevention and Recovery Saraswathi Menon and other colleagues in Headquarters units Director who provided vital feedback to the team UNDP Evaluation Office
ii FOREW ORD Contents
Acronyms and Abbreviations v
Executive Summary vii
1. Introduction 1 1.1 Conceptual Framework 1 1.2 Methodology3 3
2. Trends in Human Security and Conflict 11 2.1 Trends in Human Security in Conflict-affected countries 12 2.2 The Changing Character of Conflict 18 2.3 Implications for Policy 21
3. Challenges Facing the International Community and the United Nations 23 3.1 Protecting Civilians 25 3.2 Establishing Legitimate Political Authority 25 3.3 Prioritizing Development 27 3.4 Mainstreaming Gender 27 3.5 Moving Beyond Phases and Timelines 28 3.6 Focusing on the Regional Dimensions of Conflict 28 3.7 Avoiding a Heavy ‘Footprint’ 29 3.8 Ensuring Security 29
4. The UNDP Response 31 4.1 UNDP’s Role in Conflict-affected Countries 31 4.2 The Relevance of UNDP’s programmes in Conflict-affected countries 38 4.3 Funding 43 4.4 Human Resource Capacity 45 4.5 Management and Efficiency 46 4.6 Sustainability: Direct versus National Implementation 48 4.7 Monitoring and Evaluation 49
5. Coordination and Partnerships 51 5.1 Coordination of UNDP Assistance to Conflict-affected Countries 51 5.2 Integrated Missions 52 5.3 Other Partnerships 53
6. Lessons Learned and Recommendations 57
Annexes Annex 1. Executive Summaries of the Case Studies 65 Annex 2. Terms of Reference 75 Annex 3. Questionnaire 87 Annex 4. List of People Consulted 89 Annex 5. Select Bibliography 99 Annex 6. UN Coordination Mechanisms for Peace Strategies 113
C ONTENTS iii Figures Figure 1. Changes in Per Capita GDP in Five Case-study Countries 15 Figure 2. Changes in Human Development Index Rankings in Four Case-study Countries 16
Tables Table 1. Main Sources of Information Used to Assess UNDP Performance 5 Table 2. Categories of Actors Interviewed for Country Case Studies 6 Table 3. Summary of Questionnaire Responses 8 Table 4. Human Security, ODA and UNDP Expenditure in Six Case-study Countries 11 Table 5. Conflict Casualties in Six Case-study Countries 13 Table 6. Refugees and Internally Displaced Persons in Six Case-study Countries 14 Table 7. Access to Improved Sanitation Facilities and Sources of Water in 2004 in Six Case-study Countries 16 Table 8. ODA to Selected Countries Receiving Assistance from the UNDP Bureau for Crisis Prevention and Recovery 23 Table 9. UNDP Expenditure in Selected Countries Receiving Assistance from the UNDP Bureau for Crisis Prevention and Recovery 31 Table 10. UNDP Activities in Six Case-study Countries 33 Table 11. Cornerstone Projects Undertaken by Selected Countries Receiving Assistance from the UNDP Bureau for Crisis Prevention and Recovery 38 Table 12. UNDP’s Partners in Selected Conflict-affected Countries 54 Table 13. Summary of Case Study Findings 58
iv C ONTENTS Acronyms and Abbreviations
BCPR Bureau for Crisis Prevention and Recovery (UNDP) BDP Bureau for Development Policy (UNDP) BOM Bureau of Management (UNDP) BRSP Bureau for Resources and Strategic Partnerships (UNDP) CIDA Canadian International Development Agency DPA Department of Political Affairs (UN) DDR Disarmament, demobilization and reintegration DDRR Disarmament, demobilization, reinsertion and reintegration DFID Department for International Development (United Kingdom) DPKO Department of Peacekeeping Operations (UN) DRC Democratic Republic of the Congo ECHA Executive Committee for Humanitarian Affairs ECHO European Commission’s Humanitarian Aid Department ECPS Executive Committee on Peace and Security EOSG Executive Office of the Secretary-General (UN) FAO Food and Agriculture Organization of the United Nations GDP Gross domestic product GNI Gross national income GNP Gross national product HDI Human development index IASC Inter-agency Standing Committee IDPs Internally displaced persons ILO International Labour Organization MDG Millennium Development Goal MICAH International Civilian Support Mission in Haiti MINUGUA United Nations Verification Mission in Guatemala MINUSTAH United Nations Stabilization Mission in Haiti MONUC United Nations Mission in the Democratic Republic of the Congo MYFF Multi-year Funding Framework (UNDP) NGO Non-governmental organization OCHA Office for the Coordination of Humanitarian Affairs (UN) ODA Official development assistance OHCHR Office of the UN High Commissioner for Human Rights PRSP Poverty Reduction Strategy Paper RBA Regional Bureau for Africa (UNDP) RBAP Regional Bureau for Asia and the Pacific (UNDP) RBEC Regional Bureau for Europe and the CIS (UNDP) RBLAC Regional Bureau for Latin America and the Caribbean (UNDP) SIDA Swedish International Development Cooperation Agency SWAps Sector-wide approaches USAID Unites States Agency for International Development UNAMA United Nations Assistance Mission in Afghanistan UNAMSIL United Nations Mission in Sierra Leone UNDAF United Nations Development Assistance Framework UNDGO United Nations Development Group Office UNDP United Nations Development Programme UNFPA United Nations Population Fund UNHCR Office of the UN High Commissioner for Refugees UNICEF United Nations Children’s Fund UNIFEM United Nations Development Fund for Women UNOPS United Nations Office for Project Services WFP World Food Programme WHO World Health Organization
A CRONYMS AND ABBREVIATIONS v
Executive Summary
BACKGROUND AND OBJECTIVES recruited in each of the case-study countries. Semi-structured interviews were conducted This study on UNDP support to conflict- with UNDP staff along with government affected countries was conducted by UNDP’s officials, civil society members, parliamen- Evaluation Office in response to a request tarians, international observers, UN mission from UNDP’s Executive Board. In a decision and agency personnel, bilateral and other taken in 2000, the Board decided that crisis multilateral agency staff, national and inter- prevention and recovery should become a core national academics, members of the military practice area for UNDP.By 2005, activities in and the police, private businesspeople, conflict-affected countries constituted nearly journalists and other media representatives. 40 percent of UNDP’s global expenditure. The evaluation was undertaken by a core SCOPE AND APPROACH team of three senior international consultants, supported by national consultants in each This evaluation was designed to assess the country visited. extent to which UNDP has helped address the structural conditions conducive to conflict so that a recurrence of armed KEY FINDINGS conflict could be prevented. Towards this end, it looked at the changing character In the six case-study countries, overt of conflicts around the world and the conflict continues only in Afghanistan and international response to growing human the Democratic Republic of the Congo. security concerns. UNDP’s policies and However, in all cases, there are low levels operations in conflict-affected countries of human security, measured in terms were examined in the context of UN of population displacement, human rights reform, especially integrated UN peace- violations, high crime rates, violence and keeping and peace-building missions. discrimination against women, economic insecurity (especially joblessness), and Research and analysis covered the period vulnerability to natural and man-made 2000-2005 and involved in-depth case studies disasters. In all six case studies, it is possible in six countries—Afghanistan, Democratic to identify common structural conditions Republic of the Congo, Guatemala, Haiti, that make conflict more likely to be violent. Sierra Leone and Tajikistan—all of which These include weak state institutions, low were, or still are, under Security Council participation in decision-making, weak civil mandate.The case studies were supplemented society institutions, inadequate institutions by a tailored, results-oriented survey of 24 to ensure the rule of law, erosion of the countries or areas that are recipients of monopoly of legitimate violence (that is, assistance from UNDP’s Bureau for Crisis the emergence of private armed groups), an Prevention and Recovery (BCPR), along undiversified economy dependent on with stakeholder interviews, desk research primary products and external markets, the and data collection. availability of small arms, large numbers of unemployed young men, unequal gender The evaluation relied upon both primary relations, a decline in human development, and secondary source data, including and the spread of an illegal/illegitimate past thematic and programme outcome economy. These conditions are aggravated evaluations. In order to gain an independent by the experience of conflict or by conflict perspective, national consultants were in neighbouring states.
EXECUTIVE SUMMARY vii The role of the international community many innovative projects, especially The international community has community-based ones. contributed to a decline in the overall number of conflicts by helping to sustain However, UNDP’s effectiveness is constrained peace agreements, often through the by the architecture of international agencies. United Nations. It has stabilized conflicts The international response continues to be mainly through a substantial international structured around a phased approach to conflict despite the integration of develop- presence. But it has not adequately ment agencies in the UN’s post-conflict addressed the structural conditions conducive response. UNDP is also constrained to conflict. Human security, therefore, by the lack of guaranteed core funding remains precarious and there is a risk of for development. Sixty-seven percent of recurrence of armed conflicts if the inter- UNDP’s global expenditures in the 24 national presence is reduced or withdrawn. conflict-affected countries or areas included Weaknesses of the international role include: in the survey are non-core; in the case- failure to provide sufficient protection to study countries, the proportion of non-core civilians; failure to establish legitimate to core was far higher. Partially as a result, political authority; insufficient engagement in the immediate post-conflict period with civil society; failure to prioritize UNDP has tended to undertake gap-filling development from the outset; failure to and administrative functions in order to be mainstream gender; insufficient attention of maximum relevance and utility to the to regional dimensions of conflict; the international community. In these new undermining of national structures through types of conflicts, there are often urgent the creation of parallel structures that leave a needs that do not fit the mandates of heavy ‘footprint’; and an excessive preoccu- specialized agencies. UNDP has clearly pation with security. built a reputation for managing direct budgetary support in an efficient and The role of UNDP accountable manner in the immediate post-conflict period and for meeting needs UNDP is an essential component of the that might otherwise be left unfilled. Its international effort and is uniquely ability to strengthen relevant institutions positioned within the United Nations to beyond this, however, depends to a large address the structural conditions conducive extent on the interest of donors and the to conflict. availability of third-party funding.
As a resident agency, UNDP undertakes a Other weaknesses of UNDP include: lack wide range of activities in conflict-affected of systematic analyses of conflict or best countries that are specific to each situation. practices in conflict areas; insufficient Broadly speaking, these include activities attention to civil society and gender; lack aimed at recovery and reintegration of of expertise on the part of staff sent on war-affected populations, restoration of missions to conflict-affected countries and state authority and governance capacity- training for such staff; bureaucracy and building, justice and security sector reform, delays; difficulty in obtaining information poverty reduction and sustainable liveli- about what UNDP does and the procedures hoods, support for civil society, and through which it operates. regional cooperation. Much more effort is expended on the first three goals than on RECOMMENDATIONS the last three, however, reflecting the fact that UNDP is developing a niche expertise 1. Formulate a strategic vision. In order in these areas. UNDP has played a to strengthen its intellectual leadership, pioneering role in developing new strategic UNDP, in conjunction with other UN responses to conflict and has introduced bodies, especially the Department of viii EXECUTIVE SUMMARY Political Affairs (DPA), needs to and need to be integrated into elaborate a strategic vision based on strategic planning at all stages of a the concept of human security. The conflict. Debate and discussion concept of human security provides an with all partners—including other umbrella under which the structural agencies, government and civil conditions leading to conflict can be society—on how to achieve a addressed. This strategic vision should coherent approach are critical. highlight the importance of: n A bottom-up approach. The people n Human rights (both political and who have lived through conflict civil and economic and social rights). are usually the best guides to the The physical and material security specific mix of policy responses of individuals is the primary goal that are required. At all stages of of any post-conflict intervention. peace-building, it is important to This should receive priority over listen to and involve a range of groups top-down political concerns. In in civil society, including women some places, the view prevails that and grass-roots organizations as political stability—meaning deals with well as politicians and former former warlords or commanders— warlords/commanders. takes precedence over political n Regional focus. Conflicts tend to and civil rights, and economic spread over borders. Yet programmes stability—balanced budgets and are country-based. Much more low inflation—takes precedence attention needs to be paid to over economic and social rights. In regional frameworks. contemporary conflicts, this is misguided since stability, in the long 2. Integrate development concerns within run, depends on respect for human United Nations strategies for security. rights. The rule of law, political Development is still seen as an add- participation, and the livelihoods on to conflict recovery programmes. of individuals are critical to Nevertheless, development is critical to conflict prevention and recovery. addressing the structural conditions conducive to conflict. UNDP needs to n Legitimate political authority. In take a bolder position in impressing upon order to create an environment in the Security Council and other political which human rights are respected, bodies the paramount importance of the establishment of legitimate development concerns. In order to political authority is necessary.The improve the integration of develop- emphasis on legitimacy implies ment concerns in conflict situations: that this is not just a matter of establishing state institutions; it n The Administrator of UNDP also requires the building of should brief the Security Council, trust and respect for institutions. as do the High Commissioner for Human Rights and the High The engagement of civil society is Commissioner for Refugees. just as important as the construc- tion of formal institutions. And n Development assistance should non-formal institutions such as be included in funds earmarked families, companies or educational for missions with a Security facilities also need to be sustained Council mandate. throughout conflicts. n UNDP should be involved in the n Coherence. Poverty reduction and negotiation of peace agreements and sustainable livelihoods must be key should press for the involvement of components of the overall vision civil society and women’s groups.
EXECUTIVE SUMMARY ix n Development concerns should have reform; accountability and anti- a stronger voice in integrated offices. corruption programmes.
n Development should be considered n Justice and security sector reform, one of the priorities in the new including independence of the Peace-building Commission. judiciary; access to justice; key institutions for guaranteeing human rights; and the restructur- 3. Build substantive capacity in core ing of the civilian police and the areas of peace-building. Recent military. conflicts, including those studied for this report, have exposed the need for n Poverty reduction and sustainable certain types of activities that deal livelihoods, especially community- with the conditions that lead to based development that emphasizes conflict and that are not addressed by local empowerment and the creation other agencies. Rather than carrying of employment and sustainable out these activities in an ad hoc livelihoods through people-centred, fashion, UNDP needs to develop a area-based programmes and small- substantive capacity in core areas that scale credit schemes; and the builds on the innovation and the development of policies that foster best practices of existing UNDP the growth of small enterprises programmes and that can be replicated and sustainable livelihoods. in different situations. 4. Improve the effectiveness of imple- UNDP’s mandate in these areas places mentation. One of UNDP’s perceived it, potentially, at the very centre of a strengths is that some of its procedures concerted peace-building programme. are currently more flexible than those More specifically, within the framework of other actors in the UN system. As a of a strategic vision, UNDP needs to result, it is often better able to innovate address the following: in response to crises. This edge should be maintained. But to further increase Recovery and reintegration of n operational flexibility, intellectual war-affected populations, including responsiveness and speed of delivery, disarmament, demobilization and UNDP should: reintegration and mine action; long-term political reconciliation n Develop analytical capacity to under- that extends the political agreements stand specific conflicts and monitor reached at the centre to local human security. UNDP needs to levels, including the equivalent of build capacity among think tanks truth commissions and/or war and academic institutions in conflict- crimes tribunals. affected countries so as to have a long-term analysis of the conflict Governance and capacity-building, n situation and relevant data on including strengthening parlia- human security. mentary institutions to broaden participation and inclusion in n Enhance human resources in conflict- decision-making; decentralization, affected countries. This should include with a view to empowering local the development of a clear and communities; strengthening the role effective set of incentives to attract of key civil society institutions— experienced staff to serve in not just in the delivery of services, conflict-affected countries; training but also as sources of knowledge, programmes in all facets of human as watchdogs and as independent security designed to facilitate advocacy groups; public sector adaptation to new activities for x EXECUTIVE SUMMARY national and international staff in of field offices with the necessary countries affected by conflict or in delegation of authority. fragile states; workshops, seminars 5. Enhance coordination and partnerships. and other forms of debate about Coordination mechanisms should be human security policies and streamlined and reduced in overall specific contexts, both in New number. Moreover, they should provide York and in-country. substantive, clear-cut, general strategic n Strengthen internal UNDP decision- frameworks for addressing the structural making mechanisms. Conflict situations causes of conflict rather than the tend to require intensive oversight management of funds. Subsidiary and management. Such support could teams could be established in order to be provided through the re-establish- address contributing themes, such as ment of the committee for the macroeconomic policy and revenue management of UNDP operations and budget management, the rule in all conflict-affected countries. of law and access to justice, public This committee, which could be administration and civil service reform, chaired by the UNDP Administrator, gender and the role of women, and the construction of essential infrastructure, Associate Administrator or Director among others. for the Bureau for Crisis Prevention and Recovery, would be responsible UNDP also needs to further develop for reviewing policies and approaches, certain key strategic partnerships. It capacity requirements, the allocation of has already begun to develop its resources, partnerships and political partnership with DPA and the UN relations, resource mobilization and Department of Peacekeeping Operations, the effectiveness of programmes. as witnessed in the establishment of the Executive Committee on Peace n Undertake a systematic review of its and Security and the integrated offices. financial and administrative procedures. UNDP also needs to strengthen its n Emphasize full transparency, partic- partnership with the World Bank ularly by ensuring the regular with a view to mobilizing resources updating of its national websites to generate jobs and sustainable and by posting more systematically livelihoods, as well as the revenue base user-friendly information on of national institutions. It needs to projects, budgets, procurement help build government capacity while and recruitment. ensuring that external assistance reaches beneficiaries. And it needs to engage n Improve its outreach beyond capitals, with civil society so as to help shape including through the establishment legitimate institutions.
EXECUTIVE SUMMARY xi
Chapter 1 Introduction
Conflict is a normal part of social and recommendations will take into account political interaction. It is, however, a failure the implications of these approaches for of development when institutional and longer-term development. The evaluation structural failures cause conflict to take aims to highlight areas where UNDP’s violent forms. Indeed, armed conflict can comparative advantage has been proven be viewed as a failure of key institutions of or is emerging as well as to identify gaps governance—both of the state and in civil and provide recommendations on how society. It is also often a result of economic UNDP could address these gaps. stagnation and a failure to provide economic and social opportunity to significant 3. Indicate how UNDP has used partnerships portions of the population. As such, at local, national and international UNDP’s development, capacity-building levels and positioned itself vis-à-vis and governance mandate should be central other actors, who provide both transition to the United Nations’—and, by extension, and longer-term development support. the international community’s—response This will include suggestions as to what to conflict. capacities and skills the organization most needs and that could be further This results-based evaluation has been developed to bring greater coherence and conducted by the UNDP Evaluation Office relevance to its post-crisis interventions. to inform the policies and approaches that 4. Provide substantive insight on how UNDP adopts in conflict-affected countries, lessons from programmes and strategies especially countries under Security Council implemented in the immediate post-crisis or General Assembly mandates. To do so, period can be institutionalized within the UNDP’s response was looked at in terms of organization through systematic monitor- its operations, its coordination of the UN ing and evaluation, and adapted and system and its policy work, encompassing made more relevant to country needs. the entire organization and not just its Bureau for Crisis Prevention and Recovery (BCPR). More specifically, the evaluation This report was based on six case studies of was intended to: countries in which UNDP was operating under a UN Security Council mandate: 1. Help UNDP document and analyse Afghanistan, the Democratic Republic the post-conflict assistance it has of the Congo, Guatemala, Haiti, Sierra provided in selected countries since Leone and Tajikistan. (Annex 1 provides a 2000 in the sensitive and frequently summary of each case study.) In addition, the fragile post-crisis (cease-fire) period. report was asked to provide further evidence The analysis will focus on specific from selected countries receiving assistance human security issues and their human from the BCPR. (The complete terms of development dimensions to reveal reference, from which these points were patterns of intervention that have been drawn, can be found in Annex 2.) both successful and unsuccessful. 2. Provide critical guidance on improving 1.1 CONCEPTUAL FRAMEWORK the effectiveness of current programming approaches in the early recovery period Human security means more than just the by assessing the results of UNDP security of states. It is about the security programming interventions to date. These of individuals and communities. It is
INTRODUCTION 1 concerned with both physical and material It is sometimes assumed that security is security, and confronting the insecurities related to the absence of physical violence that arise from political violence as well as while development is related to the absence from poverty, disease and environmental of material need. In fact, both concepts degradation. Physical insecurity usually include ‘freedom from fear’ and ‘freedom refers to threats emanating from the use of from want’. Security is about confronting violence, while material insecurity is the extreme vulnerability, not only in wars but consequence of threats emanating from in natural and man-made disasters, lack of basic necessities, including food and including famines, tsunamis and hurricanes. water, shelter, and medical care. In an era Development, as UNDP’s mandate makes of globalization, the concern with human clear, is concerned with constructing the security is linked to interdependence and capabilities needed to meet human need, the fact that no state can insulate itself especially the building of institutions. any longer from insecurity in other parts of Human need means more than a decent the world. and sustainable standard of living. It also means feeling safe on the streets and being The idea of human security was first able to influence political decision-making. promulgated in the 1994 Human Development Since violent conflicts are the consequence Report. The report argues that the concept of a failure of development, the human of security has “for too long been interpreted security response not only has to include narrowly: as security of territory from development, but the lessons learned may external aggression, or as protection of also indicate more general lessons for national interests in foreign policy or as development. Crises expose the weaknesses global security from a nuclear holocaust. and gaps in development efforts. It has been related more to nation states 1 than to people.” In order to meet the terms of reference defined above, the evaluation adopts a In the Report of the Commission on Human demand-driven or bottom-up approach. 2 Security, human security is a narrower Rather than starting with existing UNDP concept than either human development programmes and assessing their effective- or human rights. In relation to human ness, it began with human security needs in development, the report focuses on the conflict countries and investigated how ‘downside risks’: that is, the “insecurities well UNDP was performing in relation to that threaten human survival or the safety those needs. Since the role of UNDP was of daily life, or imperil the natural dignity often difficult to separate from the role of of men and women, or expose human the international community and the beings to the uncertainty of disease and United Nations in general, the evaluation pestilence, or subject vulnerable people set out to answer the following questions: to abrupt penury.” In relation to human 1. What are the trends in human security rights, the report refers to “a class of human and conflict in the case-study countries rights” that guarantee “freedom from basic and other selected countries since 2000? insecurities—new and old.”3 Thus, human security could be conceptualized as incorpo- 2. Since the absence of violent conflict rating minimum core aspects of both is an important component of human human development and human rights. security, what can this evaluation learn
1 Human Development Report 1994. 1994. New York: Oxford University Press for the United Nations Development Programme. 2 The 12-member Commission on Human Security was established in January 2001 and was co-chaired by Sadako Ogata and Amartya Sen. 3 Human Security Now, Final Report of the Commission on Human Security. 2003. Pages 2-4. Available at: http://www.humansecurity-chs.org/finalreport/index.html
2 CHAPTER 1 from these case studies about the 1.2 METHODOLOGY character of conflict? Furthermore, can this study identify the underlying The evaluation was based on studies in conditions that make violence more six countries preselected by the UNDP or less likely? Evaluation Office and the Bureau for Crisis Prevention and Recovery. All six 3. In countries where the United Nations cases—Afghanistan, Democratic Republic has intervened before, during or after of the Congo, Guatemala, Haiti, Sierra conflict, is it possible to conclude Leone and Tajikistan—are countries in that the intervention as a whole has which the UN has or has had a Security contributed to an improvement in Council mandate for peacekeeping and/or human security? In particular, has the peace-building. In Guatemala, the UN intervention addressed the conditions peace operation was officially structured that are likely to exacerbate conflict? quite separately from the UNDP and the 4. Is it possible to identify a specific UN Country Team. In Tajikistan, the UN UNDP role in contributing to human Security Council was involved in the security? Was UNDP assistance establishment of a Peace-building Support targeted at human security needs as Office managed by the UN Department of identified above? Political Affairs that was supposed to deliver on political responsibilities while 5. Did institutional arrangements within drawing on the UN Country Team, UNDP and with partners help or composed of both humanitarian and hinder UNDP’s role in contributing to development agencies. Afghanistan, Haiti, human security? Sierra Leone and the Democratic Republic 6. What lessons can UNDP learn for future of the Congo in many ways constitute the strategy, institutional arrangements, earliest trials of the concept of the and monitoring and evaluation? integrated office for conflict prevention, peace-building and post-conflict recovery Questions 1-5 were intended to address and development. objectives 1-3 of the terms of reference. Question 6 was aimed at objective 4. The case studies were supplemented by the collection of data on human security In Security Council-mandated countries, indicators, a questionnaire (see Annex 3) UNDP’s performance has to be measured addressed to countries receiving assistance within the framework and the milestones from the Bureau for Crisis Prevention and established by the Security Council. As Recovery as well as the use of general the leader of the Development Group sources. These included interviews in New and, by extension, usually the leader of York and Washington, documentary the development and humanitarian pillars research and the collection of macroeco- of peacekeeping and peace-building offices, nomic statistics on countries receiving UNDP’s efforts in conflict-affected assistance from BCPR. countries can also be judged by the extent to which it provides intellectual and 1.2.1 Case studies substantive leadership to the rest of the The evaluation assessed the relevance of system. It can be judged as well by the UNDP’s programmes in these six countries extent to which its programmes support in light of the six questions mentioned the broader UN effort and the effectiveness above. The case studies investigated: with which it can support the Special Representative of the Secretary-General in 1. Trends in human security, including marshalling the array of UN capabilities to the character of the conflict and the address the most critical structural causes conditions likely to lead to renewed or of human insecurity and conflict. exacerbated conflict.
INTRODUCTION 3 2. The overall role of the United Nations secondary sources of information, output in contributing to human security and and input-based project information and addressing the conditions conducive qualitative structured and semi-structured to conflict. interviews with stakeholders (partners, civil society, government, political parties, the 3. The role of UNDP, as measured by media and programme beneficiaries). the following:
n Relevance and positioning: The Because the evaluation was results-based, it relevance of UNDP’s programme placed considerable emphasis on the strategy and programmes within importance of gaining an independent the framework of the international perspective. To achieve this, independent community’s response to the crisis national consultants with a civil society in question. background were recruited to help arrange interviews and meetings, and to contribute n Results and effectiveness: The their own ideas to the study. In addition, ways and extent to which UNDP the interviews and stakeholder meetings programmes have contributed to included as many independent commentators, the achievement of human security. practitioners and activists as possible. What did the programmes achieve and how well were they achieved? The case studies involved four types of n Efficiency: The timeliness and activities: cost-effectiveness of programmes n ‘Insider’ stakeholder meetings. In each (to the extent that the latter could country, workshops were held with four be assessed). groups: representatives of political parties; n Management: The capacity of non-governmental organizations (NGOs), the country office to manage its activists and religious leaders; women’s programmes and the effectiveness and groups; and independent intellectuals, efficiency of management structures including journalists, academics and and processes. Also considered are think-tank staff. the effectiveness of modalities of n ‘Outsider’ stakeholder meetings. Workshops execution and implementation. with UN Country Team, UN mission and n Coordination: What mechanisms UNDP staff, along with bilateral donors. and tools did UNDP use to support n Semi-structured interviews. Individual coordination of external assistance interviews were conducted with a range to the country? What was its of key national actors, including relevant relationship to partners? How government ministry officials, police and effective was the coordination? military officers, religious leaders, leading n Substantive leadership and credi- political figures, the Resident Coordinator bility: To what extent did UNDP and/or the Special Representative of help to define the development the Secretary-General. agenda and priorities during the n Field visits. On each mission, one or post-conflict period? How is two UNDP programmes were visited UNDP perceived? in the field as a means of verifying the information received. The evaluation was conducted using meta- evaluation techniques combined with the The following tools and sources of direct evaluation of programmes and information were used in the evaluation: projects. In the absence of systematically collected programme-related outcome n A survey of available statistical data data, the evaluation relied heavily on pertaining to human security as defined
4 CHAPTER 1 above (see Chapter 1.2.2), supplemented n Progress reports and other project by national statistical data collected documentation during the case studies n A list of general questions distributed in advance to all individuals and n Secondary sources of information groups interviewed in each of the pertaining to human security and the countries visited by the mission perceptions of people, including reports Semi-structured interviews with individuals prepared by third parties, surveys and n opinion polls and news articles n Semi-structured interviews with groups n Structured interviews with individuals n Relevant past programme and project out- come evaluations and/or country reviews n Structured interviews with groups n Project site visits. n Financial budget and delivery data pertaining to UNDP programmes in The use of these sources of information to relevant countries on a national and assess the various dimensions of UNDP global basis performance is elaborated in Table 1.
TABLE 1. MAIN SOURCES OF INFORMATION USED TO ASSESS UNDP PERFORMANCE Performance Main sources of information dimensions
Relevance and Political analyses prepared by think tanks and independent academic positioning sources. UN Security Council resolutions and reports. UNDP Country Programme Action Plans and Country Cooperation Frameworks. Interviews with UNDP and UN staff, government officials, political parties, and staff of international financial institutions and key multilateral and bilateral agencies.
Results and Project monitoring data. National and global human development effectiveness reports. National statistical information. Reports of other UN agencies. UN Common Country Assessments. Evaluations conducted by academic institutions or other agencies.Third-party opinion polls. Interviews with UNDP staff, project personnel, project beneficiaries. Interviews with representatives of civil society, donor agencies, government, political parties and the media.
Efficiency Budget and delivery data. Project documentation. Interviews with beneficiaries, government officials and project personnel.
Management Management audit reports. Staffing tables. Interviews with UNDP staff, the Deputy Special Representative of the Secretary-General/UN Resident Coordinator and the Country Director. Interviews with project personnel.
Coordination Records of inter-agency meetings. Resident Coordinator reports. UN Development Assistance Frameworks. Records of thematic group meetings. Joint needs assessment reports. Interviews with government officials. Interviews with UN agencies. Interviews with bilateral and multilateral agency personnel. Interviews with staff of international NGOs.
Substantive Review of issues papers, country assessments, country reviews, and national leadership or regional human development reports. Review of documentation and credibility on the Millennium Development Goals. Interviews with staff of UN agencies, the World Bank, bilateral and multilateral donors. Interviews with civil society actors and government representatives.
INTRODUCTION 5 The evaluation conducted extensive semi- Department of Peacekeeping Operations, structured interviews with UNDP, the UN the UN Office for Project Services, the Department of Political Affairs, the UN Office of the United Nations Development
TABLE 2. CATEGORIES OF ACTORS INTERVIEWED FOR COUNTRY CASE STUDIES
Actors Main evaluative questions Type of meeting
Civil society To what degree have conditions of human develop- Separate semi-structured leaders, ment and human security improved or worsened group meetings with politicians, during the period in question? What do you think of each subgroup: national national the overall peace-building strategy adopted by the civil society organiza- NGOs parties involved, the international community and tions; representatives UNDP in particular? What do you think of the role and of political parties; performance of UNDP and its programmes? national NGOs.
Government What aspects of UNDP's role did the government Individual meetings with appreciate the most? How could UNDP raise its value- ministers and government added? What does the government think of UNDP's officials directly involved programmes in terms of their relevance to needs, with UNDP programmes. effectiveness, and efficiency? What arrangements Group meetings with have been made to ensure sustainability of externally members of the judiciary. funded programmes? How should UNDP change? Group meetings with members of parliament.
Multilateral What are your views on trends and progress made Semi-structured individual and bilateral towards peace-building and human security? What are meetings with agencies UN partners your views regarding the performance (effectiveness, that contribute to UNDP efficiency, competence, strategic role) of the UN and programmes or those of UNDP in particular? How could UNDP have been that have taken a lead more effective? What value-added did UNDP provide? role in the process of What substantive leadership did UNDP provide? peace-building. Semi- structured group meetings with others.
UN peace- Describe the peace process and its successes and Semi-structured individual keeping failures.What inherent dangers are there in the meetings with senior or peace- current situation for a return to conflict? What role did officials of the UN building UNDP play in peace-building? What was your relationship operation. support with UNDP? What were the strengths and weaknesses office of the relationship? How effective was UNDP? How did UNDP support the peace process? How did UNDP support your role? What handover arrangements do you envisage upon completion of your mandate?
UN agencies What are your views on trends and progress made Semi-structured group and Bretton towards peace-building and human security? What meetings with UN Woods role did UNDP play? What is the value-added of UNDP? agencies. Semi-structured institutions How effective was it in supporting the coordination bilateral meetings with of the UN system? What was your experience of joint senior officials of the UN strategy development/resource mobilization/programme peacekeeping or peace- implementation? How did UNDP contribute to the building support office. effectiveness of the UN system? What could it have Semi-structured bilateral done better? What do you think of the capacity of meetings with World UNDP? What substantive role did UNDP play? Bank representatives.
UNDP How has your situation improved? How specifically Semi-structured group programme have you benefited from UNDP's projects/programmes? meetings at project sites. benefi- Overall, are you optimistic or pessimistic about your ciaries future? How did UNDP contribute to development in your area? What did it do right? What did it do wrong? How could it improve?
6 CHAPTER 1 Group, and a selection of UN fund and development. First, data on human programme staff in New York. Semi- development tend not to distinguish structured interviews were conducted with between immediate threats to human life the senior management of UNDP as well and longer-term threats, which are a as desk officers responsible for the case- consequence of underdevelopment. This study countries and relevant staff in the report focused on the ‘downside risks’ to Bureau for Crisis Prevention and Recovery, human beings, which is a much narrower Bureau for Resources and Strategic Partner- concept than human development. Second, ships, Bureau of Management and elsewhere human development indicators are more in the organization. One mission member readily available through the Human also conducted semi-structured interviews Development Reports and the Millennium with World Bank and US Agency for Inter- Development Goal (MDG) indicators; national Development staff in Washington, both sources of information were used for DC. (See Annex 4 for a comprehensive list the case studies. Third, to choose particular of people interviewed.) human development or MDG indicators as more suggestive than others of downside The evaluation team met and interviewed risks is a major conceptual task—well worth six categories of actors in each country, as doing but beyond the scope of this report. described in Table 2. The data also leave out some important In general, because much of the information aspects of human security, namely violent collected was qualitative, the evaluation sought crime and domestic violence, because of to cross-reference and verify information the difficulty in identifying relatively obtained by repeating questions from comprehensive data. different angles and by asking similar questions to different actors. In general, there is a paucity of data on human security, especially in relation to the 1.2.2 Selected statistics relating to most insecure countries, which includes human security the case-study countries. Moreover, the data tend to reflect earlier analytical The case studies were partly informed by a paradigms. Just as data on gross national survey of available statistics relating to product (GNP) or government expenditure human security for the six countries. The are much more readily available than data statistics covered four central aspects of on human development, so, too, data on human security: deaths from armed physical insecurity tend to focus on battle conflict, human rights violations, refugees deaths, even though most deaths in and internally displaced persons, and victims contemporary conflicts are the result of of natural and technological disasters. The violence deliberately inflicted on civilians indicators were chosen with Amartya Sen’s or of disease and hunger associated with war. definition in mind—for their immediacy in Perhaps the best indicator of human security relation to the physical security of the is population displacement, including both individual, but with a broader focus than refugees and internally displaced persons, battle deaths. The data chosen reveal the since it encompasses both physical and difficulty of distinguishing physical and material security and since relatively good, material security. Population displacement comprehensive data are available. data reflect both types of insecurity. Likewise, natural and technological disasters include famine or homelessness as a 1.2.3 The questionnaire consequence of floods or earthquakes, for A questionnaire was sent to UNDP example. (See Annex 5 for a list of printed country offices of the 46 countries or areas and web-based resources consulted.) that receive assistance from UNDP’s Bureau for Crisis Prevention and Recovery. The information does not include more The questions were designed after the case comprehensive data on aspects of human studies were completed and were aimed at
INTRODUCTION 7 verifying some of the findings from the task. The evaluation team faced the case studies. Country offices for 24 countries following key constraints: or areas responded to the questionnaire (Table 3). n Appropriateness of the sample: The six case-study countries selected for the For a fuller analysis of the responses, the evaluation team by UNDP emphasize reader may refer to the online version of UNDP’s role in Security Council- this report on the UNDP Evaluation mandated missions and serve to support Office website (www.undp.org/eo). an analysis than can generate conclusions about UNDP’s participation in integrated 1.2.4 Limitations of the evaluation UN peacekeeping and peace-building Evaluating UNDP’s activities in conflict- missions.This is important for assessing affected countries is a massive and complex the direction of future UNDP strategies
TABLE 3. SUMMARY OF QUESTIONNAIRE RESPONSES Country or area Region Angola Africa Burundi Africa Chad Africa Congo Africa Eritrea Africa Rwanda Africa Uganda Africa Zimbabwe Africa Cambodia Asia and the Pacific Indonesia* Asia and the Pacific Lao PDR Asia and the Pacific Nepal Asia and the Pacific Papua New Guinea Asia and the Pacific Philippines Asia and the Pacific Djibouti Arab States Somalia Arab States Bosnia and Herzegovina* Europe and the Commonwealth of Independent States Croatia Europe and the Commonwealth of Independent States Georgia Europe and the Commonwealth of Independent States Kosovo Europe and the Commonwealth of Independent States Kyrgyzstan Europe and the Commonwealth of Independent States Macedonia (TFYR) Europe and the Commonwealth of Independent States Serbia and Montenegro Europe and the Commonwealth of Independent States Guyana Latin America and the Caribbean
*Two entries were received for each for these countries.
8 CHAPTER 1 in conflict-affected countries within Results Framework/Results-oriented the context of UN reform. However, it Annual Report, project documents or does not fully reflect the role that action plans) presented a problem. UNDP plays at present in other This required the evaluators to identify countries faced with major or incipient potential indicators of performance internal conflicts or in areas affected by and seek third-party sources for the conflict in neighbouring countries. information collected or to attempt to define and collect information on a n Limitations of the survey: In order to address the above limitation, the snapshot basis. Furthermore, outcomes evaluation team issued a questionnaire were rarely explicitly presented in to conflict-affected countries that are terms of human security indicators, not under Security Council mandates. meaning that the evaluation team had The list was limited to those countries to identify and develop appropriate in which the UNDP Bureau for Crisis human security indicators. Data was Prevention and Recovery has provided then collected from a variety of sources technical support; 24 of the 46 countries/ of varying degrees of reliability. The areas contacted responded. limitations of the human security data are presented along with an analysis of n Time limitations: Five of the six case the data on the online version of this studies involved country visits of one report available on the UNDP Evaluation week each. Despite the extremely Office website. intensive nature of the visits and the considerable volume of information n Limitations of financial data: It has and evidence collected, it is fair to say been virtually impossible to obtain that the team, without exception, reliable, comprehensive, aggregate would have benefited from more time figures on resources managed by in each country, particularly to verify UNDP in conflict-affected countries. documentary evidence. While information pertaining to core resources is readily available, the n Scope: The terms of reference stipulated fragmented nature of cost-sharing and that the evaluation team was to review trust fund resources has rendered UNDP activities during the period reliable financial data very difficult 2000-2005. Yet key events in some of to come by. the case-study countries, such as Guatemala and Tajikistan, took place n Aggregation of data: The varied before this period. In such instances, sources of data used has made it the team reviewed activities in 2000 difficult to aggregate quantitative and prior years, compounding the indicators in a meaningful way when difficulties faced in conducting a attempting to measure performance or thorough review in the time allotted. make inter-country comparisons of Furthermore, the quality of data on performance. Where broad national UNDP performance prior to 2000 indicators were used, attribution to the was uneven. UNDP programmes was a problem. n Absence of systematic monitoring n Meta-evaluation: In accordance with data: Although programme outputs were the overall intent of the evaluation, this better documented in the countries study did not include direct verification visited than in some other UNDP of programme outputs. Rather, the programmes, the absence of monitoring evaluation used data collected and systems at the project or programme presented in progress reports and prior level to verify the achievement of evaluations of individual programmes outcomes (as defined in the Strategic and projects.
INTRODUCTION 9 1.2.5 Review process the comments of delegates. It was also This evaluation report was subject to a reviewed internally by the UNDP rigorous quality assurance process. The Evaluation Office and externally by an draft report was shared with UNDP senior Advisory Panel comprising international management at Headquarters and in development experts working in the area country offices and with key stakeholders of peace and human security as well as in all case-study countries for verification evaluation experts. These reviews focused of facts and accuracy in the interpretation on the operationalization of the terms of of data. In addition, the draft report was reference and the conceptual framework, presented to the UNDP Executive Board the methodology employed, and the in an informal session and benefited from validity of evidence used in the study.
10 CHAPTER 1 Chapter 2 Trends in Human Security and Conflict
During the first five years of the 21st ordnance and illegal armed groups continue century, the number of armed conflicts long after the cessation of hostilities. around the world was lower than at any time since the 1950s. According to the Despite the decline in the number of Human Security Report,4 the number of people killed in conflicts, many people in battle-related deaths was also at an all-time large parts of the world live in intolerable low, though the number does not reflect situations of insecurity, often as a result of civilians deliberately targeted in war. Table conflict. High levels of insecurity in all the 4 summarizes the main indicators for the case-study countries are indicated by the six case-study countries. Only two countries levels of refugees and displaced persons (Afghanistan and the Democratic Republic and the low ranking in human development of the Congo) are still experiencing direct indicators. Although Guatemala and Tajikistan conflict-related deaths. Needless to say, fare better in terms of population displacement indirect deaths from conflict, resulting, for and human development indicators, they also example, from landmines, unexploded experience high levels of crime and human
TABLE 4. HUMAN SECURITY, ODA AND UNDP EXPENDITURE IN SIX CASE-STUDY COUNTRIES
Country Battle- Internally Refugees HDI HDI ODA ODA/ UNDP UNDP related displaced abroadb 2003c ranking 2003e GNI total expendi- deaths persons 2003d (US$ 2003f expendi- tures/ in 2003a in 2003b millions) (%) tures in ODA (% 2004g in 2004) (US$ millions)
Afghanistan 317 200,000 - 2,500,000 1,595 34.74 328.564 15 300,000
Democratic 2,154 3,200,000 - 429,000 .385 167 5,421* 98.61 32.037 2 Republic of 3,400,000 the Congo
Guatemala 11,600 .663 117 247 1.01 55.199 25**
Haiti 25,800 .475 153 200 6.88 17.710 7
Sierra Leone 71,000 .298 176 303 31.51 14.457 4
Tajikistan 59,800 .652 122 147 10.07 8.802 4
* Official development assistance (ODA) in the Democratic Republic of the Congo was particularly high in 2003, so this figure should be read with caution: annual ODA receipts in the Democratic Republic of the Congo from 2000 to 2005, respectively, were 184; 263; 1,188; 5,421; 1,815. In Afghanistan, ODA receipts increased steadily during the period 2000 to 2005 (with the 2003 figure slightly higher than the average for this period); in the other countries in this table, ODA receipts remained relatively stable over this period. ** For all countries this figure should be treated with caution due to the possibility of double-counting aid in terms of ODA and UNDP expenditures:UNDP figures contain large elements of trust funds that donors probably report separately to the World Bank and OECD. This should be a minor problem as the volume of UNDP is relatively small; however, in Guatemala, the government contributes large sums to UNDP projects under cost-sharing arrangements.The figure for Guatemala should therefore be treated with particular caution. Sources: (a) Human Security Report; (b) US Committee for Refugees and Immigrants; (c,d) UNDP; (e,f) OECD/World Bank; (g) UNDP Intranet.
4 Human Security Centre, University of British Columbia, Canada. Human Security Report 2005: War and Peace in the 21st Century. New York: Oxford University Press. Available at: http://www.humansecurityreport.info/
TRENDS IN HUMAN SECURITY AND CONFLICT 11 rights violations, as well as unemployment, Table 5 and Table 6, respectively, present as discussed below. Most remain heavily indicative figures for casualties and popula- dependent on external assistance, especially tion displacement in the six case-study Afghanistan, the Democratic Republic of countries. The scale of civilian casualties, the Congo and Sierra Leone. Moreover, the both as a result of political violence and rise in terror and the war on terror, especially war-related disease, and the scale of as pursued within conflict-affected areas, displacements given by even the most HUMAN RIGHTS has compounded the sources of insecurity. conservative estimates, are striking. An important feature of the tables is the VIOLATIONS variation in reported figures from the small CONTINUE AFTER 2.1 TRENDS IN HUMAN selection of sources presented. The reader THE CESSATION SECURITY IN CONFLICT- may wish to refer to the UNDP Evaluation AFFECTED COUNTRIES Office website (www.undp.org/eo) for a short OF OVERT discussion of the considerable problems 2.1.1 Conflicts HOSTILITIES, associated with data on human security, Civilian deaths probably account for around and a fuller presentation of data from a ALTHOUGH 80–90 percent of total casualties in contem- number of sources. THEIR FORM porary warfare. This includes deaths from MAY CHANGE. deliberate violence and deaths that result The sections that follow summarize the from the humanitarian crises associated main trends in other aspects of human with war.5 security in conflict-affected countries.
A noteworthy feature of contemporary 2.1.2 Human rights violations and crime conflicts is the very high level of population Contemporary conflicts are associated with displacement. According to the Office of high levels of human rights violations and the UN High Commissioner for Refugees violations of humanitarian law, including (UNHCR), the global refugee population forced detention, atrocities such as rose from 2.4 million people in 1975 to amputation or decapitation, widespread or 14.4 million people in 1995. It subsequently systematic rape and other forms of sexual declined to 9.6 million in 2004, primarily abuse and violence, the use of child soldiers, as a consequence of increased repatriation. child labour and using women and children This figure only includes refugees who cross as sex slaves, abduction and kidnapping 6 international boundaries. Figures provided of hostages and of women into forced by the US Committee on Refugees and marriages, and the destruction of historic Immigrants include internally displaced buildings and cultural symbols. All the persons (IDPs) and are much higher, conflicts in the case-study countries witnessed increasing from 22 million in 1980 to most of these human rights violations, 38 million in 1995 (of whom approximately although the conflict in Sierra Leone was half were internally displaced), and declining probably the most gruesome in terms of all to 32.8 million in 2004 (of whom two thirds these types of violations. were IDPs).7 The number of refugees and internally displaced persons per conflict In most cases, human rights violations can be estimated to have increased more continue after the cessation of overt hostilities, than threefold from 1969 to 2004—from although their form may change. The 327,000 to 1,093,300.8 reasons have to do with a weak rule of law,
5 The increase in the share of civilian deaths was already observed in the 1990s. Kaldor, Mary and Basker Vashee (eds.). 1997. Restructuring the Global Military Sector: Vol I: New Wars. London; Washington: Pinter. 6 Office of the UN High Commissioner for Refugees. 17 June 2004. Global Refugee Trends. Geneva: UNHCR. 7 See the website of US Committee on Refugees and Immigrants: www.refugees.org 8 The first number is taken from Myron Weiner. 1996. ‘Bad Neighbours, Bad Neighbourhoods: An Inquiry into the Causes of Refugee Flows.’ International Security 21(1). The second number is estimated using the above figures and the Uppsala database. See Harbom, Lotta and Peter Wallerstein. 2005. ‘Armed Conflict and its International Dimensions, 1946-2004’. Journal of Peace Research, 42(5).
12 CHAPTER 2 TABLE 5. CONFLICT CASUALTIES IN SIX CASE-STUDY COUNTRIES
Country Years of Uppsala/PRIO Lacina & Gleditsch Project Genocide conflict Battledeaths estimates Ploughshares Watch
'Best estimate' Notes for period given in parentheses
Afghanistan 1978-2003 564,495 No figures available As many as 1.5 million 840,000 (1978- (1978-2002) for Northern Alliance, people, two thirds of 1996) plus Taliban, or Al Qaeda whom were civilians, 'thousands of losses since 2001 have died since 1978 government 1.5 million between supporters' 1978 and 1992 [World (1996-2001) Military and Social Expenditures, Ruth Leger Sivard, 1993]
Democratic 1996-2000 149,000 The invasion of the (Implied 1990- 3,120,000 Republic of (1996-2001) Democratic Republic of January 2006): (1994-2005) the Congo the Congo from 1996- Total: An estimated 1997 was accompanied 350,000 people by large-scale massacres, killed as a direct not included here as consequence of battle deaths. About violence. In total, an 350,000 civilians were estimated 4 million killed by violence deaths resulting from 1998-2001, and from the conflict, approximately 2.5 mostly from mal- million have died from nutrition and disease all war-related causes
Guatemala 1982-1996 44,450 Estimates for the total 200,000 (1969-1995) number of people killed Mayans in political violence (1950s-1980s) since 1954 range from 100,000 to over 200,000, with many authors citing a figure of 140,000. Mostly civilians murdered by the government and right-wing death squads
Haiti 1989- 250 (1991) Over 2,000 people have been killed by armed and criminal groups since February 2004 (implied until January 2006)
Sierra Leone 1991-2002 12,997 One estimate of Implied 1991-2002: 100,000 (1991-2000) war-related deaths from Estimates of the total (1991-2003) 1991 to 1995 is 30,000 conflict deaths range from 20,000 to over 50,000. In addition, 30,000 civilians, including children, have had limbs hacked off by the rebels. An estimated 215, 000 to 257,000 women have been victims of sexual violence
Tajikistan 1992-1997 51,300 The war is estimated (1992-1997) to have killed about 50,000 people, most of them in 1992
Sources: www.prio.no/cwp/armedconflict/current/Codebook_v3-2005.pdf; www.ploughshares.ca/libraries/ACRText/ACR-TitlePageRev.htm; www.genocidewatch.org/genocidetable2005.ht
TRENDS IN HUMAN SECURITY AND CONFLICT 13 TABLE 6. REFUGEES AND INTERNALLY DISPLACED PERSONS IN SIX CASE-STUDY COUNTRIES
Year Afghanistan Democratic Guatemala Haiti Sierra Leone Tajikistan (1978-2003) Republic of (1982-1996) (1989-) (1991-2002) (1992-1997) the Congo (1996-2000)
IDPs Refugees IDPs Refugees IDPs Refugees IDPs Refugees IDPs Refugees IDPs Refugees abroad abroad abroad abroad abroad abroad
1995 159,628 2,679,133 89,738 13,700 42,899 13,925 654,600 16,700
1996 273,840 2,674,236 158,794 11,200 40,342 15,118 654,600 25,285
1997 296,795 2,676,674 173,995 1,650 37,508 15,481 670,000
1998 315,800 2,667,115 158,833 32,747 13,538 670,000
1999 258,625 2,601,691 255,950 28,082 8,766 500,000
2000 758,625 3,587,336 3,000 371,713 20,711 7,561 300,000
2001 1,200,000 3,809,767 3,458 392,146 16,867 7,248
2002 665,156 2,510,294 9,000 421,362 13,888 7,718
2003 184,269 2,136,043 453,465 6,696 7,547
2004 159,549
Source: UNHCR (www.unhcr.org)
the availability of small arms, and the people in the uniforms of state agents. presence of illegal armed groups. In the High-crime statistics can be viewed as an case studies, the presence of international indicator of the weakness of institutions troops does seem to have reduced the that are supposed to uphold the rule of incidence of human-rights violations law and the lack of opportunities for legal committed by governments, particularly employment. In Haiti, the presence of illegal in Sierra Leone and Haiti, although it is armed groups has created ‘no-go’ areas, such difficult to establish a direct link in the case as Cité Soleil, where neither the police nor of Haiti. In Guatemala and Tajikistan, the international troops dare enter. In Guatemala, governments continue to be repressive. violent crime is rising dramatically—from And although the right to life is respected, some 27,000 incidents in 2001 to 34,000 in arbitrary arrest and detention remains 2004. In Afghanistan and the Democratic frequent. In Afghanistan, there continue to Republic of the Congo, many former militia be widespread reports of murder, rape, groups and warlords have been absorbed into kidnappings, illegal detentions, torture and the police and armed forces, but continue to land seizures committed by both state agents be responsible for crime and human rights and non-state actors, and lack of access to violations. Trafficking in people, arms, drugs justice (see case study). And in the Democratic or valuable commodities is also characteristic Republic of the Congo, ordinary citizens of all case-study countries. are subject to daily harassment, illegal taxation and bribe-taking as well as other 2.1.3 Violence and discrimination violations of human rights at the hands of against women the police and armed forces. All forms of violence against women remain high in post-conflict situations, including In all these cases, crime levels are very high domestic violence, rape, forced and child and, indeed, it is often difficult to distinguish marriage (Afghanistan), harassment and between crime—acts undertaken for private trafficking. Its incidence ranges from ‘common’ motives—and human rights violations (Haiti), ‘widespread’ (Tajikistan), ‘persistent’ undertaken by illegal armed groups or by (Afghanistan), to ‘alarming’ (Guatemala).9
9 A list of human rights violations recorded in the six case-study countries can be found on the online version of this report on the UNDP Evaluation Office website: www.undp.org/eo
14 CHAPTER 2 In Guatemala, women are the victims of even ostracize women and men who have feminicido—murders targeting women that suffered sexual abuse. continue to be a phenomenon around the country. A typical feature of contemporary Other forms of violence are rooted in conflict is widespread or systematic rape. traditional attitudes and practices (for In the Democratic Republic of the Congo, example, in Sierra Leone, some 80 percent in South Kivu, for example, some 5,000 of women have undergone female circum- women were raped between October 2002 cision), which are sometimes reinforced BANDS OF and February 2003, according to UN by conflict. UNEMPLOYED estimates. Women and children are also YOUNG MEN abducted and detained as ‘bush wives’, ‘sex The consequences of violence are accentu- slaves’ and, especially children, as spies. ated where there are no refuges, where law PROVIDE A READY enforcement and health officials are not SOURCE OF In many cases, continued violence against trained in gender-based violence and legal MANPOWER FOR women remains linked to the conflict. For remedies are inadequate. Women have example, violence committed by those particular problems in accessing justice CONFLICTS, AND suffering from post-traumatic stress, by and, in all the case studies, levels of literacy THE LOSS OF HOPE men returning to households headed by and numeracy are lower for women than CONTRIBUTES TO women during the war, by men facing for men. In Afghanistan, despite huge dislocation and unemployment on return, improvements, there are still 1.5 million THE WILLINGNESS girls who do not attend school—indeed, by a reinforcement of traditional/conserva- TO ENGAGE IN tive attitudes towards women, and by 79 percent of all women, and 90 percent VIOLENCE. continued violence from armed groups, as of women in rural areas, cannot read. in Afghanistan, the Democratic Republic In many conflict-affected countries, of the Congo and Haiti. The destruction of health facilities for women are non- communities during the conflict may also existent or inadequate. mean the disappearance of social structures that might previously have offered a safety 2.1.4 Economic insecurity net. The health consequences of violence Contemporary conflicts often result in may prevent women from being able to dramatic falls in gross domestic product work or attend school. Women survivors of (GDP) and in the human development violence during the conflict may find their index (HDI). Figures 1 and 2 show that reintegration and return to normal life this has been the case in all six countries prevented by attitudes that condemn or studied except Guatemala. Afghanistan,
FIGURE 1. CHANGES IN PER CAPITA GDP FOR FIVE CASE-STUDY COUNTRIES
4,500 1980 1995 1985 2000 $
4,000
l
P 1990 2004 a P 3,500 n P o , i a t 3,000 t a i n p
r 2,500 a e c t
r
n 2,000 i e
t p
n 1,500 P e r D
r 1,000 G u c 500 0 Democratic Guatemala Haiti Sierra Leone Tajikistan Republic of the Congo
TRENDS IN HUMAN SECURITY AND CONFLICT 15 FIGURE 2. CHANGES IN HUMAN DEVELOPMENT INDEX RANKINGS IN FOUR CASE-STUDY COUNTRIES
1980 1995 1985 2001 1990 2003 0.800 0.700 0.600 0.500 I
D 0.400 H 0.300 0.200 0.100 0.000 Democratic Guatemala Haiti Tajikistan Republic of the Congo
the Democratic Republic of the Congo tions as people are forced to leave their and Sierra Leone have among the lowest homes, which were the traditional source HDIs in the world. In all six countries, of subsistence. In addition, conflicts there are very high levels of poverty and contribute to the destruction of urban unemployment. The Democratic Republic infrastructure, including opportunities for of the Congo is probably the poorest, with work in manufacturing and services. Data over 80 percent of the population on levels of unemployment or participation estimated to be living on less than $1 a day. in precarious activities in the informal In Sierra Leone and Haiti, 51 percent and sector are inadequate. But it is evident 56 percent, respectively, are living on less from all the case studies that high levels than $1 a day. Insecurity is also the of joblessness are a common feature of consequence of a lack of sustainable liveli- conflict-affected countries. Bands of hoods. High levels of population displace- unemployed young men provide a ready ment are linked to the loss of rural occupa- source of manpower for conflicts, and the
TABLE 7. ACCESS TO IMPROVED SANITATION FACILITIES AND SOURCES OF WATER IN 2004 IN SIX CASE-STUDY COUNTRIES Country Access to improved sources Access to improved sanitation of water: proportion of facilities: proportion of population (%) population (%)
Total Urban Rural Total Urban Rural Afghanistan 39 63 31 34 49 29 Democratic Republic 46 82 29 30 42 25 of the Congo Guatemala 95 99 92 86 86 90 Haiti 54 52 56 30 57 14 Sierra Leone 57 75 46 53 53 30 Tajikistan 59 92 48 51 70 45
Source: Millennium development indicators.
16 CHAPTER 2 loss of hope contributes to the willingness devoted to wages is very high, while to engage in violence. average salaries are very low and usually well below minimum levels required. This Lack of environmental health is an results in moonlighting, loss of the best important indicator of material insecurity. qualified civil servants and general weakness This includes inadequate health care and of key institutions.Thus the sustainability of lack of access to primary health care as well stability and growth is open to question, both as to clean water and sanitation facilities. because it depends on external assistance and Table 7 illustrates the inadequacy of water because the capacity of national institutions and sanitation facilities in the six case- to take over the international role is inadequate. study countries. 2.1.5 Environmental insecurity Illiteracy rates are also high in all the case- Contemporary conflicts often contribute study countries except Tajikistan,ranging from to environmental degradation and greater 22 percent in Guatemala to 39 percent (Democratic Republic of the Congo), vulnerability to natural disasters. Moreover, 49 percent (Haiti) and 64 percent (Sierra emergency responses are weakened or non- Leone and Afghanistan). The one indicator existent as a result of conflict. In Tajikistan, that has significantly improved for all six for example, the conflict diminished the countries is communication, that is, access country’s capacity to respond to frequent to telephone lines and the Internet. earthquakes and flash floods. In Haiti, the continuing political crises are said to have Women’s economic security is undermined contributed to the severity of no less than by sex discrimination, for example, in the 20 internationally recognized natural disasters, context of labour and job allocation and in including hurricanes and tropical storms, laws relating to access and ownership of earthquakes, floods and landslides. The land. Fear of violence, or shame, may inhibit increased frequency and intensity of such women from going out in public and thus disasters is believed to be linked to severe from working. Poverty makes women environmental degradation in Haiti. Chronic vulnerable to sexual exploitation, trafficking poverty, a high population density10 and and further violence. Where there is no a weak institutional capacity to address employment (or where preference is given long-term issues such as the environment to former male combatants), women may have contributed to anarchic urbanization, resort to prostitution or begging. deforestation and overexploitation of agri- cultural land. Although economic stability and economic growth greatly improved after the 2.1.6 Terror and the war on terror establishment of international missions and the return to relative stability, the Terror, meaning violence for the deliberate domestic revenue base of governments in purpose of intimidation, is typical of all the case studies is very low. There is a contemporary conflicts. However, the term heavy dependence on external assistance, is usually used just to refer to “violence, or either in the form of official aid (Afghanistan, the threat of violence, calculated to create Democratic Republic of the Congo and an atmosphere of fear and alarm, ... Sierra Leone—see Table 4) or remittances, designed to coerce others into actions they especially in Tajikistan and Haiti. would not otherwise undertake, or refrain from actions they desired to take”11 under- In addition, government capacity remains taken by non-state actors. On the basis of very low. The proportion of national budgets this definition, terrorism has increased over
10 The population density in Haiti is nearly 300 inhabitants per square kilometre. 11 National Memorial Institute for the Prevention of Terrorism. Terrorism Knowledge Base. Available at: http://www.tkb.org/Home.jsp
TRENDS IN HUMAN SECURITY AND CONFLICT 17 the last five years—from 1,139 domestic 2.2 THE CHANGING CHARACTER and international incidents in 2000 to OF CONFLICT 4,924 in 2005.12 2.2.1 Weak states and weak civil societies The war on terror has had considerable In the 20th century, war was often linked impact on human security, as is evident to the construction of militaristic states. in Afghanistan. The use of military means Contemporary wars tend to be associated to combat terror has led to high civilian with the disintegration of such states. casualties, especially in south-eastern All the case-study countries were formerly Afghanistan, partly because it is difficult to authoritarian regimes, either closed one- distinguish terrorists from civilians and party states (Afghanistan, Sierra Leone partly because civilians are unprotected.13 and Tajikistan) or oligarchic dictatorships Addressing terror through ‘war’, rather (Guatemala, Democratic Republic of the than criminal justice, in Afghanistan and Congo and Haiti). Moreover, they were elsewhere, involves military—not policing— regimes heavily dependent on outside action. This can result in shoot-on-sight support—either through foreign assistance, policies, intrusion into people’s homes, external fiscal transfers or dependence on a spiralling of violence in terrorism and mineral exports. Cold War politics served to prop up dictatorial regimes, as in the counter-terrorism, and non-observance of Democratic Republic of the Congo and the principles of international humanitarian Guatemala, or led to proxy wars, as in law (for example, proportionality). Afghanistan and Guatemala. The war on terror has also reduced humani- All of these regimes underwent a process of tarian space, as the United Nations discovered state unravelling, sped up by the impact of in Iraq and Afghanistan. Heavy security liberalization and opening up to the outside restrictions, especially in countries where the world (both politically and economically), war is taking place, have greatly hampered especially after the end of the Cold War. the capacity to respond to human security Tajikistan became independent as a result needs (see below). of the break-up of the Soviet Union. The Soviet withdrawal from Afghanistan led to In addition, the war on terror has influenced a shaky coalition of former Mujahadeen priorities for official development assistance factions. In the other case-study countries, as well as the conditions attached to aid, and challenges to repressive dictators were has affected the legitimacy of international compounded by external pressures for efforts. Priorities for aid are often based on political and economic liberalization. a country’s allegiances in the war on terror, rather than on need, and repressive regimes All the case-study countries had a low that are engaged in the war are less liable to domestic tax base that fell further because be challenged by the international community. of declining investment and production, Among the case-study countries, this has increased corruption and clientelism, and affected Afghanistan, and to some extent, declining legitimacy. The declining tax Tajikistan, as well as neighbouring Central revenue led to even greater dependence on Asian countries. external or private revenue sources, through,
12 Ibid. 2000: 1,139 incidents; 2001: 1,733 incidents; 2002: 2,647 incidents; 2003: 1,898 incidents; 2004: 2,646 incidents; 2005: 4,924 incidents. 13 Taking Iraq as an example, estimates of civilian casualties can go up much higher. There are two main sources of data for civilian casualties in Iraq. One is Iraqbodycount.org, which is based on reports of violent incidents in the media. The estimates for October 2005 range from 26,457 to 29,795. The other is a painstaking study reported in the British medical journal, The Lancet. This study estimated that there were an additional 98,000 deaths throughout Iraq, excluding Fallujah, compared to a similar period before the war. See also Kaldor, Mary (forthcoming). New and Old Wars: Organized Violence in a Global Era, Third Edition. Cambridge: Polity Press, chapter 7.
18 CHAPTER 2 for example, access to mineral rents (Sierra use moments of transition to gain power, Leone and the Democratic Republic of the and mobilize through the media, especially Congo), private oligopolies (Guatemala) or radio and television. Indeed, war itself can criminal/corrupt activities. Reductions be considered a form of mobilization around in public expenditure as a result of the exclusive or sectarian identities because of shrinking fiscal base as well as pressure deliberate strategies to generate fear and hate. from external donors for macroeconomic stabilization and liberalization (which also By and large, the regions most prone to VIOLATIONS OF may reduce export revenues) led to violence are those in which civil society is HUMANITARIAN weakening public services and further eroded weakest. Where liberalization is the AND HUMAN legitimacy. A growing informal economy consequence of external pressure rather associated with increased inequalities, than pressure from civil society, transitions RIGHTS LAW unemployment and rural-urban migration, are particularly fragile. Political legitimacy ARE NOT A SIDE combined with the loss of legitimacy, is constructed by civil society. A strong civil EFFECT OF WAR, further weakened the rule of law and indeed society promotes civic as opposed to led to the re-emergence of privatized forms sectarian values, as well as the norms that BUT THE CENTRAL of violence. underpin the rule of law and political METHODOLOGY OF authority. It also increases accountability VIOLENT CONFLICT. These are the typical conditions in which and transparency and contributes to the contemporary conflicts take place. The efficiency of tax collection. Of course, civil rationales of conflict are varied; they include society has its dark side, but this argument social and economic exclusion (Guatemala, is predicated on the assumption that public Sierra Leone, Democratic Republic of the debate as opposed to violent conflict Congo) as well as ethnic and religious provides space for democratic opinion. grievance or ideology (Afghanistan,Tajikistan, Linked to civil society are the informal Democratic Republic of the Congo). But institutions around the family, small what these conflicts have in common are businesses, educational establishments and the conditions that make it more likely local media outlets that play an influential that conflicts will be pursued through role in shaping the strength of social violent means. networks and community ties. It is often argued that conflicts are more A number of scholars have made the point likely to take place in societies that are that it is the opportunity for conflict, rather divided ethnically or religiously. It is true than the proximate causes of conflict, that that many contemporary conflicts are have common characteristics that can be fought in the name of identity politics— identified in order to develop methods of that is to say, the claim to power on the 14 basis of identity, be it ethnic or religious. conflict prevention. All human societies However, most societies are characterized are prone to conflict. The real question is by ethnic and religious pluralism. What has what determines the resort to violence. to be explained is why, in some countries, these differences lead to violence during 2.2.2 Military means certain periods. In former authoritarian All of the conflicts discussed have been states, ethnic or religious ideologies are fought by armed networks of non-state and often constructed by leaders anxious to state actors.They include paramilitary groups retain power or by opportunists who try to organized around a charismatic leader,
14 See, for instance, Fearon, James and David Laitin. 2003. 'Ethnicity, Insurgency, and Civil War'. American Political Science Review 97:75-90; Fearon, James and David Laitin. 1996. ‘Explaining Inter-ethnic Cooperation.’ American Political Science Review 90(4): 715-735; Nathan, F. April 2000. ‘The Four Horsemen of the Apocalypse: The Structural Causes of Crisis and Violence in Africa’. Peace & Change 25(2); Abacus International for UNDP.‘Halting the Downward Spiral: Returning Countries with Special Development Needs to Sustainable Growth and Development’.
TRENDS IN HUMAN SECURITY AND CONFLICT 19 warlords who control particular areas, Because these conflicts take place in states terrorist cells, volunteers such as the where systems of taxation have collapsed Mujahadeen, organized criminal groups, and where little new legitimate wealth is units of regular forces or other security being created, and where the conflict has services as well as mercenaries and private destroyed physical infrastructure, cut off military companies. Often these networks trade and created a climate of insecurity cross borders, making use of members of that prohibits investment, the warring CONTEMPORARY the diaspora, foreign mercenaries or parties have to seek alternative, exploitative CONFLICTS ARE volunteers, or agents of neighbouring states. forms of financing. They raise money Thus the war in Sierra Leone began with through looting and plundering, through VERY DIFFICULT TO an invasion from Liberia backed by Charles illegal trading in drugs, arms, oil, diamonds, END BECAUSE THEY Taylor. The Afghan Mujahadeen recruited illegal immigrants, cigarettes or alcohol, EXACERBATE THE from all over the Muslim world. Seven through ‘taxing’ humanitarian assistance, neighbouring states were involved in the war through support from sympathetic states CONDITIONS THAT in the Democratic Republic of the Congo. and through remittances from members of LED TO CONFLICT. For most of these conflicts, the availability the networks. Women are sold and bought of small arms—often as the result of for sex and other forms of exploitation. previous wars or of the Cold War—has All these types of economic activity are been a significant contributing factor. predatory and depend on an atmosphere of insecurity. Indeed, the new wars can be As mentioned previously, the typical described as a central source of the globalized military strategy in these wars is deliberate informal economy—the transnational violence against civilians. In much of the criminal and semi-legal economy that literature, the debate about ‘greed and represents the underside of globalization. grievance’ tends to focus either on economic Thus both the economy and the state are motives for killing civilians (looting and even weaker in the aftermath of conflict. pillaging, for example) or psychological motives for atrocities. What is often neglected 2.2.4 Effects in time and space is the military logic of contemporary wars. Contemporary conflicts are very difficult to In contemporary conflicts, the warring end because they exacerbate the conditions parties, like guerrilla movements, aim to that led to conflict—weak states lacking control territory politically. But they do so effective and operational institutions, weak through terror, rather than by capturing civil societies, high unemployment, criminality popular support. This is why the warring and the availability of arms and ex- parties use techniques such as genocide, combatants. Moreover, the warring parties population displacement and systematic may have a vested interest in continuing rape as deliberate war strategies. Violations conflict, either for economic reasons, or of humanitarian and human rights law are because their political power depends on not a side effect of war, but the central fear, or because of complicity in war crimes. methodology of violent conflict. This The areas where conflicts have lasted explains the high level of civilian casualties longest have generated cultures of violence. and population displacement. Indeed the most important condition 2.2.3 The conflict economy conducive to conflict is past conflict. Contemporary conflicts also generate a A number of conflicts, especially in Africa, specific type of economy. Or, to put it another have very long histories. Indeed, they have way, as exemplified by all the case studies, mutated from liberation wars through these wars speed up the unravelling process counter-insurgency to low-intensity wars described above and stimulate not a capitalist to the typical wars of the last two decades. market but a new type of informally This is the case in the Democratic regulated economy based on violence. Republic of the Congo and partly the case
20 CHAPTER 2 in Afghanistan. Sometimes, the warring 2.3 IMPLICATIONS FOR POLICY parties have an interest in peace agreements There are a number of implications of this so as to regroup and re-energize. The last analysis for policy. two decades were characterized by large numbers of serial peace agreements, many First, the distinction between different of which failed. One study of 38 peace types of insecurity is blurred. Contemporary agreements between January 1988 and conflicts involve massive violations of December 1998 showed that 31 failed human rights, including violence against to survive more than three years.15 What women, organized crime, and economic has changed since 2000 is that more and environmental insecurity. Hence any peace agreements have been sustained, policy towards conflict needs to be holistic, for example, Dayton (11 years) and involving military/political, civil/legal, and Guatemala (10/11 years), and this may economic/social approaches. In particular, be due to the role of the international humanitarian and development concerns community (see discussion below). need to be incorporated into peace efforts. Addressing the issues of joblessness, Contemporary conflicts are also very criminality and gender discrimination have difficult to contain. They have a tendency to be seen as integral components of peace to spread. They spread through refugees processes. A strategy for improving human and displaced persons, through criminal security is, at one and the same time, a networks, and through the extremist strategy for addressing the conditions that viruses they nurture. Thus refugees from lead to conflict. the aftermath of the genocide in Rwanda helped to ignite a new phase of the war in Second, because the most important the Democratic Republic of the Congo. condition contributing to conflict is the lack The movement of unemployed ex-combat- of legitimacy, the core of peace-building ants has shifted violence back and forth in has to be the construction of an inclusive Sierra Leone. The war in Afghanistan is political authority, whether this means a spilling over into Pakistan and Uzbekistan. state, an international administration or a Indeed, there is a propensity for regional local municipality. Political authority clusters of warfare in West Africa, Central depends on legitimacy, and legitimacy can Africa and the Horn of Africa, Central only be conferred by the people living in a America, the Balkans, Central Asia and particular region. External actors can, at the Caucasus. most, help to create enabling conditions. But in order to build legitimacy, it is critical Thus, to the list of conditions conducive to that policy-making is inclusive and conflict enumerated above (a weak or failing involves local civil society representatives, state and weak civil society, dependence and not just the warring parties. on external revenue sources, especially Particularly important in this respect is the primary commodities, the erosion of the participation of women. In all the case monopoly of organized violence, the studies, women played a key role in the availability of small arms and unemployed processes leading to peace, although they young men, often former soldiers or have been made less important—even policemen, and the spread of an illegal/ invisible—in implementation. informal economy) should be added previous violent conflict and proximity to Linked to the re-establishment of political conflict. All of these can be summarized as authority is legal security. Procedures for lack of human security. legal reform (potentially the entire framework
15 Willett, Susan. 2005. 'New Barbarians at the Gate: Losing the Liberal Peace in Africa’. Review of African Political Economy 32(106): 572.
TRENDS IN HUMAN SECURITY AND CONFLICT 21 for civil and criminal law and procedures) the same time, prevention. Development, might have to be put into place (for for example, which is supposed to come after example, where there has been a collapse of the immediate recovery period, needs to be the legal system or it is rejected as emphasized at all stages of the conflict so belonging to the previous regime, as in as to sustain productive activities.16 Of Afghanistan). Reform of substantive law course, it is sometimes necessary to prioritize must operate alongside the reform of the for planning purposes. And, of course, there ANY APPROACH police and judicial systems, all of which are are many components of strategy—for TO CONFLICT central to constitution-building. Legal security example, disarmament, demobilization and is closely related to physical security. HAS TO HAVE A reintegration or transitional justice—which Judicial independence and measures to are common to all conflicts. But exactly what REGIONAL FOCUS eliminate corruption among police, the needs to be done when will be specific to judiciary and other law enforcement agencies BECAUSE OF THE each conflict. There are no standard are required. Training in prosecution and phases. Consulting with people on the TENDENCY OF defence advocacy is required. Such measures ground and taking seriously their views as CONTEMPORARY offer a significant opportunity to build to needs, priorities and obstacles are crucial capacity for the protection of human rights. CONFLICTS The applicability of non-discrimination in developing specific strategies. TO SPILL OVER and equality to legal institutions must be Finally, any approach to conflict has to have BORDERS. emphasized and a strategy put in place to ensure their implementation. a regional focus because of the tendency of contemporary conflicts to spill over borders, Third, because levels of insecurity remain through refugees and displaced persons, high after overt phases of conflict and transnational criminal networks, or extremist because the conditions that led to conflict ideologies. Regional issues are not just about are exacerbated by conflict, it is difficult to porous borders and cross-border operations, distinguish between phases of conflict. Relief, but also about general instability in recovery and reconstruction are, at one and neighbouring countries.
16 See Stewart, Francis and Valpy FitzGerald (eds.) 2001. War and Underdevelopment. Oxford: Oxford University Press.
22 CHAPTER 2 Chapter 3 Challenges Facing the International Community and the United Nations
Since 2000, the international community by 2004. Even without Afghanistan and has placed increasing emphasis on assistance Iraq, aid to conflict countries is much to countries in conflict. This is evidenced by higher than the global average. However, the patterns of official development assistance the more important question is whether as well as international and regional peace- this aid has contributed to an improvement keeping and international administration. in human security.
Between 2000 and 2004, the share of total The increase in aid has been accompanied aid going to conflict countries rose from 27 by important changes in the strategy percent to 34 percent. In 2000, conflict towards conflict countries, in which the countries received 20 percent more aid United Nations has taken the lead. In than the global average. By 2004, this had November 1999, the Security Council increased to 50 percent (see Table 8). This discussed how to increase the focus on is partly explained by the war on terror; if conflict prevention. And in March 2000, in Afghanistan and Iraq are excluded, then the preparation for the Millennium Summit, increase is much smaller, rising only 1 percent the UN Secretary-General established a
TABLE 8. ODA TO SELECTED COUNTRIES RECEIVING ASSISTANCE FROM THE UNDP BUREAU FOR CRISIS PREVENTION AND RECOVERY Net ODA receipts (US$ millions)
2000 2001 2002 2003 2004 Developing countries,TOTAL 50,327 52,153 60,825 70,608 78,308 Selected countries receiving BCPR 13,464 15,204 19,668 27,002 26,498 assistance,TOTAL* Total ODA for conflict countries as 26.8 29.2 32.3 38.2 33.8 percent of global total Developing countries, AVERAGE** 246 267 312 349 381 Selected countries receiving BCPR 299 338 437 600 589 assistance, AVERAGE
*45 countries: see footnote.17 ** Mean,calculated by the London School of Economics from : Organisation for Economic Co-operation and Development (OECD) figures, excluding all 'unallocated' and 'unspecified' amounts. Source: Organisation for Economic Co-operation and Development (www.oecd.org). Statistical Annex of the 2005 Development Co-operation Report. Reporting figures from World Bank, Secretariat estimates. Group totals and averages are calculated on available data only.
17 Afghanistan, Albania, Angola, Azerbaijan, Bosnia and Herzegovina, Burundi, Cambodia, Central African Republic, Chad, Colombia, Congo, Côte d’Ivoire, Croatia, Djibouti, Democratic Republic of the Congo, El Salvador, Eritrea, Ethiopia, Fiji, Georgia, Guatemala, Guinea, Guinea-Bissau, Haiti, Indonesia, Iraq, Kyrgyzstan, Lao People’s Democratic Republic, Lebanon, Liberia, Nepal, Nigeria, Papua New Guinea, Rwanda, Serbia and Montenegro, Sierra Leone, Somalia, Sri Lanka, Sudan, Tajikistan, The former Yugoslav Republic of Macedonia, Uganda, United Republic of Tanzania, Yemen, Zimbabwe.
CHALLENGES FA CING THE INTERNATIONAL COMMUNITY AND THE UNITED NATIONS 23 panel to provide a clear set of specific, agreements. It was only after the deployment concrete and practical recommendations of a substantial UN peacekeeping force and on how best to conduct peacekeeping after that force began to act in more robust operations in the future. Lakhdar Brahimi, ways to protect civilians and carry out a the chair of the panel, submitted his report process of disarmament, demobilization in August 2000.18 The report noted in and reintegration that it became possible to particular the changed nature of UN implement the agreement and begin a missions, the broader scope of mandates genuine process of peace-building. In and the resulting need for more cohesion Haiti, where there has been prolonged and more effective integration between the political turmoil, no less than six different activities of the peacekeeping operation United Nations missions were deployed to and those of other members of the United the country between 1993 and 2001, each Nations system. generally considered a failure. It was only starting in 2004 that the international community recognized the need for a The Brahimi Report19 was a turning point, long-term commitment to the future of and most peacekeeping operations approved Haiti. And, although it is too early to make by the Security Council since 2001 are judgements, there does seem to be an both ‘multidimensional’ and ‘integrated’. improvement in political and economic As multidimensional operations, they address stability. In the Democratic Republic of the a broad range of issues, such as the creation Congo and Afghanistan, stability has of a secure and stable environment, support improved in the areas where there is a strong to political processes, the promotion of international presence. In the Democratic human rights and the facilitation of Republic of the Congo, the establishment humanitarian assistance and economic of an inclusive Transition Government in recovery. As integrated missions, they aim June 2003, the full deployment of peace- to better merge various components of the keeping troops in the second half of that UN system, including a very specific role year, and the adoption of a more robust for UNDP (see below). However, although approach20 by these troops as from mid-2003 development is now included in the are all factors that led to a significantly integrated mandate, it is not funded like improved security situation in the eastern the rest of the peacekeeping operation and provinces. The situation in Afghanistan is, is dependent on a separate pledging drive. of course, complicated by the insurgency and the war on terror in south-eastern From the case studies, it can be concluded parts of the country. that the overall increase in assistance and, more importantly, the presence of Nevertheless, in all six countries studied, peacekeeping forces, has helped stabilize human security remains precarious and the these countries. Thus, they resulted in an conditions that gave rise to conflict persist. improvement in human security, although These conditions represent a risk that conflict this was also true of previous missions, such may erupt again in the future, especially if as those in Cambodia and Mozambique. In the international presence is not sustained. Sierra Leone, Guatemala and Tajikistan, Particularly noteworthy in all six countries the international presence helped to sustain is the fact that the developmental under- peace agreements. In Sierra Leone, for pinnings of newly created institutions were example, there were several previous not addressed early enough.
18 ‘Report of the Panel on United Nations Peace Operations’. 21 August 2000. UN document A/55/305 – S/2000/809. 19 ‘Report of the Panel on United Nations Peace Operations’. 20 Through its resolution S/RES/1484 of May 2003, the Security Council authorized the deployment to Bunia of an ‘Emergency Multinational Force’. By resolution S/RES/1493 of 28 July 2003, the Council, acting under Chapter VII of the UN Charter, authorized the UN Mission in the Democratic Republic of the Congo to “use all necessary means to fulfil its mandate in the Ituri district and, as it deems it within its capability, in North and South Kivu.”
24 CHAPTER 3 What are the weaknesses in the role of agreement. Political agreement is reached the international community that need first at the centre, often leaving a vacuum to be addressed if lasting peace is to in rural areas. In addition, more emphasis be established? From the outset it is is often placed on stability than on human important to stress that each conflict is rights and justice, including accountability context-specific. It is difficult to generalize for the commission of war crimes. Thus in from one context to the next. Nor can one Afghanistan, Tajikistan and the Democratic assume that what works in one place will Republic of the Congo, former command- THE EFFORT necessarily work in another. That said, ers and their militias have been co-opted DEVOTED TO certain conclusions can be drawn from the into the security forces and the political ORGANIZING case studies—and questions asked—about process. While the short-term imperatives what worked or did not work and why. of stabilization have to be taken into QUICK ELECTIONS account, this has led to continuing human MAY DIVERT rights abuses and a culture of impunity, 3.1 PROTECTING CIVILIANS which undermines the legitimacy of the ATTENTION FROM The presence of peacekeeping troops is still newly established political and security THE IMPORTANT no guarantee that civilians will be institutions. This is partly a consequence of INSTITUTIONAL an inadequate security presence. But it is protected. Such troops need to be restruc- AND STRUCTURAL tured for human security tasks instead of also the result of failing to include civil fighting wars. The job of the military in a society activists and groups in the political UNDERPINNINGS human security framework is to protect process, especially women’s groups. OF DEMOCRACY. individuals and create public security Generating an atmosphere in which rather than to defeat enemies, while inclusiveness and respect for justice prevails cooperating with development agencies so is just as important in underpinning as to build an interrelated approach to political authority and the rule of law as security.21 The failure to deploy interna- security. Similarly, an emphasis on macro- tional security forces outside Kabul, for economic stabilization often means that example, in the immediate aftermath of the there is not enough money in the national fall of the Taliban, is one reason why power budget to pay civil servants, establish remained in the hands of former public institutions or deliver public services. commanders and why the insurgency, This also causes loss of trust in a new which receives cross-border support, is regime and undermines its legitimacy. growing. In the Democratic Republic of the Congo, there needs to be much greater In all the case-study countries, the inter- and more sustained deployment of UN national community replicated a political troops in the eastern parts of the country. strategy in which elections constituted a And in Haiti, peacekeeping forces need to key benchmark. Elections were supposed be able to assist the police in dealing with to establish legitimate governments and illegal armed groups. offer an exit strategy for the international community. There is no doubt that elections play an important symbolic role 3.2 ESTABLISHING LEGITIMATE in such countries, and that the first post- POLITICAL AUTHORITY conflict elections usually have very high turnouts. But the effort devoted to 3.2.1 Top-down politics organizing quick elections may divert The political approach in conflict-affected attention from the important institutional countries tends to be ‘top-down’ and and structural underpinnings of democracy, dominated by those who mediated a peace such as rule of law, including functioning
21 For a more elaborate description of what that means, see A Human Security Doctrine for Europe. The Barcelona Report of the Study Group on Europe's Security Capabilities. Available at: http://www.lse.ac.uk/Depts/ global/researchhumansecurity.htm
CHALLENGES FA CING THE INTERNATIONAL COMMUNITY AND THE UNITED NATIONS 25 and independent legal institutions, and free more important than funding is engaging media and association, and may fail to with civil society, taking its concerns seriously build local capacity. Key to democracy is and providing a forum where civil society the construction of a democratic political groups can be heard. Engaging local civil culture—democratic politics are needed to society organizations, both intellectuals and establish democratic institutions.22 grass-roots groups at national, district and local levels, by soliciting their opinions, 3.2.2. Engaging with civil society stimulating their activities, and encouraging A particular problem is the failure to civic mobilization is a precondition for building engage with civil society. In several of the a substantive democracy, rule of law and countries studied, civil society groups legitimate political authority. played critical roles during the conflict. For example, in Sierra Leone, the Sierra Leone One reason for the failure to engage civil Women’s Movement for Peace helped society is cultural. International development create the conditions for an end to military workers, including UNDP staff, often lack rule and the elections of 1996, which paved local knowledge and language skills. the way for the first peace agreement. Moreover, locals who are recruited to However, women were marginalized both work with them often come from a certain in the agreement and in the newly elected class because they speak a major European government. And in Afghanistan, develop- language and are less interested in ment assistance during the Taliban years was communicating with local grass-roots civil delivered through local NGOs, which were society. Agency staff (both governmental frequently pushed aside in the aftermath of and non-governmental) are often recruited the Bonn agreement. on short-term contracts, which means that they lack an institutional memory and tend By civil society, this study refers to those to ‘reinvent the wheel’; they also lack the groups and individuals who actively engage time necessary to build solid relationships in debates about public affairs. This can with local communities. In addition, they include both urban intellectuals—journalists, may be less invested in the success of a teachers, academics, human rights activists, particular mission than in their next career clergymen and imams—as well as grass- move. This is exacerbated by the insecurity roots groups, especially women’s groups. and hardships that go along with working There is a tendency among international in conflict zones, where it may be hard to donors to assume that civil society is a get people to commit for long periods of ‘good thing’ that should be assisted, time. Rapid turnover of international staff also without recognizing it as a source of means that local people have to constantly knowledge and information and ignoring repeat themselves in explaining crucial the fact that those who are less interested information (if they are asked for it). in winning power may be more likely to promote an understanding based on public Even without these limitations, the difficulties as opposed to sectarian interests. It is true of engaging civil society, including women, that civil society cannot be artificially should not be underestimated. Obstacles created by capacity-building programmes and include resistance from authoritarian parties that large influxes of funding can sometimes to the conflict, the general powerlessness of be counterproductive to genuine grass-roots civil society, as well as the problems that efforts. On the other hand, authentic local arise from uncivil society—including the civil society is often squeezed by both UN expression of particularistic and sectarian bodies and international NGOs. What is interests. Civil society is a reflection of
22 See Luckham, Robin, Anne Marie Goetz and Mary Kaldor. 2003. ‘Democratic Institutions and Democratic Politics.’ In: Can Democracy be Designed?, edited by Sunil Bastian and Robin Luckham. London: Zed Books, pp. 14-59.
26 CHAPTER 3 broader opinion within society and is a exchange of sex for food and contributes to source of extremist sentiment as well as the a downward spiral towards prostitution source of democracy. The point is rather with its attendant “violence, desperation, that civil society is the arena in which these disease and dependency.” Sexual exploitation competing views can be discussed rather undermines the image and credibility of than fought over. Moreover, the stronger the peacekeeping operation. The report makes and more effective a civil society is, the recommendations on issues including respect more it is likely to veer in a democratic as for the codes of behaviour, disciplinary opposed to sectarian direction. action and training.
3.2.3 Legitimacy of the international community 3.3 PRIORITIZING DEVELOPMENT It is not only the legitimacy of newly Insufficient attention is paid to economic established political institutions that is and social development, especially job crucial, but also the legitimacy of the creation. Instead, immediate post-conflict international community. To gain such priorities tend to focus on humanitarian legitimacy, international actors must act relief and macroeconomic stabilization. in accordance with international law and Civil and political rights are favoured over in a transparent manner—whether they economic and social rights. Development are engaging in the war on terror or concerns are usually relegated to the in peacekeeping. ‘post-recovery’ period. In all six countries studied, high levels of unemployment, Human rights abuses committed by UN especially among young men, created a peacekeepers and other internationals condition for renewed conflict, since the (NGOs and international NGOs) have only way they may be able to marry and become the subject of Security Council make a living is through criminal activities debate and a number of reports within or by joining a militia. the UN system. For example, following a 2002 report by the Office of Internal 3.4 MAINSTREAMING GENDER Oversight Services23 on sexual exploitation of refugees in three West African countries, Much more effort needs to be devoted to including Sierra Leone, the Security mainstreaming gender into all policies, Council included an explicit reference to the practices and programmes in conflict- need to prevent sexual abuse and exploita- affected countries.24 In addition to the tion when it renewed the mandate of the demographic imbalance registered in most United Nations Mission in Sierra Leone post-conflict environments and the increased (resolution 1436, 2002). The March 2005 incidence of female-headed households, report of the Secretary-General, ‘A such countries tend to have high levels of Comprehensive Strategy to Eliminate violence against women both during and Future Sexual Exploitation and Abuse in after conflicts and unequal gender relations. United Nations Peacekeeping Operations’ While no clear link has been established (UN Document A/59/710), specifically between domestic violence and conflict, it discusses the Democratic Republic of the is reasonable to infer that unequal gender Congo. It describes the fact that sexual relations are among the conditions that are exploitation often occurs through the conducive to conflict.25 Moreover, the active
23 http://www.securitycouncilreport.org/atf/cf/{65BFCF9B-6D27-4E9C-8CD3- CF6E4FF96FF9}/SE%20A%2057%20465.pdf 24 UNDP. 2003. ‘Transforming the Mainstream: Gender in UNDP’. New York: UNDP. 25 Pearce, Jenny (forthcoming). 'Bringing Violence “Back Home”: Gender Socialisation and the Reproduction of Violence in Space and Time'; Anheier, Helmut, Mary Kaldor and Marlies Glasius (eds.) Global Civil Society 2006/7. London: Sage.
CHALLENGES FA CING THE INTERNATIONAL COMMUNITY AND THE UNITED NATIONS 27 role played by women’s groups in peace phased approach. Among the remaining processes suggests that greater involvement respondents, most followed the kind of of women can contribute to improved phases defined above, although not all were human security. standard phases.
Mainstreaming gender requires analysis of gender relations within a particular society 3.6 FOCUSING ON THE A MAJOR PROBLEM that does not make assumptions about REGIONAL DIMENSIONS HAS BEEN A the relative positions of women and men. OF CONFLICT Such an analysis requires consultation PREOCCUPATION Not enough attention is paid to the with local women.26 regional dimensions of conflict. Dealing with WITH A PHASED the nexus between corrupt governments, APPROACH TO 3.5 MOVING BEYOND insurgent groups, drugs, minerals or other DEALING WITH PHASES AND TIMELINES valuable primary products and weapons is crucial to dealing with most chronic internal CONFLICT. A major problem has been a preoccupation armed conflicts. Of the six case-study with a phased approach to dealing with countries, only in Sierra Leone and, to an conflict: the notion of a prevention phase, extent, the Democratic Republic of the which deals with the grievances that cause Congo (through the Great Lakes region conflict; a relief phase that provides humani- conference), were there clear efforts to tarian assistance as well as some form of develop a concerted regional programme to political/military intervention; a recovery phase tackle insecurity. In West Africa, this has in which the emphasis is on stabilization; entailed cooperative efforts in four main and finally, a reconstruction phase where countries (Sierra Leone, Liberia, Guinea development gets a greater priority. In fact, and Côte d’Ivoire) through the establishment all these phases are intermixed. A failure to of the Mano River Union and dialogue and address conflict holistically results in a vacuum cooperation among border communities. and an exacerbation of those structural factors conducive to conflict, rendering the This effort is helping to develop ways to recurrence of conflict more likely. This is limit the smuggling of arms, people, drugs why so many peace agreements fail. This and diamonds. In Afghanistan, the need to analysis of conflict suggests that prevention develop a regional approach to deal with requires, above all, dealing with the conditions insurgents coming from abroad is crucial in that are conducive to conflict rather than with confronting the growing insurgency. The grievances that are sometimes constructed international community and UNDP have or exaggerated to justify violence. These been involved in the administration of a conditions involve the sorts of policies that border management project involving two are usually considered relevant to recovery of the case-study countries, Tajikistan and and reconstruction. What is needed is a Afghanistan, though a visit to the Afghan- longer-term commitment and a mix of policy Tajik border showed few signs of border approaches that are relevant to each situation. forces. In Central America, UNDP, in collaboration with UNHCR and other In a questionnaire addressed to 24 countries agencies, managed an area-based programme or areas receiving assistance from UNDP’s called PRODERE with linkages across Bureau for Crisis Prevention and Recovery, sub-regional borders in response to cross- only seven said that they did not follow a border migration in the midst of conflict.
26 One example is the inter-agency legal working group on domestic violence in Kosovo. The UN-appointed expert was a male professor of family law who asserted that “it would be unthinkable to forbid all kinds of domestic violence” in Kosovo. This became the accepted position of the working group until the late intervention of a female prosecutor from Kosovo who strongly asserted the opposite viewpoint. Kvinna Till Kvinna. 2001. Gender Awareness in Kosovo. Getting it Right? A Gender Approach to UNMIK Administration in Kosovo, p. 16.
28 CHAPTER 3 Nevertheless, the architecture of the inter- administrative staff over operational staff, national community and of sovereign states lack of accountability to the local population, renders it far more difficult to address a confusion of mandates and a tendency for cross-border issues than domestic ones. both duplication and gaps. Even where, as Yet in many instances, domestic conflict in Sierra Leone, the international effort cannot be effectively tackled without has been relatively effective, there remains addressing its cross-border dimensions. a problem of the diversion of scarce national skills and of the legitimacy of the Sierra Leone Government. 3.7 AVOIDING A HEAVY ‘FOOTPRINT’ The most justified criticism is that, while In most conflict countries, one of the peacekeeping missions are a necessary evil and perform an essential function in parties to the conflict has dominated the the short term, their exit strategy is not various branches of government and has sufficiently thought through and national often been complicit, if not directly capacity is not sufficiently developed to responsible for, human rights violations take over upon their departure. Such an and other atrocities. Despite the now exit strategy needs to be planned for from the widely recognized importance of national very outset of the peacekeeping operation, ownership and the need to support national taking into account all of the inevitable institutions, a weighty international presence, 27 mitigating factors such as low national or ‘footprint’, is often required to ensure salaries, insufficient national revenue bases a level playing field for all parties to the and recurrent budgets. To the extent peace agreement, adequately monitor its possible, these parallel operations should implementation and ensure that structural attempt to skew national employment changes essential for long-term peace- conditions as little as possible so that long- building are implemented. In most instances, term sustainability of national institutions this has entailed the creation of temporary is not undermined. parallel structures with a large expatriate staff. In other cases, such as Guatemala, it has also involved the establishment of 3.8 ENSURING SECURITY temporary stand-alone commissions for The final problem is security. Although monitoring and tracking implementation. there have been numerous attacks on UN offices, vehicles and staff before, the attack These parallel structures absorb the most on UN headquarters in Baghdad in August skilled national staff and are often criticized 2003 was a watershed in that it was for undermining the capacity of national systematic, premeditated and of significant institutions. Especially where there is a proportion. It also constituted a precedent sudden influx of agencies and NGOs and that has since been emulated. Also, for the where donor fashions tend to determine the first time, lower and mid-level officials most scale of the effort, these parallel structures directly responsible for security in Iraq were can create layer upon layer of donors, severely disciplined. This and subsequent implementing agencies, contractors and strict tightening of security measures subcontractors, each taking their share of (confined living areas, barriers, armed guards, the budget and generating a competitive geographic restrictions on travel, curfews, culture in which the self-interest of each armed escorts, etc.) have had a marked agency may come before the goal of effect on the work of all UN agencies, helping the victims of conflict. A heavy including UNDP. More specifically, and to footprint can also mean a preponderance of varying degrees, it has:
27 The discussion of ‘light’ or ‘heavy’ footprints was particularly intense in Afghanistan where, despite the efforts of Lakhdar Brahimi to mount a UN mission with a ‘light footprint’, the actual size and cost of the mission became a matter of concern for many observers.
CHALLENGES FA CING THE INTERNATIONAL COMMUNITY AND THE UNITED NATIONS 29 n Dramatically raised the level of caution n Reduced the willingness of managers and the reluctance of the organization to take risks due to the potential for to take risks disciplinary action, forcing them to err on the side of caution n Reduced access to UN premises by nationals who are not UN staff because n Created a siege-like mentality that can of the severe security restrictions lead to overreaction and the likelihood of further escalation of violence, with n Reduced the mobility of UN staff considerably because of restrictions an emphasis on military responses, not on the areas to which staff can travel on policing. without additional, sometimes armed, escorts and the time that they can Security is a particularly difficult problem return to their home bases to overcome and a very sensitive one as the perceived threat is increasingly real. The n Reduced the ability of staff to interact usual tendency of a bureaucracy caught short with people at the local level, including is to subsequently err on the side of extreme to assess needs and monitor programmes caution. A delicate balance needs to be struck thoroughly and the overall objective should be to do n Created a psychological barrier between everything possible to ensure that interaction UN personnel and the ordinary person with civil society as well as government is on the street and even between UN negatively affected as little as possible. and government officials In the case-study countries, security problems Rendered it considerably more difficult n were most notable in Afghanistan. But the to recruit or assign staff to offices in effect of the war on terror may make the conflict zones—particularly because of the implications for families situation of the UN more risky in other places as well. In answer to the question ‘Does the n Forced the UN to work through security situation and the constraints intermediaries—particularly through introduced by UN security regulations hamper subcontracted national NGOs and your ability to carry out your mission?’, consulting firms for whom UN staff do only 11 of the 24 respondents in the survey not have the same level of responsibility said no. Of the majority that said ‘yes’, a for their safety number of shared concerns were raised, n Raised considerably the cost of including restrictions on travel inside a programmes and the UN presence at country, the dangers associated with the country level working in particular areas, and restrictions on contact between members of particular n Required the UN and its executing agents ethnic groups. Other practical limitations to seek innovative, and sometimes quite include having to adopt security measures expensive, solutions for the monitoring for offices or, in more extreme cases, of project implementation28 evacuating staff, and/or relocating offices. n Led to more frequent delays in the The resource implications of these mounting of missions because of the measures (in both time and money) were potential for danger explicitly pointed out by respondents.
28 Extreme examples include: 1) in Iraq, the implementation of UNDP’s infrastructure programme is monitored by consulting engineers from Jordan and elsewhere with the use of remote closed-circuit televisions; and 2) in Afghanistan, the UN Office for Project Services (UNOPS) has also recruited Gurkha companies to provide security on their projects. Generally, because of cost considerations, some of these more innovative and effective solutions can only be implemented on large infrastructure projects.
30 CHAPTER 3 Chapter 4 The UNDP Response
4.1 UNDP’S ROLE IN CONFLICT- UN Country Team, UNDP has added AFFECTED COUNTRIES responsibility for ensuring that armed conflict does not recur, requiring it to address structural Increasingly, UNDP has become an conditions conducive to conflict from a essential component of the United development perspective. UNDP now also Nations’ peacekeeping/peace-building has ‘crisis prevention and recovery’ explicitly operations. Indeed, UNDP’s core mandate within its core mandate.29 places it at the very centre of the challenge of long-term post-conflict recovery and UNDP has already made remarkable peace-building. The UN Country Team is progress in adapting its procedures to its generally present before and during evolving mandate. It should be recalled that conflict and remains beyond the limited the organization started focusing on post- duration of Security Council-mandated conflict activities only towards the end of missions run by the Department of Peace- the 1990s with the creation of an Emergency keeping Operations or the Department of Response Division, later transformed into Political Affairs. As a key member of the the Bureau for Crisis Prevention and
TABLE 9. UNDP EXPENDITURE IN SELECTED COUNTRIES RECEIVING ASSISTANCE FROM THE UNDP BUREAU FOR CRISIS PREVENTION AND RECOVERY 2004 2005 Global total expenditure (US$ billions) 3.5 4.4 Selected countries receiving BCPR assistance, total expenditure* 1.2 1.6 (US$ billions) Total expenditure on selected countries receiving BCPR 33.8 37.2 assistance, as share (%) of global total Global programme expenditure (US$ billions) 2.9 3.7 Selected countries receiving BCPR assistance, programme expenditure* 1.1 1.5 (US$ billions) Total programme expenditure on selected countries receiving 37.4 41.0 BCPR assistance, as share (%) of global total Average global total expenditure (US$ thousands) 18,388 23,443 Selected countries receiving BCPR assistance, average total expenditure* 28,809 39,535 (US$ thousands) Average global programme expenditure (US$ thousands) 16,692 Selected countries receiving BCPR assistance, average programme 26,137 expenditure* (US$ thousands)
*41 countries: see footnote. 30 Source: UNDP Intranet.
29 Approved by UNDP’s Executive Board decision 2000/1. 30 Afghanistan, Albania, Azerbaijan, Bosnia and Herzegovina, Burundi, Cambodia, Central African Republic, Chad, Colombia, Congo, Côte d’Ivoire, Croatia, Djibouti, Democratic Republic of the Congo, El Salvador, Eritrea, Ethiopia, Fiji, Georgia, Guatemala, Guinea, Guinea-Bissau, Haiti, Indonesia, Iraq, Kyrgyzstan, Lao People’s Democratic Republic, Lebanon, Liberia, Nepal, Nigeria, Papua New Guinea, Rwanda, Sierra Leone, Somalia, Sri Lanka, Sudan, Tajikistan, The former Yugoslav Republic of Macedonia, Uganda and Yemen.
THE UNDP RESPONSE 31 Recovery in 2001. In 2005, the BCPR spending on democratic governance increased recorded a total expenditure of some dramatically in 2005 to 69 percent of the $398 million under the service lines it total. In Sierra Leone, governance and manages.This represented nearly 11 percent capacity-building accounted for 40 percent of UNDP’s global expenditure. BCPR of the total in 2004; recovery and peace- supports country offices in conflict- building accounted for 48 percent. And in affected countries and leads the UNDP in Afghanistan, state-building and governance, crisis prevention and recovery, one of its together with democratization and civil five practice areas.31 society empowerment accounted for over 70 percent of all expenditure. Support for To that amount must be added the much civil society and regional cooperation larger sums spent in transition countries on seems to be the weakest of the components electoral assistance and other activities that listed in Table 10. fall outside the scope of BCPR. In 2005, UNDP’s total expenditure on conflict- Innovative projects include: affected countries was more than $1.6 billion (see Table 9). In terms of programme n Community-based approaches to expenditure, spending in conflict-affected disarmament, demobilization and countries accounts for 40 percent of reintegration, especially in Sierra UNDP total programme expenditure. Leone, the Democratic Republic of the On average, spending on conflict-affected Congo and Haiti countries is 70 percent higher than n Combining justice with security sector spending on all countries. reform and trying to introduce holistic concepts of security; this is particularly Table 10 shows that UNDP supports a important in Sierra Leone wide range of activities; the mix in the various countries is very different as are the n New processes of consultation, especially so-called cornerstone projects. From the in relation to poverty reduction strategies case studies it appears as if more effort is and the MDGs. A particularly innova- expended on the first three aims: recovery tive project involves ‘Dialogue Tables’ and reintegration, the restoration of state in Guatemala. authority, and justice and security sector reform than on the other goals. In particular, A wide range of activities were described in it appears that governance and capacity- response to the questionnaire. Country building account for the biggest share of offices were asked to describe their corner- expenditures in the case studies. Under stone projects. These fell into the categories governance, support to electoral processes summarized in Table 11. is by far the largest activity, although it is an area where UNDP generally performs a As in the case-study countries, priority areas service function more than a substantive appear to be recovery and reintegration, one.32 Thus in Haiti, 48 percent of the governance and institutional capacity- total went to governance in the years 2000- building and community-based projects, 2003, rising to 76 percent in 2004-2005. In especially disarmament, demobilization the Democratic Republic of the Congo, and reintegration, and reconciliation.
31 Crisis prevention and recovery includes the following service lines: conflict prevention and peace-building; recovery; security sector reform and transitional justice; small arms reduction, disarmament and demobilization of ex-combatants; mine action; natural disaster reduction; and special initiatives for countries in transition. 32 A notable exception is the Democratic Republic of the Congo, where UNDP is more closely involved in the management of electoral support (see case study).
32 CHAPTER 4 TABLE 10. UNDP ACTIVITIES IN SIX CASE-STUDY COUNTRIES
Goal Activity Countries
Recovery n Disarmament, Afghanistan and reinte- demobilization n Disarmament, demobilization and reintegration is included as gration and reintegration part of the security sector reform in Afghanistan; support for of people (DDR) of armed mine clearance under the Mine Action Programme for affected forces Afghanistan includes assistance in the preparation of a plan to by conflict make the transition to a national mine action agency, help in n Mine action drafting legislation for the establishment of the agency and a performance assessment of the UN Mine Action Centre to n Rebuilding improve the structure of the transition schools, health centres, etc. Democratic Republic of the Congo n Establishment of a UNDP Post-Conflict Unit; community-based n Reintegration of approaches to DDR that include extending assistance to local conflict-affected communities receiving former combatants; support of national populations, DDR institutions and a national plan for DDR; establishment of a including Rapid Response Mechanism; projects that support former refugees, IDPs and combatants; support to regional disarmament efforts (the overall ex-combatants,and strategy is to link demobilization with community development); the development advocacy for the inclusion of problems associated with dependents of surrounding of combatants and women and girls who were forced to communities accompany armed groups in DDR-related programmes. DDR has become part of the security sector reform since the former members of armed groups were given the option of joining the new national army or the police. Other efforts include a project for Small Arms Reduction in five eastern provinces; reintegration and health services for the disabled
Guatemala n Support for the creation of a governmental Special Commission for Attention to Refugees, and Technical Commission for the Implementation of the Agreement on Uprooted Populations (1995-2005); support for specific projects (1998-2001) targeting displaced persons (PRADIS); a project called Dignifying and Psychosocial Attention to War Victims (DIGAP,2001-2008), which includes technical assistance for economic compensation and searching for ‘disappeared’ children; support to resolution of land conflicts; support to deactivation and reintegration of the Military Police (including economic compensation, training, reference systems in Ministry of Labour in-country offices), facilitating the demobilization of the Guatemala National Revolutionary Unit and preparation of camps
Haiti n Since 2005, established an integrated structure between the UN Stabilization Mission in Haiti and UNDP programmes in order to approach DDR; in 2003, UNDP launched a successful one-year pilot project for the reduction of armed violence and insecurity, following an innovative concept that linked disarmament to a community-based approach involving information campaigns, support to community conflict-resolution mechanisms and micro-projects benefiting community groups as well as former members of armed gangs
Sierra Leone n Various measures to reduce weapons, including legislation, community-based weapons collection, prevention of arms trafficking, and community recovery and development in border areas.Youth engagement projects for war victims including ‘Girls off the Street’
Tajikistan n Support to the government in establishing the Tajikistan Mine Action Cell, which is responsible for policy development, strategic planning, priority identification and coordination of mine action activities; advice and assistance on the fulfilment of the Tajik Government’s obligations under the Ottawa Convention prohibiting anti-personnel mines, and on destruction of mine stockpiles continued on next page k
THE UNDP RESPONSE 33 TABLE 10. UNDP ACTIVITIES IN SIX CASE-STUDY COUNTRIES (continued)
Goal Activity Countries
Restoration n The management Afghanistan of state of elections and n Since 2004: strong focus on governance and state-building authority/ development activities; special focus on formal state institutions of the governance of election executive, judiciary and the legislature branches; extensive and management involvement in managing and administering the presidential capacity- capacity and local and parliamentary elections; capacity-development building for the civil service in the form of training; assistance with the n Constitutional preparation of a training policy; funding of a major Civil Service and legislative Leadership Development programme; support to the government’s reform National Drug Control Strategy programme
n Rebuilding Democratic Republic of the Congo and furnishing n Support to institutions important to the transition; successful administrative support in registering 25 million voters and organizing a referendum; centres launch of a project called Support for Securing the Electoral Process, which provided training, equipment and logistical support to n Setting up local nearly 60,000 police and security officers; adhoc support to government administrative tasks, such as direct payment of salaries to electoral agents and police officers; the information campaign under the n Public sector programme of support to the electoral process also promoted reform the participation of women both as voters and as candidates; participated in an international effort aimed at reforming the n Strengthening public sector; planned projects include support to political of parliamentary parties and an anti-corruption programme institutions Guatemala n Strengthening n Support to ensure the identity and rights of indigenous peoples, of accountability including strengthening of the Office of Indigenous Women of and the reduction the Indigenous Defender, the Penal Public Defender Institute of corruption and training of Indigenous Defenders, and support to a National Programme for Popular Traditional and Alternative Medicine; strengthening of the Ministry of the Interior; support for the security of the president and vice-president and the Strategic Analyses Secretariat; investigation into electoral participation; support to the political integration of the Guatemala National Revolutionary Unit (1997-2005); facilitation of processes aimed at defining public agendas related to peace, including the National Shared Agenda (2002-2003), generating trust within and between political party structures and governmental programmes; support to the regional offices of the Human Rights Ombudsman; strengthening of community and grass-roots organizations in their capacity to participate in local development councils; strengthening political party structures at the municipal level; reconciliation and conflict- reduction activities, for example, through projects to solve community problems, such as water, sanitation and roads, in collaboration with local and national government, NGOs and international donors
Haiti n In terms of elections, UNDP’s role is limited to financial and logistical support; provision of logistical support for managing the Electoral Trust Fund, including provision of offices, payment of salaries and recruitment of personnel
Sierra Leone n Support for local elections and implementation of a decentralization policy,including establishment of local councils and ward committees, training, and activities aimed at local service delivery and resource mobilization; support for the Senior Executive Service (a new reformed institution for high-level civil servants) and national procurement processes
Tajikistan n Establishment of a Legal Education Centre to support the rule of law and an independent judiciary; initiating the Working Group on Anti-Corruption to promote discussion among donors, information- sharing, coordination and identification of entry points for tackling corruption; funding of a nationwide survey on corruption managed by the Office of the President; funding and equipment for the Prosecutor General’s Office in anticipation that a more compre- hensive programme will be launched to address corruption continued on next page k
34 CHAPTER 4 TABLE 10. UNDP ACTIVITIES IN SIX CASE-STUDY COUNTRIES (continued)
Goal Activity Countries
Justice n Strengthening Afghanistan and security of the judiciary, n Assistance to the government in preparing a ten-year plan for sector reform rehabilitation reforming and strengthening the justice sector called ‘Justice of prisons for All’; rehabilitation of physical facilities and procurement of and courts equipment; capacity-building in court administration, including provision of computers, management and English language n Improving courses; training of judges; advisory services to the Law Curriculum access to justice, Development Committee of the Faculty of Law and Political including the Science of Kabul University in preparing a new curriculum for codification of legal studies. Support for the creation of the Afghan National traditional forms Army and the Afghan National Police. Support for the war on of justice and drugs is included under security sector reform. their adaptation to conform to Democratic Republic of the Congo human rights n Mainly technical support for the development of essential conventions legislation; projects in traditional core activities of UNDP such as support to the secretariat overseeing reform of the judicial system n Training judges, justices of the Guatemala peace, court n Support to the Human Rights Ombudsman and Public Prosecutor’s clerks, etc. Office in following up on cases of human rights violations. General support for the reform of the judiciary, including the National n Strengthening Commission for the Strengthening of the Judicial Sector, including and training analysis of and proposals for public policy, alternative methods the civil police of conflict resolution, speeding up bureaucratic processes and various human resources issues; strengthening of the civilian n Small arms action national police
n Assisting Haiti emergency n Provision of technical expertise to the Ministry of Justice; continued responses support to the prison system and courts; leading role within the for crises and context of the UN response in addressing both the emergency natural disasters and the need for a strengthening of national capacity to cope with recurring natural disasters; UNDP has contributed substantially to addressing the consequences of natural disasters and to improved national-capacity to deal with disaster risk; additional projects for the justice and security sector are scheduled to start in early 2006 with the end of the transition period
Tajikistan n UNDP initiated disaster management activities that identified key areas for capacity-building and coordination to strengthen disaster prevention and mitigation; UNDP and the UN Office for the Coordination of Humanitarian Affairs have helped the Ministry of Emergency Affairs establish a Rapid Reaction Team with the purpose of coordinating the operational response to emergencies during and after disasters; UNDP has also helped establish an information centre on disasters and a website for the ministry
Sierra Leone n Constructing and rehabilitating police and prison facilities and courts; conducting risk assessment and developing a risk assessment and emergency response plan and establishing an emergency response system; support to the Special Court and for human rights legislation and sensitization, mainly police training
Poverty n Decentralization Afghanistan reduction and community- n Special focus on strengthening centralized mechanisms for the and based develop- management of local development at the provincial and lower sustainable ment levels; area-based development livelihoods n Support to Sierra Leone and reform of n MDG awareness campaigns and reporting—support for secretariat, essential services production of strategy,monitoring and implementation; establishment and service of micro-finance initiatives with special emphasis on women’s groups; institutions support for the establishment of the Development Assistance Coordination Office within the Office of the Vice-President; support for local enterprise, especially among women and youth; capacity-building for small farmers and rural communities continued on next page k
THE UNDP RESPONSE 35 TABLE 10. UNDP ACTIVITIES IN SIX CASE-STUDY COUNTRIES (continued)
Goal Activity Countries
Poverty n Creation of Democratic Republic of the Congo reduction sustainable n A variety of projects, the largest of which include community and livelihoods development projects in selected provinces, projects to prevent sustainable through the spread of HIV, tuberculosis and malaria, a Bio-Diversity livelihoods microcredit Protection Programme, and a Reconciliation and Community and small Development project in Ituri enterprise development Guatemala n Collaboration with government and UN bodies for land n Helping to compensation and titles, urban centre design and urbanization; prepare poverty support to the Health Ministry in relation to a project providing reduction psychosocial support to war victims; strengthening of the strategies Ministry of Health and Institute of Social Security, public hospitals and private health centres, including the opening of n Increasing centres and improving access for women and children and the awareness of rural population living in extreme poverty; conflict reduction the MDGs activities such as projects to solve community problems such as water, sanitation and roads; reconstitution of the social fabric, community development for peace (DECOPAZ, 1998-2001), including socio-economic infrastructure: education, health, roads, bridges and support to land conflict resolutions
Haiti n Production of a report on vulnerability in Haiti, a national human development report; participation in the formulation of a Poverty Reduction Strategy
Tajikistan n UNDP’s community-based initiatives began under the Rehabilitation, Reconstruction and Development Programme, which was executed by UNOPS.The programme worked in communities to which some 4,000 ex-combatants returned. Assistance was largely in the form of one-off relief grants. The programme has subsequently been transformed into a Communities Programme, directly executed by UNDP.Both programmes have jointly resulted in the rehabilitation of most of the health-care facilities in the areas they have covered, the repair of educational facilities, and the rehabilitation of water supply systems. n Communities Programme with the central focus on the organization and training of locally elected community-based organizations (Jamoat Development Committees) to identify priorities for local development n Launch of an initiative to make Tajikistan a pilot case for the promotion of MDGs by raising the issue to the level of the Deputy Secretary-General’s Office and mobilizing Jeffrey Sachs in support of a high-level process to define the resource requirements for the attainment of the MDGs, to which Tajikistan is a signatory
Support for n Organizing Afghanistan civil society dialogues n Provision of support to the Afghan Independent Human Rights Commission; production of a national human development report n Capacity-building Democratic Republic of the Congo Preparing n n Close cooperation with national NGOs in Ituri; extensive national or consultative process for the preparation of the Poverty regional human Reduction Strategy Paper development reports Sierra Leone n Mainly youth engagement and projects; community empowerment projects linked to local councils, and the development of Sierra Leone’s information system; development of a document on intergenerational dialogue continued on next page k
36 CHAPTER 4 TABLE 10. UNDP ACTIVITIES IN SIX CASE-STUDY COUNTRIES (continued)
Goal Activity Countries
Support for Guatemala civil society n ‘Dialogue Tables’on: peace culture and reconciliation, defence policy, indigenous people, rural development, economic development, human rights, justice and security. Supporting trust and consensus- building for interaction between civil society organizations and the state; support to the Truth Commission, including intersectoral dialogue; human and community development and participation with reference to DIGAP; facilitation of civil society participation in the Fiscal Pact process (1999-2003) and in Peace Accords implementation; support to intersectoral dialogue on land conflicts; general strengthening of civil society organizations, including NGO Directory (1997-1998); strengthening negotiation capacity of communities with public institutions for project financing; strengthening communities’ organizational capacity Haiti n Consultations with members of the civil society for the preparation of the national human development report and the poverty reduction strategy
Regional n Border Sierra Leone cooperation strengthening n Support for the Mano River Union Secretariat; border strengthening and cross-border community dialogues n Helping to establish regional Tajikistan organizations n Management of a regional programme (BOMCA) that is intended to train and equip border forces to replace the Russian troops; UNDP essentially provides a service function, serving as a channel for funds from the European Community and purchasing and equipping depots, offices and units of the border forces
Adminis- n Managing Afghanistan trative trust funds n During 2002-2004, there was a strong focus on administrative functions functions, including reliable financial management services in n Strengthening the post-conflict period (managing of the Afghan Interim Authority aid coordination Fund; the Law and Order Trust for Afghanistan; the Counter Narcotics capacity Trust Fund; involvement in the management of the Afghan Reconstruction Trust Fund; support provision to key processes that n Strategic the UN and international community were involved in (for example, coordination convening of the Loya Jirga, the preparation of documentation and needs assessments for the Bonn Conference); service provision n Organizing for most of the agencies that constitute the UN Country Team donor meetings Democratic Republic of the Congo n Management of a large trust fund for elections as well as other smaller trust funds; creation in the UNDP country office of a ‘service centre’ Guatemala n Management of a dedicated trust fund (1997-2005) for use in population resettlement, plus support to project identification, formulation and execution (1995-2006); facilitating encounters of political actors, coordination with the international community, supplying technical assistance in the negotiation process, support to the Peace Secretariat, peace commissions, including strategic intergovernmental coordination and resource mobilization, information system on compliance of Peace Agreement; technical assistance for consultative group meetings focused on peace (1997, 1998, 2003), including coordination with the international community and resource mobilization and management; facilitation of participation of the private sector (1998-2000), for example, in initiatives for agroforestry development and eco-tourism Haiti n International trust fund to support the electoral process established through UNDP; provision of logistical support for managing the trust fund; coordination of and support to inter-agency group on uprooted and demobilized populations (1997-2004) Tajikistan n Provision of services—particularly through the management of funds on behalf of donors (for example, the Border Management and Control Project) n UNDP served as a channel and a link between the Ministry of Emergency Affairs and the donor community; staff in the Ministry of Emergency Affairs that are directly involved with UNDP’s project are paid salary supplements
THE UNDP RESPONSE 37 TABLE 11. CORNERSTONE PROJECTS UNDERTAKEN BY SELECTED COUNTRIES RECEIVING ASSISTANCE FROM THE UNDP BUREAU FOR CRISIS PREVENTION AND RECOVERY Types of cornerstone projects Number of projects Community-based projects related to conflict, including 19 disarmament, demobilization and reintegration and reconciliation Reconstruction/rehabilitation 13 Governance, justice, constitutional and public service reform, 13 capacity-building Security issues relating to conflict prevention 12 Assistance to refugees and IDPs 7 Unexploded ordnance, including landmines 6 Elections 4 Environmental issues 2
4.2 THE RELEVANCE OF UNDP’S sometimes weak, this experience on the PROGRAMMES IN CONFLICT- ground, which involves knowledge of people AFFECTED COUNTRIES and institutions, does give UNDP an advantage in formulating strategy. 4.2.1 Strategic leadership UNDP, by virtue of its mandate and role in UNDP’s strategic leadership is, however, the UN system, has the potential to offer a hampered by the fact that it rarely plays a distinct intellectual perspective on conflict role in the negotiation of peace agreements. and insecurity that could influence the Unless it is possible to influence the climate of opinion within the international mandate of peacekeeping or peace-building community. UNDP has pioneered concepts operations, it is very difficult to shape policy, such as human development and human set priorities or raise resources. In all six security and was among the first to imple- case studies in this evaluation, with the ment participatory approaches to community exception of Guatemala, programmes were development that have now been taken up largely defined based on the international by other agencies. In all case studies, UNDP community’s strategy for dealing with the plays a key role in strategic coordination, conflict—that is, the strategy established and in dialogue and consultation with by the Security Council. The UNDP has government and civil society. UNDP has not been actively involved in defining the taken the lead in developing new approaches international community’s strategy in to conflict recovery, including the emphasis providing support for the peace process. on the restoration of state authority, Moreover, as a general rule, the structural, community approaches to disarmament, institutional underpinnings necessary for demobilization and reintegration, and lasting peace have not been addressed as part justice and governance capacity-building. of the process. In the few instances where UNDP was involved in the actual peace In several of the case studies, it was process (Afghanistan, Burundi and Tajikistan), emphasized that UNDP has a particular UNDP delivered only administrative support role to play because, unlike Security Council to the UN represented by the Department missions, it has a long-term presence. of Political Affairs and the international UNDP has been present in most conflict- community. This included contracting affected countries before, during and after for venues, equipping buildings used for conflicts. Although institutional memory is negotiations, paying for the travel of
38 CHAPTER 4 national participants from all sides33 and participation in the peace process and providing them with logistical support. supported internal reconciliation and dialogue at district and local levels. In One exception was Guatemala, where the Aceh, Indonesia, UNDP plays a central UN Resident Coordinator/UNDP Resident role in the Advisory Board to the peace Representative was intimately involved, along process, which is composed of donors, with the Representative of the Secretary- international NGOs, community leaders and General, in most, if not all of the peace representatives of the insurgent movement. negotiations. The UNDP also provided Twenty-two respondents reported a major venues and facilitation for subsidiary role in implementation of peace agreements ‘Dialogue Tables’. These were intended to through rehabilitation and return of refugees promote reconciliation at different levels and IDPs, disarmament, demobilization around thematic issues and helped define and reintegration programmes and support the approach and detailed strategy for the for elections and constitutional reform. attainment of a lasting peace. It is worth noting that, unlike other peace agreements It is sometimes argued that UNDP can have that emphasized the attainment of strictly a more effective role in peace negotiations political milestones, the case of Guatemala by acting informally—through parallel civil integrated structural dimensions of peace society meetings, for example, since it is into the agreements. Direct involvement advantageous not to be identified with in the negotiations also better enabled some of the unsavoury compromises that UNDP to orient its own programme of have to be made to end a conflict. Every assistance in support of the peace process. situation is specific, but the presumption The other notable exception was Haiti, should be that involvement in peace where, in the days that followed the negotiations is more likely to ensure that departure of President Aristide, the UNDP development considerations are central to Resident Representative was asked to sit peace implementation. as the representative of the international community on the Tripartite Council that By virtue of the nature of the peace agreements organized the political transition process. reached, in the majority of Security Council- mandated operations there is relatively The survey also shows that, in other countries, little feedback to the Security Council on the UNDP has rarely been involved substan- building of institutions, the capacity being tively in peace negotiations, although it has developed or structural transformations funded projects that have facilitated and that can address the long-term aspects of paid for the travel of participants to venues peace-building. Rather, the principal focus for negotiations when they have been of the Secretary-General’s reports continues abroad. As a result, it has relatively little to be on the attainment of narrowly defined say in the definition of milestones during political and humanitarian milestones. The the peace process. None of the respondents UNDP Administrator does not separately to the questionnaire reported a major role brief the Security Council, as do the High in organizing or contributing to a peace Commissioner for Human Rights and the agreement. However, all reported a role in High Commissioner for Refugees. This either facilitating or implementing peace also implies that UNDP programmes do agreements, where these have taken place. not have the explicit backing of the Eight (out of 24) respondents reported a Security Council, which limits UNDP’s role in facilitating peace agreements, that is ability to put pressure on relevant actors. to say, organizing round tables and donor conferences or trying to involve NGOs. In As a result, UNDP’s ability to reorient the Somalia, for example, UNDP supported strategy adopted by the UN is largely local NGOs that pressed for women’s dependent on the Representative or Special
33 In the case of Burundi, for instance, travel of the participants to the peace negotiations was paid for by UNDP.
THE UNDP RESPONSE 39 Representative of the Secretary-General areas, of raising incomes and of reforming concerned. In most instances, these officials the police force for instance—none of are more focused on shorter-term political which would receive the type of concerted imperatives and less on the structural attention that would probably be necessary if underpinnings of peace and security. UNDP the international community were to reorient has had to adapt itself to some of the its attention to the MDGs. A systematic weaknesses of the overall Security Council conflict analysis would, undoubtedly, enable UNDP NEEDS approach, such as the priority accorded to UNDP to better prioritize its activities in TO DEVELOP political stabilization or the phased approach. Tajikistan and elsewhere to address those Partly as a result of this, and partly because structural conditions conducive to conflict A CLEARER of the need to mobilize resources in order to that are most critical to long-term stability CONCEPTUAL maintain a credible presence, UNDP country and also advocate for additional support in 34 FRAMEWORK FOR offices have often tended to focus on imple- these areas. mentation of Security Council mandates and THE DEVELOPMENT peace agreement benchmarks rather than Such an analysis would need to be developed OF A STRATEGY substantively contributing to the international in conjunction with civil society and local experts. THAT ADDRESSES community’s strategy and the approach adopted in Security Council resolutions. THE MOST 4.2.2 A specific niche in governance, COMMON UNDP, in turn, needs to develop a clearer capacity-building and conceptual framework for the development post-conflict recovery STRUCTURAL of a strategy that addresses the most common UNDP is developing a substantive expertise CONDITIONS structural conditions conducive to conflict. in governance and capacity-building and in CONDUCIVE TO It also needs to undertake a systematic post-conflict recovery and peace-building. identification of modalities and approaches In effect, UNDP has developed a specific CONFLICT. that have proved successful in addressing niche within the UN system. No other these issues. There is little evidence in the organization has an operational mandate in six case studies of systematic conflict the area of governance, including justice and analyses preceding UNDP’s programming security sector reform, or in multisectoral exercises. Nevertheless, UNDP has attempted programmes that combine decentralized to link its analyses to the work of the UN governance with the creation of jobs and under its Security Council mandate through sustainable livelihoods that are so critical to national or regional human development reports peace-building, long-term development as well as Common Country Assessments. and the prevention of the recurrence of In Tajikistan, UNDP has attempted to argue armed conflict. that the achievement of the Millennium Development Goals is essential to long- UNDP is, therefore, in a position to strongly term stability and economic development; support the Department of Political Affairs in response, a very high-profile effort and the Department of Peacekeeping championed by the government is being Operations in the implementation of mounted to shift the attention of the Security Council mandates. UNDP country international community to the achievement offices are also in a position to provide of these goals and to back it up with funding. feedback and advice to these two depart- However, a systematic conflict analysis would ments in countries that are not yet under a probably highlight the continuing importance Security Council mandate. Indeed, the of promoting sustainable livelihoods in rural United Nations—UNDP in particular—
34 In fact, it has been argued that UNDP should undertake conflict analyses not just in countries that are in the midst of conflict, or emerging from conflict, but also those that are in a fragile state (with a view to better conflict prevention and management). See Pillay, Rajeev. April 2003. ‘Halting the Downward Spiral: Returning Countries with Special Development Needs to Sustainable Growth and Development’. Paper prepared for the UNDP Bureau for Development Policy, as a conceptual framework for addressing the structural causes of armed conflicts.
40 CHAPTER 4 remains the one truly global institution each thematic area. Considerable work that has the political legitimacy required to has already been done to systematize the undertake these sensitive tasks, despite the experience gained and to establish a frame- criticisms it has received. work for the development component of the UN’s interventions in post-conflict However, as this analysis suggests, UNDP settings.35 This work needs to be updated is overextended. All of the case studies and and further developed into practical tools the longer list of conflict-affected countries and instruments that can be readily applied and areas that receive assistance from the at the country and subregional levels. BCPR demonstrate a recurring demand for UNDP activities in the areas enumerated In some thematic areas UNDP has under- in Table 10. There are compelling reasons taken systematic reviews of its experience why an operational agency from within the with a view to creating a knowledge base36 and UN system that is closely integrated within numerous evaluations—both of individual the UN peace operation would be the ideal programmes and of country experience. candidate to take the lead in each of these However, it is apparent this experience is areas. For disarmament, demobilization not always reflected in the design and and reintegration, for example, there is no implementation of programmes. other UN institution with a clear mandate in that regard; it is only UNDP that is in a 4.2.3 Gap-filling and position to effectively link disarmament administrative functions and demobilization to reintegration. Yet, UNDP plays a role in filling gaps that given the significant funding constraints other agencies are unable or unwilling to and the lack of independent income, it is fill with targeted interventions. It was impossible for UNDP to have sufficient repeatedly emphasized to the evaluation standing capacity to address all of these team, both at Headquarters and in the thematic areas. field, that UNDP has adopted an approach that highlights gap-filling and providing The result is that while several programme administrative functions for the rest of models are in practice replicated from country the international community. UNDP has to country (for example, community-based filled essential gaps where other donors reintegration and development programmes have been unwilling to step in, and it and the building of civil police capacity), has undertaken administrative functions mistakes and shortcomings in terms of to facilitate the work of the rest of the programme design and implementation are international community in the peace- often repeated. For UNDP to be effective, building effort. In conflicts where new it needs to have: 1) clear policies for each challenges and problems are continually thematic area; 2) a codified body of experience faced, there is a real need for an agency that and lessons learned that are readily available can meet unanticipated needs. The to staff; 3) ready access to specialized problem with narrow mandates is that they expertise through consulting firms, academic are determined by past experience that institutions and even government departments does not always fit current realities. In in third countries that are on a standing particular, BCPR has developed a ‘surge roster and can be quickly and efficiently capacity’ to respond nimbly to crises. deployed; and 4) realistic and ready funding Moreover, the capacity to fill gaps is a to meet the considerable challenge faced in learning experiment that leads to new and
35 See, for instance, Pillay, April 2003. See also Pillay, Rajeev. November 1999. ‘Governance Foundations for Post-conflict Situations: UNDP’s Experience’. Paper prepared for the UNDP Management Development and Governance Division. New York. The latter provides a systematic and extensive assessment of the modalities applied by UNDP to address structural issues pertaining to governance for long-term peace- building. 36 Ibid.
THE UNDP RESPONSE 41 innovative approaches and helps to inform are perhaps the best illustration of that the overall strategic direction. dilemma. UNDP’s role in such projects should be enhanced, first, by a systematic Gap filling and administrative functions linkage of electoral support with more also have their downsides, however. They substantive activities, such as civic education carry the risk that UNDP will be spread and capacity-building for institutions of too thin and that its core capacity will democracy37 and, second, by promoting suffer. While small targeted projects can be full participation in the management very important in meeting urgent needs— structure of the programme. This could a good example is the training of justices include the creation of units jointly of the peace and court clerks in Sierra managed by the UN mission, UNDP and Leone so as to re-establish district courts the national electoral body and housed in quickly—too many small projects may easily common premises. dilute the ability to make a substantive contribution and weaken the coherence of The answers to the questionnaire suggested the overall response. that in other conflict-affected countries, there are fewer instances of administrative Gaps are, almost by definition, ephemeral. functions without substantial inputs. Seven In the 1980s it was very difficult to find a respondents said that they did not undertake bilateral agency that was prepared to field purely administrative or financial activities; civil police advisers, and this constituted a four respondents said that they were involved critical gap in the post-conflict environment. in administrative or financial functions only Yet today, bilateral donors consistently as they related to UN common services. field civil police and civil police advisers. A Other country offices reported substantial administrative activities, included Bosnia strategy that is centred on gap-filling, and Herzegovina, Georgia, Somalia and The therefore, precludes UNDP from investing former Yugoslav Republic of Macedonia. sufficiently in the development of technical, The most significant example was the country substantive and operational capacity, since office in Burundi, where such activities are the gaps can be expected to change from said to account for 30 percent of its total conflict to conflict and over time. activities. It may be, however, that examples like Afghanistan are setting a trend for There are also concerns that administrative other conflict-affected countries. functions will detract UNDP from its core development mandate and divert human It is true that the solutions to each country resources that could be used to further must be different.38 But taken to its extreme, develop UNDP’s lead role in development. an approach that argues that each situation For instance, in the case of Afghanistan, is different would result in UNDP becoming UNDP managed a trust fund for the simply a gap filler or provider of adminis- payment of the salaries of the civil police. trative functions. Gap filling is a role that is In Tajikistan, UNDP is managing funds to clearly much appreciated by the international enable the Tajik border forces to replace community. However, it mitigates against Russian troops on the country’s interna- the development of substantive expertise in tional borders. In both instances, the any specific area except management and substantive advice and capacity-building logistics, since the core competencies sought is either provided directly by bilateral are: 1) nimbleness; 2) strong systems of development agencies or the European accountability and transparency; and 3) an Commission. Electoral support programmes ability to coordinate effectively with other
37 The Brahimi Report already recommended “… a better integration of electoral assistance into a broader strategy for the support of governance institutions” (executive summary of UN document A/55/305 – S/2000/809 of 21 August 2000). 38 This was repeatedly stated to the evaluation team by senior BCPR staff.
42 CHAPTER 4 donor programmes that deliver the substance. UNDP is underfunded to meet the UNDP needs to continue to improve its challenges that it faces within its mandated capabilities in these areas (see section on areas. Moreover, both its relevance and efficiency), but there are also strong effectiveness are undermined by the lack arguments for UNDP to develop standing of predictability of resources even for substantive capacity in certain areas to development activities most crucial to consolidate and maintain its niche in post-conflict recovery and peace-building. conflict-affected countries. Even where the UN has provided for UNDP’S FORAY integrated missions, the development INTO GAP-FILLING 4.2.4 Insufficient emphasis on civil component has never been covered in the AND ADMINISTRA- society and gender assessed contribution. All development assistance in the context of post-conflict TIVE FUNCTIONS Although all UNDP offices stress the countries is in the form of voluntary importance of civil society and of gender, MAY BE AS MUCH contributions, generally mobilized through there is a tendency to give priority to dedicated international conferences. A CONSEQUENCE relations with government. Serious attention to civil society concerns is critical if OF ITS NEED TO The case studies suggest that UNDP is political legitimacy is to be established. MOBILIZE NON- increasingly dependent on non-core, Likewise, much greater attention to the earmarked resources for its activities in CORE RESOURCES gender dimension of governance and conflict-affected countries. In 2004, the post-conflict recovery could be critical for TO ENABLE IT TO share of core spending in total expenditure long-term peace-building. was 1 percent in Guatemala, 21 percent in REMAIN RELEVANT Haiti, 29 percent in Sierra Leone and AS IT IS THE RESULT All of the respondents to the questionnaire 73 percent in the Democratic Republic of mentioned civil society. Five said that OF PERCEIVED the Congo. In Afghanistan, the share of relations with civil society were weak or core spending was 5 percent for the DEVELOPMENT non-existent because of lack of credible entire period 2000-2005. Whereas core partners or the absence of a legal frame- NEED. spending tends to remain roughly constant work. Nineteen respondents mentioned or increases somewhat, surges in spending civil society partners; 10 referred to civil are explained by influxes of non-core society consultation; and 12 referred to expenditure.39 Thus in the Democratic capacity-building. The responses from Republic of the Congo, core spending Bosnia and Herzegovina seemed to rose in 2005 from $11.8 million to indicate extensive relations of various $14.5 million, but declined as a share of the kinds with civil society groups in a range of total from 73 percent to 7 percent. This activities, such as area-based development, was the result of a huge increase in external the small arms and light weapons monitoring funds, mainly as a result of launching the programme, and citizen awareness, especially electoral support project. at the municipal level. However it is clear that, from the general responses, The same trends are evident for the partnerships with government and other respondents to the questionnaire. Over internal agencies take priority. the period as a whole, 2000-2005, non-core resources as a percentage of total disbursement 4.3 FUNDING for the 21 countries that responded to this question accounted for 67 percent (rising UNDP’s foray into gap-filling and from 47 percent in 2000 to 72 percent in administrative functions may be as much a 2005). For individual countries, the shares consequence of its need to mobilize non-core varied from 20 percent in the lowest case, resources to enable it to remain relevant as Uganda, to 97 percent, the highest case, it is the result of perceived development need. Bosnia and Herzegovina.
39 Because of the inadequacy of the data available, it was only possible to undertake a comparison for one year.
THE UNDP RESPONSE 43 This growing dependence on non-core n Greater mobilization of UN Country funding has meant that priorities are Teams to support the implementation of dependent either on the preoccupations of peace agreements both at Headquarters different donors or on the energy and and the field. success of local staff in mobilizing additional funding for projects. It has also n The development of a considerable body resulted in an impression that UNDP is of experience that can be exploited sometimes ‘the beggar of the system’— further to inform and mould UNDP’s forced to go with cap in hand to donors in approach to future conflicts. search of non-core resources to implement even its most essential programmes. On the less positive side, this has resulted in:
n Reorientation of programmes to match UNDP staff have adapted by doing their donor interests, sometimes without due utmost to mobilize non-core resources to prioritization to meet requirements of address the challenges they face. On the the peace agreement or national demand. positive side, this has resulted in: Adoption of a phased approach to post- Considerable effort on the part of n n conflict recovery and peace-building. UNDP in the preparation and holding of special conferences on development n Adoption of an administrative approach and humanitarian assistance needs in which UNDP’s role, in many cases, resulting from peace agreements in all is one of managing resources and of the countries concerned.This includes providing an umbrella of UN-derived participation in large multi-thematic, legitimacy, but is largely devoid of multisectoral, multi-agency needs policy content.42 assessment missions, usually led either by UNDP and the World Bank, or by n The definition and launching of the World Bank alone.40 programmes in the expectation that resources required for full implementa- n Reorientation of UNDP’s programmes tion will become available over time. to support implementation of Security This has sometimes resulted in important Council mandates and the international programmes being only partially imple- community’s interventions in conflict- mented and a failure to fulfil expectations affected countries as defined through 41 that are inevitably created. In general, the UN. where funding has come up short, this n Creation of some significant capacity at has resulted in stabilization and relief UNDP Headquarters, such as the BCPR. activities taking precedence over longer- term development.43 n The alignment of BCPR so that it can provide a limited amount of ‘surge n The reduction of implementation capacity’ in the form of missions capacity below minimum critical mass to support country offices in the in order to keep overheads in line with the immediate post-conflict phase. actual level of resources being managed,
40 Examples abound, including the Bonn conference for Afghanistan, the Joint Needs Assessment for Iraq, the Joint Assessment Mission (a year-long exercise) and the Joint Needs Assessment Mission for Muslim Mindanao. 41 Evaluations conducted as recently as 2001 found that UNDP’s programmes in conflict-affected countries were only partially re-oriented in address peace-building—for example, see UNDP/DPA Joint Review of Peace-building Support Offices, by Rajeev Pillay and Robert Piper, May 2001, which reviewed the collaboration between UN Country Teams and UN missions in Central African Republic, Guinea-Bissau, Haiti, Liberia and Tajikistan. 42 See the Border Management and Control Programme in Tajikistan. 43 In some instances (see Afghanistan and Tajikistan), this has resulted in emergency/stabilization activities within the programme being implemented, while crucial, longer-term capacity-building activities have remained underfunded or unimplemented.
44 CHAPTER 4 thereby compromising programme need for UNDP to recruit and appropriately quality and effectiveness.44 award staff and a network of consultants with specialized expertise in areas such as: By being forced to define its programmes Macroeconomics to match donor interests, the UNDP has n often prioritized activities that overlap n Post-conflict recovery and conflict directly with the priority areas for bilateral prevention donor programmes, creating competition for resources with the donor agencies themselves. n Conflict analysis and early warning This is one of the reasons why the UNDP n Civil society and human rights has often been shunted into a ‘gap-filling’ mode, implementing programmes that, for n Parliamentary systems one reason or another, would not be picked n Constitutional law up by other agencies. n Rule of law UNDP success in mobilizing resources has n Disarmament, demobilization and varied considerably from country to country. reintegration of war-affected populations This is partly due to the fact that the reputation and overall standing of UNDP n Gender issues is heavily dependent on the personalities of Sustainable livelihoods and small credit senior staff and their relationships with donor n mission personnel (senior and not-so-senior). n Rural area-based, community-based In some countries, donors have been keen to development. put substantial volumes of resources through UNDP,while, in others, they have continued Having staff with specialized skills, in addition to build up the volume of grant resources to generalist managers, will provide UNDP delivered through the World Bank and other with added credibility and position it more multilateral agencies, even though the centrally in the field. It is doubtful whether World Bank is not yet, strictly speaking, a the housing of limited capacity of this type grant-making organization. in UNDP’s regional centres or in BCPR or the Bureau for Development Policy will serve 4.4 HUMAN RESOURCE CAPACITY the purpose. To be effective, such personnel will need to work in conflict countries on a UNDP’s staff recruitment, development longer-term basis, so that they can build and placement policy appears to still be relationships and foster national capacity. heavily focused on a career path culminat- ing in a position as Resident Coordinator. BCPR now serves, among other things, as a As a result, it continues to encourage the source of surge capacity for UNDP country recruitment of generalists with strong offices in the immediate aftermath of conflict. leadership and management capabilities, Yet, such capacity cannot be sustained good interpersonal skills and a broad for long periods of time since BCPR’s understanding of development. Yet, with resources are limited. Moreover, they must more candidates for the Resident Coordinator be available to a large number of countries function coming from other agencies, and as the need arises. The mix of expertise with the concurrent migration of UNDP available from BCPR may also need to be itself from a central funding agency to one carefully reconsidered. It currently possesses that is intended to deliver substantive value- sound capacity in some technical areas, such added in areas of its mandate, this staffing as small arms and mine clearance as well policy appears outdated. There is an urgent as conflict analysis. Consideration should
44 See the Communities Programme in Tajikistan.
THE UNDP RESPONSE 45 possibly be given to attracting and retaining UN concerns, and to the needs and wishes capacity in some of the above thematic of those on a career path. areas as well—either through full-time staff or through retainers with a network of consulting firms. 4.5 MANAGEMENT AND EFFICIENCY UNDP currently appears to have a serious The progress made by UNDP in adapting problem in the recruitment and retention to the needs of conflict-affected countries of staff for assignments in conflict-affected should be accompanied by a transformation countries. This problem is compounded in in institutional culture. In most cases where those countries that are non-family duty UNDP has been involved in supporting a stations where security is a particular transition process and the mandate of a UN problem. Yet it is in conflict-affected mission, there has been a massive increase countries that UNDP is in the spotlight in activities and in the financial volume of and where its performance is scrutinized the operations. The support given to the most. It is essential that career and other electoral process, in particular, has often incentives be built in to ensure that the meant that UNDP has had to administer very best staff are attracted to assignments large trust funds and complex logistical and in conflict-affected countries on a consistent administrative programmes. In the Democratic basis. This should include guarantees of Republic of the Congo, for example, UNDP rapid career advancement. was responsible for registering 25 million voters and organizing a referendum in a One of the strengths of UNDP is the difficult security environment; to make presence of a large and experienced pool of matters worse, many parts of this vast national staff in all of its country offices. country were completely without roads. The vast majority of country office and programme staff encountered in the case- The UNDP has been extremely nimble— study countries were nationals who were in the countries reviewed—in identifying paid at the high end of the national wage gaps, designing programmes to address scale (UNDP salaries for nationals are them and responding to urgent needs in pegged in line with those paid by the best the immediate post-conflict period. In fact, employers), but are significantly lower than it worked far more quickly than many what would have been paid to international other development agencies. However, this personnel. The involvement of UNDP in nimbleness could be further reinforced if post-conflict and transition-support activities some shortcomings in management and changes their work environment consider- efficiency were addressed. ably.They have to face often increased work pressure and have to adapt to new types of programmes. In some of the case-study 4.5.1 Managing trust funds countries, there were problems in recruiting One of the major features of UNDP local staff from particular clans or tribes. programmes in post-conflict and transition In other cases, it was not clear whether situations has been the establishment of their tasks, as translators for example, were large trust funds. These have often been commensurate with their skills and whether established at the request of donors, who saw the work was providing an opportunity to several advantages to UNDP involvement. further develop their chosen careers. First, UNDP represented a neutral conduit for funding,acceptable to the host government Both national and international staff need as well as donors. Second, smaller donors a more supportive and stimulating environ- found it convenient to channel contributions ment in which time and effort is devoted to through the UNDP-managed trust funds, reflection and analysis, to developing a culture since they didn’t have to set up an imple- in which local concerns take priority over mentation or follow-up mechanism of their
46 CHAPTER 4 own. Third, UNDP’s procedures were budget since the main purpose is to often found to be more flexible than other develop national capacities through on- means of implementation. the-job training.
That last reason was mentioned by a Government units in all of the case-study number of interviewees, who, surprisingly, countries complained about the service also complained about UNDP’s heavy and charges that UNDP imposes for the bureaucratic disbursement procedures. In management of funds on behalf of the fact, the opposite seemed to be the case. international community. While they are Donors appreciated the possibility of not in themselves very high, amounting to having resources pooled through UNDP as about 2 percent on average, they note that this, in many cases, compensates for their the 2 percent is withheld for the management own delays in honouring their pledges with of the funds. Execution generally involves actual transfers of funds. UNDP has now another charge for support costs amounting given itself the possibility of advancing funds to between 5 percent and 8 percent, on the basis of firm pledges from reputed bringing the total up to between 7 percent donors, although the internal procedure for and 10 percent. doing so appears cumbersome. On the other hand, many of the same donors complain Security costs under the more extreme that UNDP itself is slow in transferring conditions experienced in places such as money downstream—to contractors and Iraq have significantly increased the costs implementing partners. of doing business. It is estimated that costs associated with security constitute 4.5.2 Management costs about 13 percent of programme budgets, From the point of view of management costs, although many of the costs are subsumed programmes such as the Communities elsewhere. While this is high, costs incurred Programme in Tajikistan have been held to by other agencies that are also targets of a strict limit on the staff and operational attack are of several magnitudes higher and budget that they are allowed to sustain. are reflected in significantly higher consulting A cap of 18 percent has been placed on fees, ‘danger pay’, added international staff and operational costs. Such a cap is travel on leave, special housing arrangements and, of course, massive security around all arbitrary and relatively low for community- 45 based programmes that are notoriously international staff. labour-intensive. International organiza- tions such as the World Bank have 4.5.3 Bureaucracy and delays determined that on their much larger-scale To implementing partners, many donors community development programmes, the and most civil society organizations, cost of project personnel and the rest of the UNDP is generally perceived as an opaque operational budget has to be closer to 30 and bureaucratic organization. The major percent in order to deliver with sufficient complaints relate to the rigid requirements effectiveness. International NGOs are known for documents supporting expenditure, the to have an even higher percentage of their slowness in processing financial reports from budgets devoted to personnel and operational contractors and implementing partners and support costs—sometimes reaching well the resulting delays in transferring funds, a over 60 percent. lack of information on criteria for the selection of contractors and implementing Under other UNDP programmes, technical partners and, on the human resources advisers take up more than half of the side, a lack of transparency in recruitment.
45 See Abacus International Management LLC, Governance Programmes. An Interim Note for UNDP- Iraq, July 2005, especially pp. 21-22 for estimates of the costs incurred by other international partners and security costs of UNDP programmes.
THE UNDP RESPONSE 47 UNDP can improve this image while authority so that they do not become yet ensuring that accountability and operational another administrative layer. efficiency are both upheld. There is, however, a real danger that the current Information about what UNDP does changes under way in the wake of the should be presented in simpler, more oil-for-food scandal (that incidentally left accessible ways. In addition, methods of UNDP relatively unscathed, despite the very project selection and procedures need to large volume of funds channelled through be more transparent. It was often very it) will only serve to further compound the difficult for the researchers on this project problem by unnecessarily deepening the to track down information about projects, bureaucracy involved. funding and expenditure or staffing; it must be even more difficult for the beneficiaries Counterpart units in all six case-study of UNDP programmes. Indeed, several local countries—be they government entities or groups complained about the difficulties of civil society organizations—complained finding out about project opportunities or that UNDP is slow to make payments, and in about general information on programmes each case numerous examples were provided and budgets. of unacceptable delays. UNDP staff in several cases indicated that delays were due to the lack of substantiating information or 4.6 SUSTAINABILITY: DIRECT the failure of the counterparts to fulfil all of VERSUS NATIONAL the procedural requirements to obtain IMPLEMENTATION reimbursement. It is clear that UNDP’s The vast majority of UNDP experts and procedures are complicated and slow and project personnel in the six countries studied probably require further streamlining, even were citizens of the country concerned or if the introduction of the ATLAS financial national staff who had returned after the management system makes transactions start of the peace process. In comparison more efficient. to most donors, UNDP’s programmes are more geared to nurturing national capacities This complaint was echoed in the answers and encouraging national ownership of to the questionnaire. Thus, for example, the programmes, which are designed to work Indonesian respondent said that although with national institutions—be they govern- some BCPR funding made UNDP’s ment units, national NGOs or civil society involvement in implementation possible, organizations. However, the grant nature of expenditure for implementation has not been the funding and concerns over accountability authorized nine months after the signing require considerably more direct UNDP of the Aceh Memorandum of Understanding. involvement in the disbursement and As a result, UNDP’s activities have been management of financial resources than considerably delayed, compared to other would perhaps be the case under a lending agencies and donors. programme where the principal objective is to ensure that payments of debt service 4.5.4 Outreach and the repayment of principal are carried UNDP is still perceived as an organization out in a timely fashion. Concerns of this with very limited presence and outreach type are further emphasized in a weak beyond capital cities. UNDP offices should institutional environment. be established more systematically when programmes such as disarmament, demobi- Ensuring the sustainability of capacity built lization and reintegration or community constitutes one of the biggest challenges in development are implemented in remote most post-conflict countries. In the majority parts of a country. Such field offices should of these countries, the revenue base is low, the benefit from a large degree of delegation of wage bill constitutes a very large proportion
48 CHAPTER 4 (usually in excess of 60 percent, and Like other donors, UNDP has increasingly sometimes closer to 80 percent) of the resorted to the establishment of the total national budget, and the salaries of equivalent of project implementation units civil servants are very low—well below the within ministries, which tend to monopolize minimum required for them to sustain their the better qualified staff, re-orient priorities families. In addition to the moonlighting to donor interests and trade long-term and rent-seeking that this induces, it also sustainability for the achievement of results leads to ‘brain drain’ and a loss of qualified in the short term. Higher salaries are paid UNDP HAS personnel to foreign agencies working in the to government staff working in project INCREASINGLY country, to the private sector—particularly implementation units (now called project where large international corporations management offices), and they are provided RESORTED TO exist—and abroad. In particularly difficult with added professional incentives, including PROJECT IMPLE- situations, such as in Afghanistan, it reduces authority not only over government budgets the willingness of warlords to give up their allocated for their work, but also funds MENTATION UNITS, arms. Furthermore, in most countries that channelled through them by UNDP. WHICH TRADE have experienced protracted conflict, the LONG-TERM private sector is weak or non-existent and National ownership and buy-in into the main the government is the principal employer. elements of the peace agreement are, as always, SUSTAINABILITY The number of employees on the government a critical factor in long-term sustainability. FOR THE ACHIEVE- payroll is therefore very large and, in many In most instances, government has allocated cases, the numbers are padded with ‘ghost national budgets to the best of their abilities MENT OF SHORT- workers’. Large numbers of personnel are to ensure the sustainability of capacity TERM RESULTS. insufficiently skilled to fulfil their functions created and structural reforms that have and the work of key ministries is in the been instituted. In a few instances, where hands of a relatively small number of people. political buy-in is limited, they have starved new units of funding, ensuring that Yet, downsizing with a view to raising the they become less effective and less important salaries of remaining officials constitutes a within the system. For example, in Guatemala, potential threat to stability, and there are the civil police unit newly assigned to the few governments in relatively fragile post- Ministry of Interior that has been supported conflict political environments prepared to by UNDP has been forced to obtain undertake such reforms. In most instances, budgetary resources at the expense of other in fact, the peace agreements reached have units in the ministry. This is a sure sign involved a distribution of government that the arrangement is not favoured by portfolios and government positions between government, even though it was provided the various parties to the agreement, which for as a part of the structural reforms that mitigates against downsizing (for example, as formed an integral part of the agreements. in Tajikistan). 4.7 MONITORING In Afghanistan, the revenue base of the AND EVALUATION government has grown significantly since the peace agreement, and the government has Records of project outputs are readily attempted to institute a systematic process available for UNDP projects in conflict- of downsizing based on attrition and affected countries. In general, outputs have performance appraisal, retraining of staff been achieved as planned, despite delays and and the selective raising of salaries for those constraints inherent in all conflict situations. who have been retained and retrained. But However, it has proved consistently difficult even here, these substantial increases have to assess the effectiveness of UNDP’s proved to be insufficient to fulfil the basic programmes in terms of outcomes and requirements of staff and their families and impact as there is no independent, stand- have failed to overcome the vested interests alone capacity created to identify indicators of various former warring factions who insist or monitor trends over a period of time. on positions in government. For instance, under small credit schemes,
THE UNDP RESPONSE 49 the volume of total credit distributed, the This evaluation, therefore, has attempted to: number of beneficiaries, the terms of the loans, the purpose of the loans and the n Use macro human security indicators to repayment rates were all readily available. assess the effectiveness of the interna- However, data that could demonstrate the tional community’s assistance as a whole, impact of these loans on the number of based on the rationale that UNDP’s people involved or on incomes were not assistance has been consistently deployed tracked in any of the cases reviewed. in support of the broader effort of the In all the case studies, it was extremely international community difficult to obtain useable data on the size n Solicit the views of stakeholders, of programmes in financial terms, annual especially members of civil society and expenditure, sources of funding, staffing, independent experts. etc. It was somewhat easier to obtain global figures after the introduction of the ATLAS system in 2004. Nevertheless, comparisons This could offer a model for future evaluations of programmes were largely indicative as provided the collection of human security demonstrated above. indicators is greatly improved.
50 CHAPTER 4 Chapter 5 Coordination and Partnerships
In answer to a question about the biggest turned out to be insufficiently substantive. challenges UNDP faces, one respondent to Now, conflict countries are only handled the survey said “turf-fighting.” Independent outside the ambit of the regional bureau stakeholders interviewed also complained about and accorded organization-wide prominence the tendency to give priority to inter-agency when they are given special attention by concerns before the needs of beneficiaries. the press and the international community. Countries accorded this type of concerted, In examining the issue, this study looked at intensive treatment include Afghanistan and coordination among UN agencies in conflict- Iraq, while countries such as Haiti, affected countries and conducted a review Guatemala, Sierra Leone and Tajikistan of the general mechanisms existing within continue to be handled by the regional the United Nations to foster coordination bureau directly. In the case of Afghanistan in conflict-affected counties (see Annex 6). and Iraq, the Administrator has taken the Within this context, the following sections lead role to ensure that the resources of focus on the coordination mechanisms within the organization are focused on these UNDP to strengthen assistance to conflict- countries, maximizing the efficiency and affected countries as well as coordination in effectiveness of UNDP’s response. In the the special situation of integrated missions case of Afghanistan, the Administrator of mandated by the Security Council. UNDP was instrumental in defining a strategy that carved out a niche for UNDP All six case studies concluded that, to be in the immediate post-conflict period— effective, global and country-level coordination managing the payment of civil service mechanisms and instruments need to be as salaries. There is no doubt that in cases in simple as possible. Moreover, there is always which the entire organization has been bound to be bureaucratic competition unless galvanized into action under the leadership there is shared commitment to a common of the Administrator, UNDP’s response strategy. UNDP can play a central role has been more rapid and robust. in developing such a strategy within the framework of human security. Yet no conflict-affected country can be treated as a run-of-the-mill development 5.1 COORDINATION OF UNDP situation. Conflict situations require ASSISTANCE TO CONFLICT- specialized knowledge and experience and AFFECTED COUNTRIES require more intensive oversight and management. Consideration should be Within UNDP, most conflict-affected given to re-establishing a committee for countries are managed within the regional the management of UNDP operations bureau concerned, in close collaboration in all conflict-affected countries. Such a with the Bureau for Crisis Prevention and committee should consider policies and Recovery. A committee established for approaches, capacity requirements, the overseeing the management of all conflict- allocation of resources, partnerships and affected countries under the leadership of political relations, resource mobilization the Associate Administrator was disbanded and the effectiveness of programmes. It about six years ago since it was structured could be chaired by the Administrator, around the use of TRAC 1.1.3 (the budget Associate Administrator or Assistant line of UNDP’s core resources devoted to Administrator for the Bureau for Crisis immediate post-crisis response), which Prevention and Recovery.
C OORDINATION AND PARTNERSHIPS 51 5.2 INTEGRATED MISSIONS mission. This experiment has the potential of becoming a model for managing the In integrated UN missions, the Deputy transition from a large peacekeeping Special Representative of the Secretary- operation to the resumption of normal General combines the functions of UNDP activities of the UN system in a country, Resident Representative, UN Resident while keeping the situation on the agenda Coordinator and Humanitarian Coordinator. of the Security Council. The application of the concept of integrated missions has meant that UNDP has been The association of the UNDP Resident associated more closely than ever with UN Representative with the UN mission has missions deployed in conflict-affected also had consequences for the internal countries. UNDP’s involvement in integrated management of country offices. On the missions spans three main types of activities: one hand, there is an increase, at times very important, in the volume of activities. Mission planning: UNDP is now systemat- More importantly, there could be a ically involved, together with other relevant leadership problem within the UNDP UN organizations, in initial UN Headquarters country office in view of the additional planning for the deployment of peacekeeping demands on the time and attention of the operations and the subsequent formulation, Resident Representative. This has been generally in the field, of the more detailed compensated for by the creation of the post Mission Implementation Plan. of Country Director. Too often, however, these posts have remained vacant for long Joint units: In a number of cases, staff and periods. Country Director posts should resources of both the UN mission and be filled with senior staff of Resident UNDP have been merged and jointly housed Representative calibre. in common premises so as to increase policy and operational coherence. This has There is general consensus that the concept been the case particularly for support to the of integrated missions has been a positive electoral process, in disarmament, demobi- development, despite some initial concerns lization and reintegration and other areas about associating activities such as human of activity that correspond to UNDP’s rights or humanitarian assistance to the traditional mandate for governance and more political aspects of mandates of institution-building. UN missions.46 The first Deputy Special Representative of the Secretary-General in Follow-on missions: The case of Sierra Sierra Leone emphasizes the importance Leone presents yet another new form of of integrated thinking rather than integrated participation by UNDP in a Security institutions.47 In his note written on Council-mandated mission. For example, leaving Sierra Leone, he said: “Effective when the UN Mission in Sierra Leone coordination does not necessarily imply a completed its mandate and withdrew at the single institutional response but rather a end of 2005, a new mission, the United coherent institutional response” (Doss 2004, Nations Integrated Office in Sierra Leone, para 7, emphasis in the original). received a Security Council mandate to help consolidate peace in the country. The Coherence can be achieved if the humani- UNDP Resident Representative has been tarian/development agencies have a voice appointed the Executive Representative of in formulating strategy. An effective the Secretary-General heading the UN political and security strategy in conflict
46 In the early months of the establishment of the first ‘integrated mission’ in Afghanistan in 2001, intense concern was voiced within some UN agencies and among NGOs about the necessary independence and neutrality of humanitarian and human rights work. 47 Alan Doss, in a telephone interview with the evaluation team.
52 CHAPTER 5 areas needs to give centrality to humanitarian with a permanent mandate and a longer- and development concerns since they play term presence in the country. One of the a central role in the way conflict unfolds on strengths of an organization such as the ground. This means building on the UNDP is that it was present before the complementarities of different UN agencies crisis, very often remained during the and the expertise of particular bodies, for conflict and is committed to staying on example, UNICEF for issues concerning beyond stabilization into a development children, UNHCR (refugees), or WHO phase. The UN mission, on the other hand, ONE OF THE (health). To quote Doss again: has a much shorter planning horizon but STRENGTHS OF it benefits from larger budgets48 and has AN ORGANIZATION It is easier to find common ground between specialized sections with human resources political/security actors and humanitarian/ that vastly exceed those of the resident SUCH AS UNDP development agencies when the discussion UN agencies with a specific longer-term IS THAT IT WAS centres on issues rather than institutional mandate in the same field of intervention. mandates. In Sierra Leone, we tried to do that The two approaches could be better PRESENT BEFORE within the UN by jointly developing the UN reconciled through even more integration. THE CRISIS, VERY Peace-building and Recovery Strategy OFTEN REMAINED followed by the longer term UN Development The issue of predictable resources is another Assistance Framework and helping the area in which UNDP should continue to DURING THE government develop its own National Recovery seek improvements. The Brahimi Report CONFLICT AND IS Programme and the Poverty Reduction already noted the important role of COMMITTED TO Strategy Paper (PRSP). In developing these development in a UN strategy of prevention instruments we used an iterative approach, and stabilization and made some proposals STAYING ON BEYOND for the consolidation of certain activities, in mindful of an earlier effort to construct a UN- STABILIZATION led ‘strategic framework’ which had not particular disarmament, demobilization worked well because of the perception that the and reintegration programmes, into INTO A DEVELOP- UN was imposing this initiative in a top-down assessed contributions. UNDP, in liaison MENT PHASE. fashion and obliging others to join in. (Doss with the UN Development Group, should 2004, para 8). reinforce its interface with the Security Council as proposed elsewhere in this report. With an integrated conceptual approach, it is possible to capitalize on the comple- 5.3 OTHER PARTNERSHIPS mentarity of different agencies instead of competing. The extension of state UNDP rightly attaches a good deal of authority in Sierra Leone in the immediate importance to developing partnerships at post-conflict period provided a good the international and national levels. In example of this approach, “with UNDP fact, this has become central to the strategy contributing expertise and programme of the organization, and a Bureau for funds, while UNAMSIL [the UN Mission Resources and Strategic Partnerships is in Sierra Leone] provided staff throughout charged with coordinating and nurturing the country”(Doss 2004, para 12). Yet even working relationships with donor countries, in Sierra Leone, the case study revealed regional organizations (such as the that there was much less coherence at European Union, the African Union and the provincial level than for the country as the Organization of American States), civil a whole. society organizations, foundations, inter- national financial institutions, regional There is still a considerable need to further development banks, the private sector and improve the coherence and cohesion the rest of the UN system. Despite the fact between the UN mission and the agencies that it associates resource mobilization in
48 In some of the countries visited during the course of this evaluation, it was noted that the budget of the UN mission very often exceeded that of the government.
C OORDINATION AND PARTNERSHIPS 53 TABLE 12. UNDP’S PARTNERS IN SELECTED CONFLICT-AFFECTED COUNTRIES
Partner Number of countries Government of country, including government departments, 21 statutory bodies, etc. Donor countries, including government departments of 18 these countries UN agencies 13 Local or regional authorities, including local government 11 Civil society organizations, non-profit organizations, foundations, 10 civilian agencies International financial institutions (World Bank in all cases here) 6 Academic institutions 3 International governmental organizations 2 Regional development banks 1
its Headquarters administrative structure, strategic objectives of the international UNDP understands partnerships as being community. The dilemma faced by UNDP much more than a fund-raising activity, and between ensuring long-term sustainability of the case studies prove that diverse partner- programmes by favouring national ownership ships are a central feature of UNDP’s work. and the need for speed and efficiency has been discussed earlier (see Chapter 4.6). Table 12 provides a summary of the range Government officials interviewed during of partners cited by the 24 respondents to this evaluation have shown appreciation for the questionnaire who were asked to identify the role of UNDP, citing in particular the their five major partners. The most consis- support received in developing policy and tently mentioned partner to UNDP was strategy documents, material assistance and the government of the country or various equipment for re-establishing ministries government departments, cited in 21 of the and the provision of technical expertise. 24 responses. Donor countries and their They also appreciated the advocacy role agencies (such as the UK’s Department for played by UNDP to help the government International Development, the Swedish renew its dialogue with financial institu- International Development Agency, etc.) tions and donors in periods of crisis. were most frequently mentioned next (in 18 entries). Other UN agencies are the next 5.3.2 Relations with donors most frequently cited partner (13 mentions). In conflict-affected countries, UNDP’s Table 12 shows figures for a range of other partnership with donors is of particular partners, from local authorities to civil importance given the greater need for society organizations and international cohesion and coordination within the financial institutions. international community and the importance of non-core funding. In the six case-study 5.3.1 Relations with governments countries, the interaction between UNDP and As shown in Table 12, UNDP generally donors revolved around three main areas. considers governments and government institutions as its major partners. In First, UNDP has been active in supporting countries emerging from conflict or going the preparation of strategic documents, action through a formal transition process, plans and programmes for presentation to strengthening the capacity of governments donor conferences, round tables and special and national institutions is one of the meetings and appeals. In several cases, donors
54 CHAPTER 5 complained of insufficient consultations First, the post of Country Director has and coordination, but also mentioned been created to ensure the day-to-day appreciation for the capacity of UNDP to management of UNDP, and the leadership inject technical expertise and to act as a of the Country Team is further dissociated convenor. A point of particular relevance is from the UNDP office. Second, the UNDP’s capacity to take the lead in the Deputy Special Representative of the preparation of post-electoral strategies in Secretary-General takes on the roles of the Democratic Republic of the Congo Resident Representative, Resident Coordi- and in Haiti. nator and Humanitarian Coordinator while assuming new responsibilities as part of the The second major area of interface with senior management of the UN mission. donors is the participation of UNDP in Some of the representatives of agencies assistance coordination mechanisms put in interviewed for this evaluation felt that the place in conflict-affected countries. The most UN Country Team was not sufficiently common model of coordination currently consulted. The role of the Country Team, applied is sectoral. This may take the form however, remains crucial, particularly with of pillars and consultative groups, as in a view to avoiding duplication and planning Afghanistan, of clusters, as in Iraq and the properly the future scaling down and Sudan, or thematic groups or round tables, withdrawal of the UN mission. The as in the Democratic Republic of the Congo Deputy Special Representative of the and Haiti. It has been noted, however, that in Secretary-General of the UN mission in situations were a UN mission is established, the Democratic Republic of the Congo has the mission itself and not UNDP becomes created an ‘integrated office’ headed by a the focus of humanitarian and development senior officer and merging the mission coordination, although the leadership for staff ’s functions assigned to the Deputy that function remains with the Resident Special Representative of the Secretary- Representative serving as the Deputy Special General with those of the Resident Co- Representative of the Secretary-General. ordinator’s own staff, thereby ensuring that the Country Team is appropriately Finally, UNDP’s role in managing multi- serviced. This could provide a model for donor trust funds is another important area similar situations. of interaction between UNDP and donors. This is true both for the larger trust funds, A particularly important partner (or competitor) to UNDP is the World Bank. such as those established for electoral assistance The latter has boosted its physical presence as well as smaller ones, where steering groups in post-conflict countries and positioned including the government, concerned itself as the principal rival of UNDP in the donors and UNDP are convened. UNDP’s management of international contributions role in the management of trust funds is to post-conflict peace-building.49 It has discussed in Chapter 4.5.1. also begun a programme that differentiates ‘Low-income Countries Under Stress’, 5.3.3 Relations with the World Bank and begun to convert its IDA resources to other agencies and institutions grants for the exceptional circumstances The creation of integrated UN missions found in post-conflict situations, increased and the resulting transfer of coordination its involvement in public administration responsibility have had two major reform and greatly increased its portfolio of consequences for the interaction of UNDP community-based development programmes with the rest of the UN Country Team. using models that have been applied by
49 The World Bank has been the manager of the large trust funds that constituted the principal repository for the international community’s in contributions to Afghanistan, Iraq, Kosovo, Sudan and Timor-Leste, for example. In some instances, as in Afghanistan and Iraq, the international community has either set up a parallel trust fund for management by UNDP or has channelled additional funds directly through UNDP.
C OORDINATION AND PARTNERSHIPS 55 UNDP and the UN Office for Project 5.3.4 Relations with civil society and NGOs 50 Services (UNOPS) for years. It has also In conflict-affected countries, two types become a major recipient of grant funds in of partnerships, apart from those with post-conflict countries. Indeed, it is a mark governments, donors and other UN of UNDP’s success that the World Bank agencies, become particularly relevant. The has replicated community-based models first one concerns the interface with civil on a much larger scale—albeit (according society. There are some good examples of to critics) in a more formulaic way—than intensive consultation with civil society, would be possible for UNDP. particularly in the formulation of poverty reduction strategies or other strategy papers, It is in the interest of UNDP to strengthen but also for the elaboration of national this partnership as part of an overall strategy human development reports. Too often, of conflict prevention. UNDP’s involvement however, the participation of civil society in integrated mission structures with the takes the form of consultations and, at Resident Representative serving as the times, consultancies with individual members Deputy Special Representative of the of civil society organizations in a personal Secretary-General has positioned it to better capacity. There is a need to develop institu- dialogue with the World Bank because of tional partnerships with civil society organi- its renewed political standing. UNDP has zations as well as a framework for amplifying the flexibility and creativity to respond the voices of civil society and allowing the rapidly to changing circumstances and non-violent expression of conflict. Academic initiate programmes that can be taken up institutions, for example, could be encouraged by larger agencies. UNDP can also try to to develop conflict-prevention centres or to influence World Bank policy and to press for approaches that can foster social justice, engage in a systematic collection of indicators sustainable livelihoods and community focus. of human security. Furthermore, critical structural factors that contribute to the potential for violent Relationships with NGOs are the second conflict—such as high levels of unemploy- type of partnership emerging as crucial to the ment—require multifaceted approaches success of UNDP when the organization is that cannot be addressed by UNDP alone. called upon to operate in difficult areas, While UNDP’s community-based employ- such as the Ituri district of the Democratic ment generation, microcredit and vocational Republic of the Congo. UNDP does not training programmes can help rectify the have a long-established tradition of working problem, unemployment cannot be tackled with and through NGOs. It has been noted in a meaningful way without developing that the capacity of UNDP to associate economic stimulus packages, addressing with national NGOs is limited by internal tariff barriers and working on legislation rules that stipulate that agreements with that can create an environment conducive to such NGOs can be signed only up to a the growth of small private-sector entities. level of $30,000 at the discretion of the UNDP needs to create a pragmatic country office. Any agreement with a partnership with the World Bank and the greater value would require a process of IMF to advocate for and foster such important certification of the NGO by a Headquarters economic reforms. Such a partnership will Advisory Committee on Procurement. require that UNDP develop the substantive This limits the flexibility of UNDP when capacity to advocate in this manner, since it is required to work in a quasi-emergency solutions conducive to a reduction in the situation. It also gives the message that potential for conflict often differ from the NGOs are contractors or providers of standard prescriptions imposed. services rather than partners.
50 See Pillay, R. May 2002. The Relationship Between the World Bank and the United Nations Development Programme In Conflict-affected Countries and the World Bank in Conflict-affected Countries: An Independent Desk Review. Prepared for the World Bank and UNDP by Abacus International Management, LLC.
56 CHAPTER 5 Chapter 6 Lessons Learned and Recommendations
The main conclusion of this report is that leadership, to act as an innovator in conflict the international community is learning situations, and to play a coordinating and how to stabilize conflicts and, in particular, connecting role among different partners. to sustain peace agreements. However, this The main findings of the case studies in achievement is at risk due to a number of relation to substance, management and external factors, including the war on efficiency, and coordination and partner- terror. Developments on the ground have ships is summarized in Table 13. resulted in growing security concerns among UN missions, as documented in a The scale and range of UNDP activities in number of case studies. And in countries conflict-affected countries indicate that such as Iraq, Afghanistan and Somalia, the UNDP has already made considerable United Nations itself is less secure, despite progress in responding to conflict. However, increased security precautions. its capacity is hampered by:
n Insufficient consideration by the UN In addition to the challenge of this increas- Security Council of development issues ingly complex environment, the interna- and, hence, an insufficient involvement tional community has yet to successfully by UNDP in peace processes. This has address the structural conditions conducive meant that UNDP concerns have been to conflict. These include a weak state and subordinated to the immediate exigencies civil society, the erosion of the state’s of reaching peace agreements, which tend monopoly of legitimate violence (that is, to give priority to the warring parties, the emergence of private armed groups), and to establish the benchmarks and joblessness, especially among young men, phases of post-conflict planning. poverty and lack of access to health care and education, criminality and an illegal/ n Overextension and insufficient attention informal economy, gender-based prejudice to building up substantive capacity in core and stereotyping leading to unequal gender areas such as disarmament, demobiliza- tion and reintegration, administration relations, and the experience of and proximity of justice reform and training in the rule to conflict. In most conflict-affected countries, of law, and management of elections. human security is precarious and there is a risk that, in the event of an international n Insufficient core funding, thereby withdrawal, conflict may erupt again. allowing strategy to be donor-driven. Lack of systematic conflict analysis, UNDP has played a crucial role in the n especially within conflict-affected countries. process of stabilization. Moreover, it is uniquely positioned within the United n Insufficient attention to civil society Nations to identify and begin to address and gender relations. the underlying conditions that lead to Excessive bureaucracy. violence, to combine conflict recovery and n conflict prevention. It has the potential, n A tendency for staff to get caught up in together with the UN Department of inter-agency preoccupations rather Political Affairs, to provide intellectual than the needs of beneficiaries.
LESSONS LEARNED AND RECOMMENDATIONS 57 TABLE 13. SUMMARY OF CASE-STUDY FINDINGS
Evaluation Afghanistan Democratic Republic Guatemala Haiti Sierra Tajikistan criteria of the Congo Leone
Relevance Very wide Played a key role by At the centre of UNDP and the Played a Hampered by lack of and range of pro- promoting continued the post-conflict Resident Coordinator key role in funds, but was, in the positioning grammes. donor interest during peace process. played a central role restoration early post-conflict Overemphasis the conflict and later Instrumental in prior to the establish- of state period, involved in key on elections and by providing support encouraging ment of the UN authority, aspects, including administrative to the democratic a structural Stabilization Mission justice and demobilization. functions. transition. approach. in Haiti (MINUSTAH, security No regional particularly in sector programmes. discussions that led reforms, to the creation of and youth the government programmes. of transition.
Results and Has contributed Support to the Has contributed to Has contributed Risk of Mixed. Successful effectiveness to the Bonn electoral process has stability and restruc- effectively to the conflict is models are severely process, but so been a major success. turing of key insti- Security Council reduced. Big hampered by lack of far structural UNDP has also tutions. Public mandate related to problems core funds. UNDP conditions effectively promoted awareness has also the transition in Haiti, relating to viewed as competition conducive to a linkage between been raised dramat- particularly through the legiti- by some bilateral conflict persist. humanitarian and ically through programmes in macy of agencies. UNDP is reconstruction dialogue. Private support of elections, government forced to take on assistance in the sector-based powers disarmament, and the poorly conceived, post-electoral phase. remain extremely demobilization and situation donor-driven influential and reintegration, and of youth. programmes in order holding people the justice system. to mobilize resources. accountable for human rights violations remains problematic.
Efficiency UNDP is Generally efficient, Complaints of Assistance to the Assistance Complaints of delays overextended despite procedural and delays in adminis- electoral process has reached may be due in part to and hampered administrative delays in trative procedures was limited mainly beneficiaries. lack of government by security dealing with partners and payments. to administrative and Some understanding of UNDP concerns and and contractors. However, in technical support. problems procedures.There are bureaucracy. general, apparently Outreach outside from bureau- few international project well managed the capital city has cracy and personnel, thus the and efficient. generally been delays. programme is limited. relatively cost-efficient.
Management Plays a key role A number of imaginative Important manage- Effective Extensive manage- in managing and innovative manage- ment innovations have manage- ment of donor funds trust funds. ment initiatives have been introduced in ment of for demobilization and Some problems been introduced, related the disarmament, both UNDP for border control. of national mainly to support to demobilization programmes recruitment. elections, disarmament, and reintegration and develop- demobilization and programme in Haiti. ment coordi- reintegration, and nation. the coverage of field operations.
Coordination Development The transformation of Central role in The promotion of Has played World Bank has taken subordinated the UN Mission in the coordination, both ‘integrated areas of a key role a lead role under the to integrated Democratic Republic of because of UNDP’s activity’ between in the PRSP process. UNDP office.Weak the Congo (MONUC) role in the peace MINUSTAH, UNDP integrated has recently launched relations with into a fully integrated process and because and the UN Country office. On a high-profile, highly civil society. UN operation has of its credibility with Team has the the whole, controversial MDG World Bank enabled UNDP to government. Delays potential of fostering coordination planning process that has taken further enhance its in the placement more coherence is good, has strong support from over some coordination role. of a new Resident within the UN family. but some government because of traditional Coordinator, which problems resource implications. UNDP is creating a vacuum. remain Neither process explicitly functions. outside addresses key structural the capital. concerns for continued peace-building
Substantial Took the lead UNDP has Huge credibility UNDP has shown UNDP has Lack of funds hampers leadership in the early demonstrated its derived from leadership through played an capacity and credibility. and days of the capacity to mobilize central role played its capacity to adapt, important Closeness to the UN credibility post-Taliban donors, government by the former anticipate and leadership Peace-building Support period, paying partners and the UN Resident Coordi- innovate. UNDP’s role in the Office has enhanced civil servants, team for the preparation nator in the peace management of UN effort credibility. MDG process salaries and of strategy papers for process and multi-donor trust and in is a high-risk strategy. organizing each of the successive subsequent peace- funds is a service shaping the Coordination meetings donor phases of the conflict building. Strong, valued by both the post-conflict considered by many meetings. and post-conflict strategy-based government and programme. to be insufficiently period. UNDP’s coordination. donors. substantive. Lead is management of multi- contested with the donor trust funds has World Bank. represented a major service to the interna- tional community.
58 CHAPTER 6 To overcome these obstacles, the evaluation political authority is necessary.The recommends the following: emphasis on legitimacy implies that this is not just a matter of 1. Formulate a strategic vision, based establishing state institutions; it on the concept of human security. In also requires the building of trust order to strengthen its intellectual and respect for institutions. The leadership, UNDP,in conjunction with engagement of civil society is just other UN agencies, especially the UN as important as the construction of Department of Political Affairs, needs formal institutions. Moreover, to elaborate a strategic vision based on non-formal networks such as those the concept of human security. This linked with family, workplace, or concept provides an umbrella under schools also need to be sustained which the structural conditions leading throughout conflicts. to conflict may be addressed. It is true that the mix of policy responses will n Coherence. Poverty reduction and vary in different situations. Nevertheless, human development have to be key the concept of human security could be components of the overall strategic given substance by developing a set of vision and need to be integrated principles that would need to be applied into strategic planning at all stages in each case and that could enhance of a conflict. Debate and discussion the coherence of the UNDP response. with all partners— including other These principles could include: agencies, government and civil society—on how to achieve a n Human rights, including both political coherent approach are critical. and civil and economic and social rights. The physical and material n Bottom-up approach. The people security of individuals is the who have lived through conflict primary goal of any post-conflict are usually the best guides to the intervention. This should receive specific mix of policy responses priority over top-down political that are required. At all stages of concerns. In some places, the view peace-building, it is important to prevails that political stability— listen to and involve a range of civil meaning deals with former society groups, including women warlords or commanders—takes and grass-roots organizations, as precedence over political and civil well as politicians and former rights, and economic stability— warlords/commanders. balanced budgets and low Regional focus. As noted previously, inflation—takes precedence over n conflicts tend to spread over economic and social rights. In borders. Still, there is a tendency to contemporary conflicts, this is develop separate programmes for misguided since stability, in the each country. It is very important long term, depends on respect for to build regional programmes. human rights. The rule of law, political participation, and the All of these principles need to integrate livelihood of individuals (especially a gender and youth perspective. jobs and sustainable incomes) 2. Integrate development concerns are critical for conflict prevention within United Nations strategies for and recovery. security. Development is still seen as an n Legitimate political authority. In add-on to conflict recovery programmes. order to create an environment in Yet development is critical in addressing which human rights are respected, the structural conditions conducive to the establishment of legitimate conflict. UNDP needs to impress upon
LESSONS LEARNED AND RECOMMENDATIONS 59 the international community, including keep the peace between sides or the Security Council and other political take a position on one side; they bodies, the paramount importance of have to adopt a more bottom-up development. In order to improve the approach. Hence the integrated office integration of development concerns: can only function if all the actors understand this changed situation. The Administrator of UNDP n The political/military actors have should brief the Security Council to incorporate the thinking of as do the High Commissioner development/humanitarian actors for Human Rights and the High and the latter have to be ready Commissioner for Refugees. to work more closely with their n Development assistance should be political/military counterparts. included in assessed contributions Development concerns should for missions with a Security n receive priority in the new Peace- Council mandate. building Commission. UNDP should be involved in the n 3. Build substantive capacity in core negotiation of peace agreements and areas of peace-building. UNDP should press for the involvement of tends to undertake gap-filling and civil society and women’s groups. administrative functions in many n Development concerns should countries. There is a good case for both have a stronger voice in integrated since in these new types of conflict offices. UN Country Teams should there are often urgent needs that do be better integrated into the UN not fit the mandate of other specialized mission, and the Deputy Special agencies. But gap-filling and adminis- Representative of the Secretary- trative functions can never be more General responsible for development than short-term. Recent conflicts, and humanitarian affairs should be including those studied for this assigned additional support staff. evaluation, have exposed the need for Some in the development and certain types of activities that address humanitarian community are the conditions that lead to conflict sceptical about integrated missions and that are not in the domain of other on the grounds that their interests agencies. Rather than carrying out would be subordinated to political/ these activities in an ad hoc fashion, military concerns. This study takes UNDP needs to develop a substantive the view that political/military capacity in core areas that builds concerns need to be adapted to on innovation and the best practices development priorities rather than in UNDP programmes that can be separated. In contemporary conflicts, replicated in different situations. humanitarian space no longer UNDP’s mandate in governance, exists. These are not wars with reintegration of war-affected populations sides fought by militaries where and the development aspects of arms the humanitarian agencies can control and mine clearance all place it negotiate a neutral position. These potentially at the very centre of a are wars where violence is directed concerted peace-building programme. against civilians and the humani- More specifically, within the framework tarian task is to defend civilians, of a strategic vision, UNDP needs to which can often only be done further develop clear policies and through the support of political/ approaches in the following core areas: military actors. On the other hand, the political/military actors also n Recovery and reintegration of have to adapt. They can no longer war-affected populations, including
60 CHAPTER 6 disarmament, demobilization and n Develop the analytical capacity to reintegration and mine action; understand specific conflicts and long-term political reconciliation monitor human security. UNDP that extends the political agreements needs to build capacity among think reached at the centre to local tanks and academic institutions in levels, including the equivalent of conflict-affected countries so as to truth commissions and/or war have a long-term analysis of the crimes tribunals. conflict and to collect data on human security. At present, data n Governance and capacity-building, including strengthening parlia- on human security are very sparse, mentary institutions to broaden as became evident in undertaking participation and inclusion in this study. decision-making; decentralization, n Enhance human resources in conflict- with a view to empowering local affected countries. This should communities; strengthening the role include the development of a clear of key civil society institutions— and effective set of incentives to not just in the delivery of services, attract experienced staff to serve in but also as sources of knowledge, conflict-affected countries; training as watchdogs and as independent programmes in all facets of human advocacy organizations; public security designed to facilitate sector reform; accountability and adaptation to new activities for anti-corruption programmes. national and international staff in n Justice and security sector reform, countries affected by conflict or including independence of the judi- in fragile states, which would ciary; access to justice; key institutions emphasize a ‘service’ rather that for guaranteeing human rights; and control orientation; workshops, the restructuring of the civilian seminars and other forms of police and the military. debate about human security policies and specific contexts, both Poverty reduction and sustainable n in New York and in-country. livelihoods, especially community- based development that emphasizes n Strengthen internal UNDP decision- local empowerment and the creation making mechanisms. Programmes of employment and sustainable in conflict-affected countries tend livelihoods through people-centred, to require more intensive oversight area-based programmes and small- and management than those of non- scale credit schemes; and the conflict countries. Such support development of policies that foster could be generated through the the growth of small enterprises re-establishment of the committee and sustainable livelihoods. for the management of UNDP 4. Improve the effectiveness of imple- operations in all conflict-affected mentation. One of UNDP’s perceived countries. This committee, which strengths is that some of its procedures could be chaired by the Administrator, are currently more flexible than those Associate Administrator, or Director of other actors in the UN system. for the Bureau for Crisis Prevention Thus it is better able to innovate in and Recovery, would be responsible response to crises. This edge should be for reviewing policies and approaches, maintained. To further increase capacity requirements, the allocation operational flexibility, intellectual of resources, partnerships and political responsiveness and speed of delivery, relations, resource mobilization and UNDP should: the effectiveness of programmes.
LESSONS LEARNED AND RECOMMENDATIONS 61 n Undertake a systematic review of its of country-specific (pledging) con- financial and administrative procedures. ferences. Yet there is considerable room for more substantive collab- Emphasize full transparency, particu- n oration to the benefit of both larly by ensuring the regular updating organizations, especially in dealing of its national websites and by posting with the crucial problem of youth more systematically user-friendly unemployment. The judicious use information on projects, budgets, of World Bank IDA credits or procurement and recruitment. grants, combined with UNDP’s n Improve its outreach beyond capitals, more people-oriented perspective including through the establishment as well as management and of field offices with the necessary technical skills, including those delegation of authority. drawn from other agencies of the UN system, would provide a 5. Enhance coordination and partnerships. strong basis for a partnership that Coordination mechanisms should be could yield important results in streamlined and reduced in overall terms of human security. To raise number. Moreover, they should provide the impact of these schemes substantive, clear-cut, general strategic requires not only project-based frameworks for addressing the structural support but also incisive policy causes of conflict rather than the reforms. Neither can be effectively management of funds. Subsidiary scaled up without the reform of teams could be established in order to macroeconomic policies and improve- address issues that can contribute to ment of the overall environment conflict, such as macroeconomic policy for private sector growth and and revenue and budget management, employment creation. UNDP needs the rule of law and access to justice, to press the financial institutions public administration and civil service to include social justice and reform, gender and the role of women, employment as key priorities. and the construction of essential Moreover, it should partner with infrastructure, among others. the World Bank and the IMF UNDP also needs to further develop to influence government and even certain key, strategic partnerships. It interim-government policies on a has already begun to develop its range of issues—from tariff and partnership with the UN Department of non-tariff barriers, rules and Political Affairs and the Department of regulations that affect the growth Peacekeeping Operations, as witnessed of private enterprise to fiscal and in the establishment of the Executive monetary policies that encourage Committee on Peace and Security and small enterprises. the integrated offices. Three other key Regional development banks. Post- strategic partnerships that would benefit n conflict reconstruction requires greatly from improvement are with the extensive investment in essential World Bank and IMF, regional infrastructure: from primary to development banks, and civil society. tertiary feeder roads, from power n The World Bank and IMF. The plants to irrigation schemes, and UNDP and the World Bank from houses to educational and health currently collaborate closely in facilities. Area-based development conflict-affected countries on with community participation can Joint Needs Assessments, in the effectively serve as a planning and management of country-specific capacity-building mechanism for trust funds and in the preparation the management of financing and
62 CHAPTER 6 even grant funds from regional Like other institutions, UNDP development banks where capacity has tended to regard civil society is perceived to be low and as a monolithic entity, without guarantees of the reliable use of sufficiently understanding its diversity, funds are required. its strengths and its weaknesses. It n Civil society. UNDP needs to give encourages the development of civil much greater priority to civil society organizations largely through society groups, both as partners subcontracts, direct support and and as guides to the formulation of capacity-building. It is recommended strategy.There is still a tendency to that a new approach be adopted prioritize relations with those in based first and foremost on the power. Civil society groups need principle of mutual respect and to be regarded as a resource, a realism. Civil society groups— repository of local knowledge as including NGOs, community- well as a strategic partner rather based organizations, religious than as a beneficiary or an imple- organizations, women’s groups, menting agent. In this respect, women’s groups are particularly labour and professional associations, important since they are least the media and others—should be likely to be pursuing political or invited for regular consultations, sectarian goals. For lasting peace, and UNDP should take seriously it is absolutely essential for their views and recommendations. civil society institutions to be It is natural that civil society encouraged in a manner that organizations should have their ensures public and community own vested interests and biases, oversight over: essential government and these need to be discerned functions and expenditure; the with a degree of hard-nosed realism. management of key institutions, However, a failure to consult with including the courts, the police civil society organizations in a and the military; the safeguarding sincere manner is likely to lead to of human rights; and conflict failure in preventing the recurrence resolution and the preservation of conflict. Such consultations of minority rights, to name just a few areas of concern. UNDP and can also facilitate better public other UN agencies can provide understanding of the objectives legitimizing support for civil and approach adopted by the UN society institutions that, in the and the UN Country Team that is past, have often been targeted and so often subject to misinterpretation marginalized. and consequent suspicion.
LESSONS LEARNED AND RECOMMENDATIONS 63
Annex 1 Executive Summaries of the Case Studies
AFGHANISTAN of the PEACE programme, a community- based initiative executed by UN agencies, The human security situation in Afghanistan but implemented mainly by Afghan remains precarious. On the positive side: NGOs. Since 2002, UNDP has developed Since 2000, the Taliban have been over- one of its largest programmes. The primary thrown, three elections have been held and focus has been filling critical gaps, with formally democratic institutions established, considerable nimbleness and speed, and in some 5 million refugees have come back managing large trust funds that have been to Afghanistan and 4 million girls have essential for the overall international returned to school. At the same time, the programme. In particular, it managed to pay insurgency is intensifying, especially in the the salaries of civil servants and the police south. Moreover, the legitimacy of the in the immediate aftermath of the fall of the government is weak because of the role of Taliban. It has also carried out programmes former commanders in key positions, crime in nearly all areas important to long-term and human rights violations are widespread recovery—rule of law (judiciary and police), (especially crimes against women), unemploy- elections, parliament, area-based rural ment is high and access to public services is development, women’s rights, sustainable weak and in some areas nonexistent, and livelihoods and disarmament, demobilization poppy cultivation is increasing. and reintegration. Over 95 percent of the programmes have been financed from The international community, especially non-core funds. the United Nations, has contributed to stabilization through its presence, through Perhaps because of the scale of the the Bonn process, which has established programme and the need to act quickly, political institutions, and through community- UNDP has tended to act in a service- based reconstruction programmes. However, provision role, and has often lacked a the role of the international community is substantive input into the work it manages. hampered by an overly top-down approach. Since 2002, it has shifted from civil society As a result, stability takes precedence and community-based programmes to an over justice. In addition, the large-scale exclusive focus on government institutions, international effort is inefficient; a regional which may have reinforced centralized approach, which would tackle insurgency decision-making. Moreover, because of by dealing with instability in neighbouring short time-frames, direct support has countries, is lacking; security regulations meant inadequate attention to capacity- are stringent; and there is an excessive building. UNDP’s effectiveness has also preoccupation with time-frames in the been constrained by security concerns. country’s reconstruction. It is generally agreed that the experience of UNDP has provided continuous assistance the integrated office in Afghanistan has to Afghanistan through decades of war been positive. However, traditional UNDP and during the period 2000-2005. In concerns have been subordinated to the 2000-2002, the UNDP office was based in overall mandate and to the preoccupation Islamabad and assistance consisted largely with time-frames. UNDP has worked
EXECUTIVE SUMMARIES OF THE CASE STUDIES 65 closely with the Government of Afghanistan improvements in some macroeconomic and with the World Bank. However indicators, the long period of dictatorship relations with Afghan NGOs and civil and the instability, conflict and violence society have been less close since 2002, not that followed have left the population in a least because of the difficulty of access due situation where poverty and human insecurity to security concerns. have reached almost unparalleled propor- tions: 80 percent of the population live Lessons learned for the international in conditions of extreme poverty (on less community include the need: than $1 a day), 71 percent suffer from food insecurity, 57 percent have no access to safe To integrate human security into n drinking water, and 54 percent lack basic overall programmes, including more health services. attention to human rights, especially economic and social rights, legitimacy, Despite some improvements in the security consultation with civil society, and the situation since the establishment of the regional dimensions of conflict Transition Government and the full n For structural change in delivery so as deployment of a more robust UN mission to assist the development of national (known as MONUC), human rights violations capacity, reduce duplication and waste, persist and outbursts of violence continue and increase transparency to affect many parts of the country.
n To rethink security rules. UNDP contributed significantly to the international effort in addressing the Lessons learned for UNDP include the evolving situation in the DRC in three need to: different periods from 2000 to 2005: n Supplement gap-filling and service- n Until the signing of the Global and provision with substantive capacity that Inclusive Agreement at the end of builds on knowledge and experience 2002, a situation of conflict persisted in in conflict countries, especially in eastern DRC despite the cease-fire of governance, recovery and community- 1999. UNDP concentrated its efforts based development on facilitating the re-engagement of n Create a ‘surge’ capacity for development the donor community and the Bretton Woods institutions while initiating n Increase transparency and the speed recovery activities in the more secure and efficiency of delivery western provinces. Improve the quality of personnel in n n In 2003-2004, UNDP initiated pro- conflict countries, through appropriate grammes of support to the transition incentives and fair, meritocratic and through its participation in the broad-based recruitment at the development of a ‘Minimum Partnership national level. Programme for Transition and Recovery’, which was finally adopted at the DEMOCRATIC REPUBLIC Consultative Group meeting of OF THE CONGO November 2004. It also launched programmes of support to the national After decades of a debilitating dictatorship institutions involved in transition and and two successive wars between 1996 and built up an internal capacity to handle 2002, the Democratic Republic of the an increasing volume of operations. Congo (DRC) has engaged, since June The creation of a Post-Conflict Unit 2003, in a process of political transition within the UNDP country office that should culminate in the holding of increased the visibility of UNDP presidential and parliamentary elections in programmes in that area and helped the second half of 2006. Despite recent attract additional funding.
66 ANNEX 1 n Since the end of 2004, with the to human rights, humanitarian and appointment of the UNDP Resident recovery programmes. Representative as Deputy Special Repre- A number of innovative management sentative in MONUC, Humanitarian n Coordinator and Resident Co- decisions have helped improve the ordinator, UNDP participated more coherence of the overall UN effort and closely in the Security Council- have allowed UNDP to be more mandated mission. The organization effective. These included 1) the creation embarked on large-scale programmes of a dedicated ‘integrated office’ to assist of support to the electoral process the Deputy Special Representative of and expanded activities under the the Secretary-General in his multiple Disarmament, Demobilization and functions, 2) the creation of a fully Reintegration Programme. It developed integrated Electoral Unit, managed field activities in cooperation with by MONUC and UNDP under the NGOs, particularly in the Ituri district supervision of the Deputy Special and planned the establishment of Representative of the Secretary- UNDP offices in several provinces General, who is also responsible for of eastern DRC. UNDP was also UNDP, and 3) the expressed wish of instrumental in developing a Plan of the senior management of MONUC Action for the post-electoral phase. to integrate more fully members of the The senior management of MONUC UN Country Team in areas of shared developed a number of innovative responsibility. ideas aimed at improving the efficiency UNDP demonstrated leadership under of the integrated mission and cooperating n the disarmament, demobilization and more closely with the UN Country Team. reintegration programmes by promot- ing new approaches, such as linking The major contribution of UNDP over them to community development pro- recent years has no doubt been its support grammes and developing more flexible to the electoral process where, in 2005, operational management through a Rapid the integrated MONUC/UNDP Electoral Response Mechanism. Unit successfully managed to register 25 million voters and organize a national n The creation of a dedicated Post- referendum with the participation of Conflict Unit helped UNDP itself nearly 62 percent of the electorate. When focus on the issue and increased both considering the size of the country, the the visibility of related activities as well roughness of the terrain, the absence of roads as funding. in many areas and the conditions of insecurity prevailing in many locations, this is by all n UNDP programmes benefited from a accounts an outstanding achievement. dedicated post responsible for gender issues and from a very active UN inter- Major lessons learned through this case agency team of gender advisers. review include the following: n Post-conflict situations such as the n The Global and Inclusive Agreement one in eastern DRC require flexible remained largely a power-sharing management approaches. UNDP’s agreement among warring factions. decision to open offices in some The international community and the provinces could go a long way in United Nations could have achieved improving the effectiveness of the more coherence and better coordination organization, provided that it is if they had insisted more strongly on given the necessary authority and a linkage between the political negoti- accountability and does not become ations and clear benchmarks related just another administrative layer.
EXECUTIVE SUMMARIES OF THE CASE STUDIES 67 n The close cooperation developed with partnership with UNDP, MINUGUA also NGOs has helped UNDP become launched several temporary institutions more operational in areas such as geared to the resolution of the conflict Ituri, where programmes have to be (such as the peace commission and the implemented under fragile security land fund). The success of these forums conditions. Relations with NGOs have and institutions has been considerable but, been constrained, however, by UNDP’s in some instances, incomplete. own regulations. The peace process facilitated by the The perception of UNDP’s efficiency n international community through the UN suffers from the frequent delays in has brought about national consensus on processing financial reports received the underlying causes of conflict as well from implementing partners and in as the extent of the massacres and other transferring funds to them. violations of human rights that took place. The peace process has not altogether GUATEMALA removed the influence of groups that have controlled the fate of the country since the Although there was no formal guidance for 1920s, nor has it achieved real consensus collaboration between the UN Verification on the solutions that need to be applied. Mission in Guatemala (MINUGUA) and UNDP, the relationship between the Nevertheless, individuals and groups are two has been exceedingly close. UNDP now generally able to express their views in was intimately involved in all phases of private and in public. Expectations have the peace process, including the actual also been raised, although in real terms negotiations, in both a substantive and access to opportunities for sections of the service function. Unlike many of the population that were traditionally excluded other peace agreements studied, the one has been slow to follow. There is now a in Guatemala was notable because it gap between expectations versus actual incorporated important structural, institutional opportunities for sustainable livelihoods changes that were intended to broaden and access to essential services, some of democratic participation, reduce the influence which has been fulfilled through the of the armed forces and the business élite migration of labour abroad. in governance, bring an end to egregious violations and install a culture of human Open conflict has ended and rebel forces rights, bring satisfactory closure to past wrongs were either successfully integrated into the and return the country to sustainable armed forces or demobilized. However, development. From supporting the dialogue, threats of politically motivated violence to facilitating the demobilization of armed continue against those who dare to either forces and the return of refugees to the further investigate the underlying powers process of reconciliation and the reform of or speak out against them—even though institutions of central importance to the the tolerance of criticism is far greater than peace process, UNDP has been a central in the past. player in Guatemala despite its own lack of core resources to deliver on its mandate. Well over 95 percent of resources delivered by UNDP were non-core, a large share of MINUGUA and UNDP opened a wide which has come from the government. The array of ‘dialogue tables’ that brought credibility and trust that UNDP has together the government, military, guerrillas, established with successive governments political parties, the Church, indigenous and with opposition and civil society groups, civil society organizations and the groups has afforded it significant leeway private sector to work on the various sub- in its programme focus and the way in agreements of the peace process. In close which resources are utilized. Nevertheless,
68 ANNEX 1 dependence on government cost-sharing The UNDP has been relatively successful has brought with it added criticism that in its coordination functions in Guatemala. UNDP is too close to the authorities. With And some of the available system-wide the end of the Security Council mandate, tools, such as the UN Development UNDP’s leverage to ensure commitment Assistance Framework, have been used to institutional reform has also declined. relatively successfully for joint post-conflict programming by the UN system. UNDP’s UNDP’s dependence on cost-sharing has close relationship with MINUGUA has negatively affected implementation, since served to enhance its relationship with the programmes have been launched without World Bank, and UNDP has managed full funding. This has meant less than significant volumes of funds derived from seamless implementation, and activities World Bank loans to the Government. have, at times, come to a halt pending the receipt of additional contributions. HAITI Programme monitoring needs to be The situation in Haiti is not a post-conflict strengthened both from a technical perspective situation, but rather a protracted and and also to ensure that it is more outcome- violent 20-year-long transition following based. This is not unlike the situation of the end of the predatory dictatorship of the UNDP in virtually all countries; there is no Duvaliers. The crisis left Haiti the poorest independent, stand-alone capacity to country in the Western Hemisphere with monitor programme outcomes and impact 56 percent of the population living under over an extended period of time. conditions of extreme poverty (on less than $1 a day). The situation is the result National ownership of UNDP’s programmes of a prevailing culture of violence, wide- appears sound, and sustainability has spread corruption, the criminalization of been largely provided for with sufficient armed groups as well as neglect by the integration into the national budget. international community. However, it was also noted that political commitment appeared to be lacking for Since 2004—after six United Nations the implementation of some of the key missions that were generally considered structural reforms associated with the failures—the United Nations and the peace process. The sustainability of these international community finally recognized reforms has been placed in question by the that a long-term commitment and a robust allocation of insufficient funds to selected multidimensional Security Council mandate institutions, such as the civilian-controlled were required for the new UN Stabilization police force. Mission in Haiti (MINUSTAH).
The Guatemala peace process is perhaps the The new mission was also established in oldest among the case studies examined. line with the concept of ‘integrated Many of the technical and design short- missions’, and the Resident Representative comings have been reviewed in the past of UNDP was appointed as Deputy and the lessons applied in other countries. Special Representative of the Secretary- The UNDP programme has also experi- General, which combined the functions of mented with programmes that are both Resident Coordinator and Humanitarian highly relevant to countries emerging from Coordinator. The role of UNDP during conflict and can serve as models elsewhere. the period under review (2000-2005) had Its programme of exhumations, truth to adapt to the evolution of the internal commissions and clarification of the past as situation and the nature of the United a tool for long-term reconciliation is an Nations presence in the country. interesting model that could be replicated with some significant adaptation to local During a first phase, up to the departure conditions elsewhere in the world. of President Aristide in February 2004,
EXECUTIVE SUMMARIES OF THE CASE STUDIES 69 UNDP operated in the absence of a Major lessons from the Haiti case study: Security Council or General Assembly- mandated mission. UNDP’s major contri- n The international community shares bution during that period was the launching responsibility for the crisis in Haiti since of a multi-year programme that contributed it lacked a proactive prevention strategy significantly to the resumption of humani- and sustained, long-term commitment. tarian and recovery assistance in a situation n The concept of integrated missions is where most donors rejected direct cooperation being promoted through the formal with government authorities. Following the adoption of ‘integrated areas of withdrawal of the International Civilian activity’ (including DDR, justice, Support Mission in Haiti (MICAH) in electoral support, national dialogue February 2001, the Resident Coordinator and protection of children). The became the senior-most UN official in the formula could prove effective in country. As a result, he played a prominent promoting more coherent cooperation role in the days and weeks that immediately between the UN mission and members followed the exile of President Aristide. of the UN Country Team.
With the establishment of MINUSTAH n UNDP’s role in support of the in 2004, UNDP’s had to adapt to new electoral process has been effective, but responsibilities in support of the Security limited only to providing administrative Council mandate. Through its participation and technical assistance, thus raising in the mission, UNDP has become an questions about the justification of integral part of the renewed international UNDP’s participation in terms of the effort to support transition in Haiti and organization’s core mandate. improve the day-to-day situation of its Important management and funding people. Support to the justice sector and n innovations introduced in the DDR other programmes that began prior to 2004 programme could serve as models in continued. However, UNDP has also been similar situations. involved in a number of new activities during the transition period, including n UNDP has shown leadership through its supporting for the electoral process and capacity to adapt, anticipate and innovate. a disarmament, demobilization and re- integration (DDR) programme. The role n UNDP’s capacity to create trust funds of UNDP in the electoral process represented and manage them flexibly is a positive a major increase in the financial resources development for both UN Secretariat administered by the UNDP country office and donor partners. On the other and put a heavy toll on limited human hand, the image of the organization resources. This role, however, remained suffers from its heavy and slow very administrative and technical, increasing procedures when it comes to disburs- an often expressed perception that UNDP ing funds to implementing partners, was moving away from its core development contractors and staff. mandate into a service-provision function. n UNDP’s outreach beyond the capital, Despite slow progress on the DDR Port-au-Prince, is rather limited. programme, some interesting innovations Opportunities have probably been were introduced in Haiti that could serve lost since the security situation is as models elsewhere. On the management reportedly more favourable in the side, this included the creation of a totally countryside and urban centres outside integrated management structure, involving the capital city. both UNDP and MINUSTAH. Another major advance was the decision of the n Relations with civil society have Security Council to allocate limited been intense, but often based on resources from assessed contributions for personal contacts more than structured reintegration activities. institutional arrangements.
70 ANNEX 1 SIERRA LEONE Recovery Strategy, which included the establishment of the Special Court and the The war in Sierra Leone lasted from 1991 Truth and Reconciliation Commission, to 2002. It involved some 70,000 casualties justice and security sector reform and and displaced 2.6 million people from their poverty alleviation. Expenditure by the homes. The war was characterized by international community runs at 80 percent widespread atrocities, including the of gross national income and is more than abduction of children and systematic rape. double government expenditures. The conditions that led to the war included a repressive predatory state, UNDP has played a pivotal role, both in dependence on mineral rents, the impact of strategic coordination and in filling in gaps structural adjustment, a large excluded through targeted interventions. Since youth population, the availability of small 2002, UNDP’s programmes have covered arms after the end of the Cold War, and three practice areas: recovery and peace- interference from regional neighbours. building, governance and democratic development, and poverty reduction and Human security has improved because the human development. The first area is the conflict is over and because of the inter- largest. Particularly important projects national presence. But the state is still very include Arms for Development, an innovative weak despite the extension of state community-based DDR programme, a authority and the establishment of local youth policy, support for elections, especially councils. Legal and security institutions are local elections, and access to justice. weak, corruption is endemic, and there is a pervasive distrust of politics. Civil society Sierra Leone provides a model for the is also weak despite its key role during the integrated office concept, not least because war, especially by women’s groups. Youth of the role of Alan Doss, the former unemployment is very high and youth Deputy Special Representative of the literacy very low. The situation of girls is Secretary-General, and Victor Angelo, the particularly bad; some 80-90 percent current Special Representative of the S-G. undergo female genital mutilation/cutting. Alan Doss stressed the importance of There are some self-organized youth initia- coherent thinking and the need to involve tives, such as the bike riders association or the development/humanitarian agencies in the cassette sellers association although decision-making. Partnerships with other they are also potential sources of youth agencies have also been effective, at least in disgruntlement. Since 2002, economic Freetown. Outside the capital, the growth has been rapid, but Sierra Leone problems of duplication and competition remains one of the poorest countries in the persist. A particular problem has been the world and near the bottom of the human difficulty for the Transition Support development index. Regional instability Teams, based in UNDP, to coordinate the could easily reignite the conflict. transition from recovery to development.
Since 2000, the international community, UNDP was criticized by the Government particularly the United Nations, has played for overemphasis on direct rather than a critical role in sustaining the peace national implementation, though not by agreement. Between 2000 and 2002, the beneficiaries and the civil society.The main focus was DDR, the return and resettlement problem is how to build national capacity of displaced people, and the extension of in the context of such a large and effective state authority, including both line international presence. UNDP is trying to ministries and traditional authorities. In achieve this through project implementation addition, after 2002, the international units, reforms at the senior levels of the community helped to implement the civil service and partnership with the Interim Poverty Reduction and National Ministry for Youth and Sports. UNDP is
EXECUTIVE SUMMARIES OF THE CASE STUDIES 71 also widely criticized for bureaucracy and the need for strengthening of essential delays in payments. institutional capacities, especially for the rule of law, the management of subregional Overall, the international community has transit and preventing the collapse of played a positive role. The big problem is essential services). This has, in large part, that its very success detracts from the been driven by the peace process as legitimacy of the government. In addition, defined in the agreement and by the flow despite innovative community approaches, of donor resources. there is a need to generate jobs on a large scale and to improve the situation of Despite very limited core resources, women. In Sierra Leone, UNDP’s gap- UNDP has managed to mobilize enough filling role has been effective because it has resources to make itself an important been demand- rather than donor-driven player in the establishment of some of the and because of the efficiency of local staff. most important institutions for post-conflict More attention needs to be paid to civil recovery. It has undertaken a programme society and gender. that has been at the centre of many of the most critical responses to the conflict, be it in the areas of DDR, area-based development, TAJIKISTAN rule of law or the promotion of public The UN and the international community administration reform. have played an important role in achieving greater human security in Tajikistan. Open UNDP’s dependence on non-core resources conflict of the type seen during the civil to perform its responsibilities within a war has been eliminated. But while common, UN-derived peace-building democratic processes and institutions have mandate has had a profound effect on the been used to bring about stability, the way in which these programmes have been authorities have manipulated them undertaken and how programmes, activities skillfully to attain their political goals and and outcomes have had to be prioritized. legal means have been used to eliminate At times this has reduced both the level of most opposition. Democratic institutions efficiency and effectiveness, as insufficient have been systematically subverted in the funds have been available to ensure interest of stability. The international adequate programme capacity. It has also, community has not used the Security at times, resulted in a focus on activities Council mandate to insist on the further that are not centred on peace-building, such development of democratic institutions as as HIV/AIDS (despite low incidence), the a stable Tajikistan is in the geopolitical environment, and mitigation of natural interests of most international partners. disasters. The UNDP has also performed a service function, providing a reliable and The UNDP programme has supported the politically acceptable vehicle for managing international community’s efforts and the funds for some programmes of the international UN Peace-building Support Office. community, such as border management. Indeed, its programme has been centred on post-conflict recovery and peace-building Tajikistan has a long way to go to establish since the start of the war in 1992. Consistent institutions that even vaguely resemble a with the international community’s phased liberal democratic system of governance. approach, the UNDP’s programme has Yet, with the attainment of stability there reflected a transition from immediate post- are clear signs of donor fatigue. UNDP conflict relief and stabilization (particularly is finding it increasingly difficult to find the reintegration of combatants into their non-core resources that are required to local communities), to a more recent focus develop essential institutions and to on the potential future causes of internal continue to work at the rural level to friction (the lack of economic opportunities, promote sustainable livelihoods.
72 ANNEX 1 While both the IMF and the World Bank ment. This has provoked considerable have deemed the government’s macro- controversy because of the considerable economic management to be sound, the funding shortfall that has been identified vast majority of the population is able to in meeting the MDG targets. However, it survive largely because of remittances from is also an effective means to orienting the Russian Federation and other countries development efforts towards both human of the CIS. Education and health services development and human security. have deteriorated, and a failure to accelerate human development or a disruption in the As with most of the other case studies, the flow of remittances are likely to be the UNDP has yet to systematically establish most likely causes of future instability. In outcome-based monitoring systems that recognition of this, the UNDP has shifted would enable truly results-based management. its attention to using the framework of the Changes in financial management systems Millennium Development Goals as a basis also rendered the review of historical trends for promoting accelerated human develop- in the structure of the programme difficult.
EXECUTIVE SUMMARIES OF THE CASE STUDIES 73
Annex 2 Terms of Reference Evaluation of UNDP’s Role and Effectiveness in Conflict-affected Countries
BACKGROUND transition, where short-term and long-term frameworks—i.e., the sum total of many Since the end of the Cold War, there has different interventions at various times been a significant increase in the incidence within an overall process—may be analysed of war and violent conflict. According to in terms of promoting ‘human security’. the Human Development Report 2002, over the past decade there were 53 internal The idea of ‘human security’ marks a new conflicts resulting in 3.6 million deaths, threshold in the ongoing redefinition and immense political upheaval, immeasurable broadening of traditional concepts of social damage and billions of dollars’ worth security in development thinking. In recent of economic destruction. In response to years, the policies of the international this deteriorating international environ- aid community, including UNDP, have ment, the Executive Board of UNDP increasingly incorporated into the post- revisited the organization’s role in crisis crisis agenda a range of social, economic, and post-conflict development and urged legal, environmental, demographic and the organization to renew its commitment to cultural concerns. In fact, few post-crisis peace-building and post-conflict rehabili- situations can be framed without reference 1 tation. As a result, UNDP launched to human security issues arising from several new initiatives in conflict-ridden poverty, gender disparities, continuing countries in Africa, Asia, and Latin America. conflicts often along ethnic and/or religious This has been done in coordination with lines, landmines, refugee problems, illicit the mandates of other key UN partners. drugs, infectious diseases such as HIV/ Four years have passed since this policy shift AIDS and environmental degradation. was first articulated, and the organization is Indeed, much of the ‘old’ development now in a position to conduct an independent agenda can now be found under the evaluation of the nature and effects of its ‘human security’ rubric in one form or post-crisis transition assistance to improve another, partly because countries that are future interventions. no longer actively ‘at war’ with other countries do not necessarily achieve ‘peace’ The overall aim of UNDP’s efforts has within their own borders. Peace increasingly been to identify and elaborate options means more than the absence of threats for policies and instruments to enhance and discrimination. It means freedom from transition assistance during the immediate fear and want (e.g., economic security and post-crisis period in order to avoid the basic human rights) for which responsive, recurrence of violence and assist the accountable governance structures are country towards recovery and development. prerequisites. As such, human security has These efforts have focused on providing acquired a dimension far larger than the physical and socio-economic security, original State-centred notion of the UN rebuilding governance structures for a Charter, and its absence at the local and political framework, fostering reconciliation national levels has demonstrated long-term and justice, and facilitating mechanisms for negative consequences. Peace-building
1 Report of the Panel on United Nations Peace Operations, to the Secretary-General (henceforth referred to as the Brahimi Report). UN document A/55/305 – S/2000/809.
TERMS OF REFERENCE 75 efforts towards legitimate and lasting development and humanitarian concerns security in post-crisis situations are now very much tend to overlap.6 Therefore, the expected to be rooted in the well-being of evaluation would focus on some of the people, and the security of people emerged broader conceptual and policy implications as a complementary and distinct notion of the widening ‘human security’ issues in from that of the security of the State.2 transition assistance and what this means for enhancing development effectiveness Building up pluralist democratic politics of UNDP and partners in responding shares much with the fundamental principles to post-crisis situations from a human underlying human security, since both are development angle. grounded in human development perspectives.3 Human security has evolved to mean inclusion, cohesion and integration—a OBJECTIVES sense of belonging to a society and a The evaluation will cover four key objectives: prevailing order within and among nations that is predicated on fairness and respect 1) To help UNDP document and analyse for differences and human dignity.4 It is a the transition assistance it has provided concept that focuses on the viewpoints of in selected countries since 2000 in the individuals to protect them from threats to sensitive and frequently fragile post- their lives, livelihoods and dignity. crisis (cease-fire) period in reference to However, human security cannot be specific human security issues and equated with human development since their human development dimensions it is both the outcome of a successful to reveal both patterns of interventions development process and a condition, if that have been successful and those not a cause, of human development. that have been less successful. Human development, on the other hand, is 2) To provide critical guidance by assessing only possible in a ‘secure’ context. As such, results of UNDP programming human security is reinforced by human interventions to date and providing development and ultimately realized 5 recommendations on how to improve through it. the effectiveness of current programming approaches in the early transition The implications of this redefinition of period and their implications for terms are significant and present a number longer-term development. In doing of unique challenges, not the least of so, it aims to highlight areas where which is the expansion of the traditional UNDP’s comparative advantage has development policy agenda in post-crisis been proven or is emerging as well situations into issue-areas that have as to identify gaps and provide traditionally been viewed in a narrower recommendations on how UNDP social, economic, and developmental—as could address these gaps. opposed to ‘human security’— context. Yet, every stage of crisis and post-crisis has 3) To indicate how UNDP has used a development dimension and, in real life, partnerships at local, national and
2 While each country, as a nation state, is still responsible to its people for ensuring state security and in control of security and economic policies at the state level, such policies are now expected to be comple- mented by efforts focused on individuals to ensure human security and human development. 3 Mary Kaldor. 1999. New and Old Wars: Organized Violence in a Global Era. Cambridge: Polity. 4 “Human Security ….means, first, safety from such chronic threats as hunger, disease and repression. And second, it means protection from sudden and hurtful disruptions in the patterns of daily life—whether in homes, in jobs or in communities.” Human Development Report 1994. Published for UNDP, p. 23. 5 The scope of human security includes: economic security, food security, health security, environmental security, personal security, community security and political security. Human Development Report 1994, p. 24. 6 ‘Sharing New Ground in Post-conflict Situations. UNDP Interventions in Support of the Reintegration of War-affected Populations.’ UNDP, 2000.
76 ANNEX 2 international levels and positioned time-frame being considered. In many itself vis-à-vis other actors, who instances, UNDP plays a dual role: it provide both transition and longer- first designs programmes to support term development support, including the peace and bridge the gap between suggestions as to what capacities and humanitarian assistance and development; skills the organization should prioritize but it subsequently designs and implements and further develop to bring greater recovery and governance programmes that coherence and relevance to its have much longer time horizons. Therefore, interventions in post-crisis situations. key questions that the evaluation will try to address are how to improve the effectiveness 4) To provide substantive insights on how of UNDP strategy (i.e., is it doing the right to ensure that lessons learned from things?) and interventions (i.e., is it doing programmes and strategies implemented things right?). The overall scope of the in the immediate post-crisis period can be evaluation will include the following: institutionalized within the organization through systematic monitoring and n UNDP’s performance within its existing evaluation, adapted and made more role in providing post-crisis assistance, relevant to country needs. in particular preparations for peace- building activities in the period prior to crisis so as to ascertain the relevance SCOPE AND COUNTRY CASES of different phases of interventions The term ‘post-crisis’ reflects a complex in the past and programmatic shifts and protracted process. However, while the and key decisions on planning resource main focus of the evaluation is on the mobilization. immediate post-crisis period,7 it is n UNDP’s response during the necessary to take into account a broader immediate post-crisis period, including perspective to include the preparatory work the level of understanding within the undertaken before an actual crisis, organization—and in its program- which tends to be critical. For instance, ming—of its immediate post-crisis UNDP presence is likely to shift role, and what is required to improve depending on different and emerging coordination and delivery of interventions. priorities during the different phases, from ‘normal’ development, through the crisis n UNDP partnerships with relevant to transition and recovery efforts towards organizations within the UN system achieving normalcy. Also, UNDP is and clarity of the delineation of roles increasingly involved in countries where and responsibilities. steps towards attaining a peace agreement Level of consistency in the implemen- have been forged but not finalized, and/or n tation of policy by UNDP and relevant where crisis levels have subsided but partners in their coordination and conflict continues. Thus, it is necessary development efforts, including the to look at UNDP programming in both level of flexibility required in the these uncertain contexts and in the more mechanisms and instruments for traditional post-conflict environment developing and implementing policy. where a peace agreement has been finalized 8 and where armed conflict has ceased. The n Critical gaps between humanitarian evaluation is further circumscribed by the efforts and promotion of a longer-term
7 Although ‘immediate’ is usually understood as the first 12 months following the adoption of a cease-fire agreement between warring parties, this evaluation will take a more flexible approach with regard to the period before and after crisis, based on country context. 8 The threshold for looking at pre-crisis interventions is likely to vary from country to country according to the duration of conflict and other factors, and, therefore, should be defined on the basis of the specific country context.
TERMS OF REFERENCE 77 human security agenda and human to move away from crisis and conflict development, and their policy implica- towards recovery.9 tions for UNDP, UN partners and other stakeholders. Finally, the evaluation seeks to be more of a learning and forward-looking exercise Results of local partnerships in n than an evaluation of past results. It will lay immediate post-crisis assistance, special emphasis on lessons learned in including level of ownership of initia- terms of what has worked and what has not tives and activities (e.g., identification worked to help practitioners and decision- of problems, needs and solutions) and makers to be able to review and better their implications for partnership and understand the quality and relevance of cooperation with formal, non-formal UNDP services in addressing human and traditional structures of leadership, security issues, their flexibility, acceptability assessing operational needs, risks and adaptability in different context/roles, and opportunities. as well as to guide future planning and n UNDP approaches in monitoring and implementation of programmes in evaluating programme activities, and immediate post-crisis situations. how monitoring and evaluation knowledge is used to contribute to EVALUATION TEAM operational guidelines, programme implementation, evaluation of programme The core evaluation team will comprise performance and criteria for success. three international consultants. One of the international consultants will be A number of key issues and questions are designated as the Team Leader, the other highlighted in Addendum 1 that should two will be designated as Principal be included under the general scope of the Consultants. In addition, and depending evaluation highlighted above. These on the evaluation methodology developed by specific issues are by no means exclusive, this core team, other national consultants/ and the evaluation is expected to address advisers/agencies may be hired to and clarify these issues, and provide contribute to the evaluation process. Each answers to the questions in relation to the of the three core international evaluators general scope. (i.e., the Team Leader and Principal Consultants) will conduct the evaluation The evaluation will have a corporate focus. in at least two countries with the support However, in order to ensure the feasibility of the relevant UNDP country office. of the evaluation, specific case studies will The country office will designate a focal be limited to the following six countries: point to provide such support during the Afghanistan, Democratic Republic of the respective country missions. Congo, Guatemala, Haiti, Sierra Leone and Tajikistan. These countries represent a The team will be supported by one or good cross-section of cases where the post- two research assistants in New York crisis period is in various stages of develop- Headquarters.10 The composition of the ment and where UNDP has engaged in Evaluation Team should reflect the multiple cross-sectoral transition initiatives independence and substantive results focus with greater focus on policy instruments of the exercise. The Team Leader and all and advocacy in supporting these countries other members of the Evaluation Team
9 Country selection was determined by BCPR, using a number of criteria: i) representing innovative cross- sectoral programmes since 2002; ii) reflecting geographic diversity; iii) providing a good cross-section of cases where the post-crisis period is in various stages of development. 10 Job descriptions for Team Leader, international consultant, national consultants and research assistants will be based on these Terms of Reference and issued separately.
78 ANNEX 2 will be selected by the Evaluation Office.11 implementers, all relevant partners and See Addendum 2 for the specific roles and programme recipients to obtain data and responsibilities of the Team Leader and information for their analysis during the the Principal Consultants for undertaking selected country missions. the evaluation. Preparatory phase and desk review METHODOLOGY The Evaluation Office will engage a research assistant who will be responsible The evaluation will follow the guidance issued for working with focal points in country by the Evaluation Office, and consist of three offices to collect relevant programme key phases: preparation (with preliminary documents: project documents, relevant desk review, programme mapping, Terms evaluation reports, reports to donors, old of Reference proposal, theme-specific desk SRF/ROAR (Strategic Results Frameworks/ research and developing a web-based Results-oriented Annual Reports), Common document repository for the evaluation); Country Evaluations, UNDAFs (UN by designated conduct of the evaluation Development Assistance Frameworks, and members of the evaluation team; and the new corporate MYFF (Multi-year Funding follow-up (dissemination, corporate discussions, Framework). Concurrently, the Evaluation country office management response, stake- Office will hire an Evaluation Team. holder consultations, learning events). The Evaluation Team will initially meet to The evaluation will employ a variety of a) develop specific methodologies to carry methodologies, including desk reviews, out the evaluation; b) develop a work stakeholder meetings, client surveys, and focus group interviews and select site visits. plan to operationalize this methodology. The Evaluation Team will review all The work plan will build on this Terms relevant national policy documents, including of Reference and should describe how current national plans and strategies of the the evaluation will be carried out, refine selected countries and all other relevant and specify expectations, methodology, documents that give an overall picture roles and responsibilities, documentation of each country context.12 The Team will and time-frame. also consider any thematic studies/papers, select project documents and programme Evaluators will conduct a comprehensive aupport documents as well as any reports desk review of programme documents from monitoring and evaluation at the country provided by the Evaluation Office in level, as well as available documentation and consultation with UNDP country offices, studies from other development partners. bilateral and multilateral donors and other Statistical data will be assessed where national and international partners. relevant. The evaluative evidence will be Evaluators will also draw on relevant gathered through three major sources of discussions in UNDP knowledge networks information: perception, validation and and, where appropriate, use these networks documentation—according to the concept to gather further data not provided by of ‘triangulation’.13 Evaluators are expected document review. They will design a to draw on reviewed documents, field comprehensive questionnaire that will visits and consultations with programme assist in gathering data needed to answer
11 The more detailed modalities of the evaluation will be agreed among the Evaluation Office, UNDP country offices, and the Evaluation Team members. It will include a briefing of the international consultants by the Evaluation Office and the country offices; setting up country mission parameters and responsibilities for data- and information-gathering; post-evaluation briefing in Headquarters and final report-writing. 12 A web-based document repository for the evaluation will be developed by the Evaluation Office and will be accessible by the Evaluation Team and the relevant UNDP country offices. 13 See Assessment of Development Results (ADR) methodology paper, Evaluation Office, UNDP.
TERMS OF REFERENCE 79 the evaluation questions. This questionnaire Country visits and country will guide their interviews in New York, case studies preparation UNDP country offices and the Geneva Prior to the country visits, team orientation Office of the Bureau for Crisis Prevention will take place in New York with the Team and Recovery (BCPR). The questionnaire Leader and Evaluation Office, including a will be reviewed by the Evaluation Office, brief orientation on outcome and other BCPR and other select Headquarters units. evaluation methodologies, in addition to a review of documentation and desk review Evaluators will meet with Headquarters- mentioned above. The Evaluation Team based units (including BCPR, the Bureau will be divided into two groups. Each for Development Policy and the regional international consultant will visit at least bureaus) in New York and in Geneva two countries. In each country, s/he will be and conduct interviews using the supported by a focal point from the UNDP questionnaire. They will also contact, country office and an independent where appropriate, identified experts in ‘national adviser’ to be identified by the the relevant UNDP regional centres and Team Leader. The UNDP country office conduct phone interviews. focal point will be expected to organize all relevant meetings with the country office The preparatory work will be carried out in team, government representatives and all advance based on guidelines provided by other relevant partners, including civil the Team Leader and the designated society institutions, NGOs, and selected Evaluation Office Task Manager. This beneficiaries of projects/programmes. The will include an analysis of key issues to be evaluation questionnaire will also serve as a guide for collecting data during the explored and documented by the Evaluation interviews. Visits will involve meetings, Office. This work will entail the review interviews, surveys and focus group discus- of available reports and surveys, collecting sions with stakeholders. additional documentation, conducting select interviews, analysis and brainstorming, In each country the international consultant and will be based on specific Terms of and the selected national adviser will Reference in addendum to these generic receive backstopping from i) the other Terms of Reference. members of the core Evaluation Team on all evaluation issues; and ii) a focal point As part of the methodology, the evaluation designated by the UNDP country office on will use a set of key indicators (or ‘markers’) all local administrative issues. Country that are (i) country-specific and (ii) more visits will each be 7-10 days in duration. generic. Both types of indicators are to be During the country visits, the national used to analyse pre- and post-crisis phases adviser will provide relevant support to the in each of the selected country cases to not international consultant, including access only assess major ‘turning points’ in the to civil society and political representatives environment and strategic choices made by in the country. UNDP in its transition assistance, but also to allow comparison of UNDP approaches ADVISORY GROUP to transition assistance from a wider, human development perspective.14 The As part of the consultative process in country-specific indicators will be undertaking such an evaluation, an external developed by the Team Leader with the Advisory Group comprising 2-3 individuals help of the desk review. (composed of well-known development
14 While there should be sufficient flexibility in reviewing each country context, these indicators are intended to help develop a ‘minimum standard’ for post-crisis assistance. The evaluators are expected to further refine and expand these generic indicators, as appropriate.
80 ANNEX 2 thinkers, academics and practitioners) from transition assistance in conflict- different countries, including representatives affected countries, taking into account of international development agencies, will the objectives and scope of these Terms be set up by the Evaluation Office. Each of Reference member of this group will a) oversee and identify the substantive evaluation issues n A summarized analysis and evaluation highlighted in this Terms of Reference as of the results of the questionnaire to all an independent expert; b) ensure quality relevant countries/stakeholders, as an control of the evaluation; and c) review and annex to the main report provide comments on the draft evaluation n Six separate country reports—between report before submission to the Evaluation 20 and 30 pages each, using 12-point Office. The Evaluation Office will form type (including annexes)—that describe part of the extended Advisory Group, UNDP’s transition assistance in these which will remain in existence until the conflict-affected countries in terms of completion, dissemination and final review programme strategy, contribution to results, of the evaluation. The inputs and comments from the Advisory Group are expected lessons learned and future directions. to enrich the process and enhance understanding of the issues among a The main evaluation report and the six wide audience. country reports are to be formally submitted to the Evaluation Office by 28 February 2006 by the Team Leader. FINALIZATION OF STUDY, These will be approved by the Evaluation EXPECTED OUTPUTS Office and the findings will be presented AND TIME-FRAME to UNDP’s Executive Board at the UN The Team Leader for the Evaluation in 2006 and circulated to participating will ensure: country offices, partner organizations and other key stakeholders. n Presentation and review of the prelim- inary main draft report and findings— i.e., review by the Evaluation Office MANAGEMENT ARRANGEMENTS and Advisory Group, by other UNDP The Evaluation Office will manage this country offices and Headquarters units independent evaluation and ensure and stakeholders coordination and liaison with all concerned n Finalization of report and debriefing units at Headquarters. The designated of relevant stakeholders in New York Task Manager of the Evaluation Office through a lessons learning workshop to will support the evaluation process, in close be organized in consultation with consultation with BCPR and the relevant BCPR after the submission and country offices. The Evaluation Office will approval of all products expected from also ensure substantive supervision of all the Evaluation. research, and determine the Evaluation Team composition. The Evaluation products will consist of the following: The six UNDP country offices will take n A main evaluation report between a lead role in dialogue and interaction 50 and 70 pages (excluding annexes), with stakeholders on the findings and using 12-point type with an executive recommendations, support the Evaluation summary (5-6 pages) that will include Team during the country mission in the results of the six country visits, liaising with key partners and in discussions key findings and forward-looking with the team, and make available to the recommendations for UNDP’s future team all relevant evaluative material. They
TERMS OF REFERENCE 81 will also provide support on logistical the findings will be presented and discussed issues and planning for the country visits at national-level workshops. by the Evaluation Team. In addition, each country office will appoint a focal point for this evaluation who will assist in preparing ADDENDUM 1: KEY ISSUES relevant documents, hiring national AND QUESTIONS consultants, and setting up meetings with 1. Country context, intervention all relevant stakeholders. phases and instruments The international Evaluation Team will be The evaluation will analyse the specific responsible for the development, research, context of each country as indeed the trigger, drafting and finalization of the evaluation. the nature and the period of transition will However, they will consult with the be different in each case and should be designated Evaluation Office Task Manager documented in objective and rigorous and other relevant staff from BCPR, terms in order to understand the rationale Bureau for Development Policy, the regional of UNDP and relevant partners in bureaus, Operational Support Group and adopting the kind of programming the Human Development Report Office to interventions they chose to pursue in each obtain more information on lessons case. Results achieved in each country learned and their technical agreement. context should be used to assess the validity, scope and depth of approaches The Evaluation Office will meet all costs used by UNDP and identify good practices, related to conducting the Evaluation. weaknesses and possible constraints.
What was UNDP’s overall strategy in each FOLLOW-UP AND LEARNING country? What specific tools and method- ologies were used to analyse the country This corporate evaluation is expected to situation prior to conflict and further down help UNDP identify key lessons on the line to design its strategy for deploying strategic positioning and results that can or mobilizing what is generally understood provide a useful basis for strengthening as ‘transition assistance’? The comparison UNDP support to country offices in post- is intended to capture the dynamic of crisis situations. It will present good change and transformation. What were practices from the country case studies in the results in terms of delivery efficiency, terms of ‘what works’ and also draw lessons which in a post-crisis situation is of from unintended results. The relevant essence? What needs to be done to country offices will be able to use the improve delivery efficiency? evaluation to strengthen their strategic position and vision vis-à-vis partners; UNDP Headquarters is expected to use 2. Longer-term development the evaluation as a tool for advocacy, perspective learning and ‘buy-in’ among stakeholders. Notwithstanding close linkages between the human development and human The evaluation report and recommendations security agendas, in practice there is still in will be shared within the organization the human security outlook the notion of through a variety of means. First, they will urgency, i.e., implicitly, or in terms of be posted on the BCPR and Evaluation priority. While development is a condition Office websites and country offices will be of human security, crises will be linked to encouraged to discuss findings. Second, the latter, calling for immediate action, the recommendations will feed into staking primary claims to resources, and ongoing UNDP and partner organizations’ demanding political priority.There is a risk policy discussions and strategic planning that overlapping agendas between different exercises for post-conflict scenarios. Third, government departments will mean less
82 ANNEX 2 visibility for long-term development and and clarify whether there is a need for a for government’s action toward these problems more comprehensive consideration of as a whole, since short-term problems— disarmament by acknowledging and like humanitarian emergencies—take responding to its social, economic and precedence over longer-term ones. political implications for other human security concerns. Therefore, what are the key challenges for UNDP to incorporate longer-term In war, HIV/AIDS tends to spread rapidly as developmental principles and approaches a result of sexual bartering, sexual violence, into the immediate, routine operations to low awareness about HIV, and the address different types of human security breakdown of vital services in health and concerns? For instance, to what extent do education. In conflict situations, young trade, human rights and governance people are most at risk. Many young women aspects reflect part of a common policy and girls in refugee and post-crisis settings strategy in the country or region? What are forced to use their bodies to get food and are key criteria or principles used by clothing for themselves and their families. UNDP to assist institutions capable of providing human security for the well- What kind of initiatives were taken as part being of communities and individuals of early planning (i.e., what was done in within the state? terms of pre-negotiations to prepare during and after conflict)? Do these initiatives 3. Physical security reflect a longer-term development approach? Did UNDP exploit key entry points with The process of disarmament, demobilization, other UN agencies (UN Country Team) reinsertion and reintegration (DDRR) of to enhance aid coordination and overall former combatants plays a critical role in operational response to providing physical transitions from war to peace. The success security to returning IDPs and refugees? or failure of this endeavour directly affects How have local authorities integrated the long-term peace-building prospects for human rights policies and mechanisms any post-crisis situation. Since there is a into the national reconstruction efforts? close relationship between peace-building What have been the effects of these on and the DDRR process, it needs to be vulnerable groups (women, children and analysed in relation to other approaches— ethnic minorities, in particular)? for instance, promoting dialogue between citizens and security officials, assisting in the protection and relocation of internally 4. Coordination & partnership displaced persons (IDPs) and refugees, The fact that human security, because of ensuring protection from mine fields, the range of issues it addresses, brings and launching HIV/AIDS-awareness together a broad array of players, a central training for ex-combatants, IDPs and post- issue in the implementation of a human conflict communities. security agenda is institutional coordination. Given the range of issues covered and their It may be possible to focus on three specific mutual embeddedness, effective tackling of DDRR issues: disarmament as a social any significant human security situation contract; demobilization without cantonment; calls for coordination and partnership and the relevance of financial reinsertion among major government and donor assistance. When such initiatives adopt a agencies and other stakeholders. In finding ‘guns–camps–cash’ approach, they seem to entry points and strategies, the strengths provide only a limited perspective for and weaknesses of all potential partners dealing with a wide range of complex (international, regional, local) need to be issues related to the DDRR process. analysed. Within this context, UNDP’s Therefore, the evaluation should review support to the UN’s Resident Coordinator
TERMS OF REFERENCE 83 function plays a key role in assisting to strengthen democratic processes, ensure national authorities to set up an accountable democratic accountability of state institu- and rational coordination system for tions, and support the emergence of robust international aid. The measures that economic management and social service UNDP takes to assist in coordinating delivery. Weak or dysfunctional governance donors and aid providers have important structures are characteristic of post-crisis implications for the design and implemen- countries. It is the failure of governance and tation of post-crisis responses. In this breakdown of legitimacy that frequently context, the issue of distribution of roles contribute to the outbreak of violence and within UNDP and among UN agencies that, if not remedied, can thwart recovery. and its implications for UNDP’s policy in For this reason, key features of UNDP’s post-crisis assistance are critical. transition assistance include programmes that help government set up truth and Therefore, are interventions well coordinated reconciliation commissions, assist govern- within different parts of UNDP? Within ment in formulating national recovery the UN family (e.g., the UN Development plans and policies and reform public sector Group Office, the UN Office for the administration (this includes the justice Coordination of Humanitarian Affairs, the and security sector institutions), and, where Office of the UN High Commissioner for appropriate, creating the conditions and Refugees, the World Food Programme, mechanisms for free and fair elections. At a and the UN Children’s Fund, among very early phase in the recovery, UNDP’s others)? With external actors like the national role in fostering national reconciliation government, neighbouring governments, dialogues can serve as a first step towards the NGO community, bilateral donors, and fostering good governance practices. international financial institutions? What However, rebuilding governance structure are the decisive elements of a partnership cannot necessarily rely on state initiatives strategy at the national or local level in so alone since, more often than not, the far as they relate to coordination? To what governance structures of the states are extent has UNDP drawn upon the most responsible for the conflict and may be relevant partners, making use of their resistant to changes. It may well be comparative advantages? What lessons can partnerships with civil society that provide be learned about coordination (or the lack the most leverage in fostering peace and thereof ) in the approach or strategy changing governance structures. employed by different UNDP Headquarters units in terms of providing support to To what extent have pre-existing country offices? What specific actions are governance programmes shifted to respond needed by UNDP to institutionalize to new needs during post-crisis assistance? and strengthen post-crisis transition What were the key challenges and how was this process handled by UNDP and partner assistance at i) the policy level; and ii) the agencies? How did UNDP and local operational level? partners continue to undertake activities on the ground that were in themselves 5. Rebuilding governance structure contributing to the promotion of peace- In post-crisis situations, short-term, building or community reconciliation tangible reconstruction measures need during the post-crisis period? What have to be balanced by concern for long-term been the effects of UNDP interventions on civil society and social programmes that social/community/civil society mobilization incorporate mechanisms of local participation and national dialogue? Was UNDP support and a culture of multifaceted accountabil- adequate to ensure appropriate governance ity, which can help rebuild governance of national institutions in accordance with structures. The role that UNDP plays in the principles of human development, providing governance assistance is designed democracy and civilian oversight?
84 ANNEX 2 6. Economic security development and implementation of In order to promote sustainable livelihoods, human security policies. This is necessary and address recovery and reconstruction in view of the fact that the central role of needs, post-crisis assistance is designed to the state is displaced by a wide array of jump-start local economies (quick impact actors in the management or elimination projects) and to provide a means of livelihood of human security threats. Experience for different communities of ex-combatants, indicates that civil actors and organizations gain access to the very definition of human refugees and internally displaced persons. security issues, where their security Programmes that seek to revive the private becomes the core preoccupation of policies sector, agriculture and mining and provide and they are key players in the design local infrastructure and credit facilities may and implementation of those policies. also be initiated during the early stages of Furthermore, civil society and local support post-crisis assistance. Also falling under programmes, including citizens groups and this category are UNDP programmes that human rights organizations, should be in support the provision of basic services such the mainstream of international responses as water, sanitation, energy, health care, to rehabilitation. Glaring imbalances education and communications. between short-term, project-centred funding for physical rebuilding, and What are the critical challenges in funding for social and civil development promoting dialogue for economic security where long-term qualitative change is among returnees, local beneficiaries made, could thus be avoided. The emphasis and different factions? Have the various on elections as a test of democracy is often interventions strengthened social capital a cosmetic exercise, at least during the among different communities? Have early phases of post-crisis assistance. It sufficient measures been taken to revive overshadows the need to support, where trade and investment, including the appropriate, civil society projects and local formulation of trade policies, procedures support networks that promote political and relevant institutions? How do responsibility and accountability. Furthermore, interventions reflect women’s economic problems of transition arising from security and empowerment as part of a criminalized war economies and donor strategic focus? How have UNDP policies of neo-liberal conditionality might interventions contributed to define longer- be better addressed by promoting transfor- term needs of different communities and mation strategies that enhance capacity- groups, including the development of skills building measures for local institutions and for livelihoods, social relations, leadership communities. In particular, higher levels of structures, etc.? Were these interventions part public participation might be incorporated into of a comprehensive approach (i.e., managing strategic plans to make external and local conflict between local people and implementers more accountable to recipients. returnees, and, in addition to other aspects of economic security, providing basics such Therefore, to what extent have UNDP and as health care, access to clean water and local partners taken advantage of participatory other types of protection and services)? approaches to gain better understanding of ‘local knowledge’ and resources (i.e., carefully considered and corroborated 7. Civil society and information from refugees and other local participatory processes people) in planning and in making strategic Central to the concept of human security is decisions? Do UNDP interventions reflect the specific focus on issues related to sufficient consultations with civil society personalization, globalization, democrati- representatives and non-governmental zation, and demilitarization, where a organizations? If so, how have they special role needs to be given to civil added value to UNDP’s role in post-crisis society and its organizations in the transition assistance?
TERMS OF REFERENCE 85 8. Gender the communities affected by crisis, The evaluation needs to focus on how taking into account demographic and gender concerns have been integrated into ethnic factors. policies and programmes at local and n The extent to which relevance, design national levels. Available evidence and scale of transition assistance indicates a slow but positive shift in provides scope for longer-term international opinion and understanding development assistance around human about the consequences of conflict on women security issues from a human develop- and the importance of their participation ment perspective. in peace-building processes and post-crisis social transformation. However, gender n The level of engagement with civil discrimination continues to manifest itself society actors in interventions before in such forms as political exclusion, and after the crisis, taking into account economic marginalization, and sexual the role generally played by civil violence during and after conflict, which society actors at the national level. deny women their human rights and n The level of human and financial constrain the potential for development. In resources mobilized in relation to post-crisis situations, rape, domestic intended objectives and results achieved. violence and sexual exploitation often go unchecked. Peace-building, despite being n The percentage of the returnee arguably more gender-sensitive, has so far population served by interventions. given inadequate attention to the construction n The quality of ratings and perceptions of gender norms and the processes by provided by external partners and local which they can be transformed to ensure communities of UNDP’s coordination more equitable gender relations in post- efforts and other interventions. crisis situations. n The extent and quality of gender What are the effects of UNDP efforts to perspectives applied in interventions. introduce gender-sensitive approaches to The percentage of most vulnerable peace-building? To what extent do they n and/or marginalized groups served by address underlying norms that define interventions and quality of support gender relations and power dynamics provided after crisis. in the design and implementation of interventions in the immediate post-crisis n The presence of clear, well-designed assistance? Does the level of competence exit strategies. on gender issues and training among UNDP staff enable the organization n The types of post-crisis issues not (UNDP country offices) to provide being addressed or poorly addressed effective programme support? by interventions. n The extent and quality of the documentation/recording of decision- ADDENDUM 2: GENERIC ISSUES making and monitoring and evaluation TO CONSIDER FOR DEVELOPING during different phases of interven- THE EVALUATION CRITERIA tions—i.e., pre- and post-crisis—and how such information is used. n The nature and scale of UNDP’s geographic coverage—i.e., the types of n The use of relevant and credible local interventions and the number of knowledge and expertise in planning personnel and sub-offices on the ground n The types of strategic choices and prior to the crisis and afterwards. strategic connections between interven- tions made based on lessons learned to n The timeliness and level of operational response at the onset of the crisis. define UNDP’s role and build its capacity for future work in post-crisis n The relevance of interventions and environment (e.g., a comprehensive responsiveness to the core needs of country policy on peace-building).
86 ANNEX 2 Annex 3 Questionnaire
1. Country: financial management support? Can you give an estimate of the proportion 2. Region: of these activities in UNDP’s total 3. If there has been a peace agreement or programme in your country? political settlement, what role did 8. Does the security situation and the UNDP play in organizing, facilitating, or implementing it? constraints introduced by UN security regulations hamper your ability to 4. Did UNDP’s programme, either carry out your mission? formally or informally, follow a phased approach? If yes, how would you best 9. What are the challenges of coordination characterize the phases? with other agencies and NGOs? 5. What, in your view, are the cornerstone 10. Who are the five principal partners of projects undertaken by UNDP to address UNDP in your country? the conflict, including prevention, 11. What support did you get from peace-building and reconstruction? UNDP Headquarters in developing Please provide a brief summary of your programme in response to conflict? their achievements. 12. What is the level of UNDP’s financial 6. In what ways are you working with civil disbursement in the country since society, both in the capital and beyond? 2000? Please provide a breakdown of 7. Do you undertake service-provision how much was delivered each year activities, i.e. activities where UNDP’s between 2000 and 2005, divided role is limited to administrative and between core and non-core resources.
Q UESTIONNAIRE 87
Annex 4 List of Persons Consulted
United Nations System Lang, Hardin, Desk Officer, Executive Office of the Office of Operations Secretary-General (EOSG) Peralta, Rafael, Desk Officer, Office of Operations Brahimi, Lakhdar, Special Adviser to Sisay, Yasmin, Desk Officer, the Secretary-General Brinkman, Henk Jan, Senior Economic Office of Operations Affairs Officer Suntharalingam, Nishkala, Desk Officer, Orr, Robert, Assistant Secretary-General Office of Operations for Policy Coordination and Titov, Dimitry, Director, Africa Division Strategic Planning Weisbrod-Weber, Wolfgang, Director, Europe and Latin America Division Office of the UN High Commissioner for Human Rights (OHCHR) UN Department of Political Affairs (DPA) Mokhiber, Craig, Deputy Director Alradi, Ellen, Desk Officer, Afghanistan Ndiaye, Bacre Waly, Director Anyidoho, Charles, Political Affairs Officer, Africa II (Desk Officer, Office of the UN High Commissioner Sierra Leone) for Refugees (UNHCR) Bennett, Gerald, Political Affairs Officer, Bertrand, Pierre, Deputy Director, Africa I (Desk Officer, Democratic UNHCR New York Republic of the Congo) Coleman, Chris, Deputy Director United Nations Children’s Fund Goryayev, Vladimir, Acting Director, (UNICEF) Asia and the Pacific Division Griffin, Michele, Political Affairs Officer Gianluca, Buono, Framework Team on Early Warning and Conflict Prevention Kum Buo, Sammy, Deputy Director Maldonado, Maria, Deputy Director McInnis, Luis Jiminez, Political Affairs UN Department of Peacekeeping Officer, Americas and Europe Operations (DPKO) (Desk Officer, Haiti) Annabi, Hedi, Assistant Secretary-General Rejouis, Emmanuelle, Desk Officer, Buttenheim, Lisa, Director, Asia and Democratic Republic of the Congo Middle East Division Sabra, Yasser, Senior Political Affairs Dwan, Renata, Coordination Officer, Officer, Africa I Best Practices Unit Flanagan, John, Officer-in-Charge, Santana, Aracelly, Officer-in-Charge, DPKO Mine Action Service Electoral Assistance Division Guehenno, Jean-Marie, Smeets, Marylene, Political Affairs Under-Secretary-General Office, Americas and Europe Harland, David, Director, (Desk Officer, Guatemala) Best Practices Unit Smith, Scott, Political Affairs Officer, Hylton, Judy, Office of the Assistant Electoral Assistance Division Secretary-General, Vitunic, Brian, Political Affairs Officer Office of Operations (Desk Officer, Tajikistan)
LIST OF PERSONS CONSULTED 89 UN Development Group Office Bureau for Resources and Strategic (UNDGO) Partnerships (BRSP) Foerster, Bradley, Policy Adviser, Jenks, Bruce, Assistant Administrator Crisis and Post-conflict Cluster and Director Reitano, Tuesday, Policy Specialist, Topping, Jennifer, Director, Division for Crisis and Post-conflict Cluster Resource Mobilization Siblot, Jean Luc, Associate Director, Vigie, Stephane, Special Adviser, Division Crisis and Post-conflict Cluster for Resources Mobilization
UN Office for Project Services Bureau of Management (BOM) (UNOPS) Bazile-Finley, Jocelline, Deputy Assistant Gomer, Lisa, Chief, Global and Administrator and Director Interregional Unit Gleeson, Brian, Director, Office for Human Resources Management World Bank Bannon, Ian, Manager, Conflict Regional Bureau for Africa (RBA) Prevention and Recovery Angelo, Victor, Special Representative of Barbu, Alain, Manager, Operations the Secretary-General and UNDP Evaluation Department Carvalho, Soniya, Lead Evaluation Officer, Resident Representative, Sierra Leone Operations Evaluation Department Avina, Jeffrey, Deputy Director Harild, Niels, Programme Administrator, Dimond, Marie, Programme Specialist Post Conflict Fund and the Guiraud, Rene, UNDP Deputy Resident Low-income Countries Under Representative, Niger Stress (LICUS) Trust Fund Lwanga, Elizabeth, UNDP Resident Representative, Kenya United Nations Development M’cleod, Herbert, Adviser to the Director Programme (UNDP) Regional Bureau for Asia and Bureau for Crisis Prevention and the Pacific (RBAP) Recovery (BCPR) Pasha, Hafiz, Assistant Administrator Aqa, Sayed, Team Leader, Mine Action and Director Unit, NY Lockwood, David, Deputy Director Barnes, Sam, Team Leader, Strategic Planning Unit Batchelor, Peter, Team Leader, Small Regional Bureau for Europe and Arms and Disarmament Unit, Geneva the Commonwealth of Independent Benomar, Jamal, Special Adviser to the States (RBEC) Assistant Administrator Carlson, Christina, Programme Manager Busza, Eva, Policy Adviser, BCPR NY Turkoz-Cosslett, Gulden, Senior Cravero, Kathleen, Assistant Programme Manager Administrator and Director Kumar, Chetan Regional Bureau for Latin America and Ohiorhenuan, John, Deputy Director, the Caribbean (RBLAC) BCPR NY Rawley, James W., Deputy Director, Boutin, Genevieve, Desk Officer, Haiti BCPR Geneva Franche, Marc-Andre, Strategic Management Adviser Bureau for Development Policy (BDP) Lloreda, Maria Lucia, Programme Manager Walker, Neal, Coordinator Maguire, Linda, Democratic Governance Group Rodriguez, Alvaro, Policy Support UNDP Washington Office Coordinator Marek, Michael, Director
90 ANNEX 4 AFGHANISTAN CASE STUDY Ibrahimi, Niamatullah, Researcher, International Crisis Group United Nations System Joynda, Mir Ahmad, Member of United Nations Parliament, Chairman, Foundation for Alexander, Chris, Deputy Special Culture and Civil Society, Deputy Representative of the Secretary-General Director, Afghanistan Research and Haq, Ameerah, Deputy Special Evaluation Unit Representative of the Secretary-General Kamawee, Abdul Malik, Deputy of the Supreme Court UN Development Fund for Women Krivenkov, Vladimir, Project Manager, (UNIFEM) Law and Order Trust Fund Lafreniere, Julie, Deputy Programme Director Leslie, Jolyon, Chief Executive Officer, Aga Khan Trust for Cultures UNDP-Afghanistan Ludin, Javid, Presidential Chief of Staff Ghulam, Mustafa, Deputy Country Massey, Basil, Officer-in-Charge, Director (Operations) Afghanistan New Beginning Lyons, Frederick, Country Director Programme Nasser, Mohammad, Head of Finance Muller-Schike, Irina Kaye, Embassy Nirody, Anita, Senior Deputy of Germany Country Director Murad, Abdul Satar, Governor of Kapisa Musadiq, Horia, Head of the UNOPS, Afghanistan Human Rights and Research & Edwards, Dave, Deputy Country Director Advocacy Consortium Naderi, Ahmad Nader, Head of the Free & Fair Elections Foundation World Bank, Afghanistan Naizi, Saeed Mohammad and Omar Mazurelle, Jean, Director Sharifi, Foundation for Culture and Civil Society Others Nasib, Mohammad, Director, Wadan Ahmadzai, Ashraf Ghani, Chancellor, (Afghan NGO) Kabul University Payab, Youns, and the Sustainable Atmar, Hanif, Minister for Rural Livelihood Unit Rehabilitation and Development Rafiee, Aziz, Director of the Afghan Civil Banerjee, Nipa, Canadian International Society Forum Development Agency (CIDA) Sadiq, Fahim, Director of the National Bari, Abdul, and State Building Unit Big, Talat, UN Assistance Mission in Participation Association Afghanistan, Kandahar Samar, Sima, Director of the --, Chief of the Provincial Police, Afghan Independent Human Law and Order Trust Fund Rights Commission Danish, Sarwar, Minister of Justice Sangin, Amerzai, Minister of Eiasson, Lars-Olof, Swedish Communications International Development Satar, Saeed Rahim, Mohammad Sharif, Cooperation Agency (SIDA) Mohammad Humayon and represen- Fakhri, Abdul Rashid, Deputy Minister tatives of the Afghan NGOs of Economics Coordination Body Fulgham, Alanzo, US Agency for Shahrani, Wahidullah, Deputy Minister International Development (USAID) Guillaume, Olivier, Embassy of France of Finance Haider, Basir, Ministry of Interior Shunkun, Liu, Embassy of China Hamidzada, Wali, Director-General, Sitara, Assistant Country Director, Head Training Department of the of Democratization & Civil Society Independent Administration Reform Soroush, Programme Manager, Area- & Civil Service Commission based Development Programme
LIST OF PERSONS CONSULTED 91 Tarzee, Eba, Wazhma Popal and Malika Reitano, Tuesday, Programme Specialist, Qanih, the Afghan Women Network UNDP-DRC Taqwa, Abdul Jabbar, Governor of Parwan Rodriguez, Alvaro, BDP Vekiloglu, Fulya, Project Manager, Sabra, Yasser, Senior Political Affairs Support to the Ministry of Officer, UNDP-DRC Women’s Affairs Samba, Daniel Mukoko, UNDP-DRC Vendrell, --, European Union Solana, André, Security Officer, Representative UNDP-DRC Wardak, Farooq, Director-General, Totov, Dmitri, Director, RBA Office of Administrative Affairs Valent, Roberto, UNDP-DRC Wardak, Rahim, Defence Minister Others DEMOCRATIC REPUBLIC OF Andriamananony, Alain THE CONGO (DRC) CASE STUDY Atama, Noël, International Crisis Group Bula-Bula, Sayeman, University UNDP of Kinshasa Aucouturier, Celine, Joint Mission France, Pierre Laye Analysis Cell, UNDP-DRC Grande, Lise, Head, Integrated Office Avina, Jeffrey, Deputy Director, RBA Jenks, Nicholas, USAID Batchelor, Peter, Team Leader, Kabetsi, Alice Mirimo, National BCPR/Small Arms and Chairwoman, Young Women’s Demobilization Unit Christian Association of DRC Bazile-Finley, Jocelline, Deputy Assistant Kalonzo, (Rev.), Kimbanguist Church Administrator and Director, BOM Kawata, Daniel A., General Coordinator, Bennett, Gerald, Political Affairs Officer, CONADER (National Commission UNDP-DRC for DDR) Cells, Johan, Senior Policy Adviser, Kimpanga, M., journalist, UNDP-DRC La Référence Plus De, Aissata, UNDP Asia-Pacific Loka-ne-Kongo, University of Kinshasa Economic Cooperation Project Lukamba, Théophile, Conseil National Desjardins, Marie-France, UNDP-DRC des ONG de Développement Dwan, Renata, Coordinator, Best Lukiana, Marie-Ange, Deputy Secretary- Practices Unit, UNDP-DRC General, PPRD (political party) Gleeson, Brian, Director, Office of Malu Malu, Abbé, Head of Commission, Human Resources Management Houngbo, Gilbert, Director, Regional Independent Electoral Commission Bureau for Africa Mangala, (Sheik) Abdallah, Jenks, Bruce, Director, BRSP Islamic Community Lafrenière, Luc, BCPR/Small Arms and Marker, Phillip, Head of Office, Demobilization Unit Department for International Marquis, Jacques, Head, UNDP Development (DFID) Service Centre Miagla, Jacques, Representative, Maguire, Linda, BDP Christian Aid M’cleod, Herbert, Adviser to the Director, Mokoko, Francine, journalist, RBA, and former UNDP Resident Radio Africa no.1 Representative in the DRC Muangilwa, Faida, Minister of Family Morel, Marc-Antoine, BCPR/Small and Women Arms and Demobilization Unit Mujing, Jeanne Ohiorhenuan, John, Deputy Director, Mukuku, Françoise, SJS (Si Jeunesse Savait) BCPR Mukulubundu, Albert, Front des Patriotes Rawley, James W., Deputy Director, Congolais (political party) BCPR Nanita-Lamio, Simon-Pterre
92 ANNEX 4 Newport, Linda, European Union, López, María Cecilia, UNDP, Sololá Security Sector Reform Marquez, Lilian, Official, Sustainable Ngalula, Josephine, FORFEM Human Development and (Women’s Forum) MDG Programme Ntantu-Mey, --, Parliamentarian Masaya, Fernando, Coordinator, Relations Odimula, --, National Police (Election Between State and Civil Society Security Cell) Mattern, Jochem, Programme Officer, Piette, Bernard, First Counsellor, Human Security European Union Mendez, Ana María, Adviser on Justice Shabany, M., UDPS (political party) and Rule of Law Spijkers, Ad, Representative, Food and Pesce-Monteiro, Bárbara, Resident Agriculture Organization of the Representative, a.i. UN (FAO) Pointevin, René, Adviser on Democratic Tambwe, Alexis, Minister of Planning Dialogue and Civil Society Tshibasu, Mpinga, Chairman, Polo, Juan, Programme Officer and Observatoire National des Droits Adviser on Civil Society Participation de l’Homme Rivas, Edelberto Torres, Adviser, National Unyon-Pewu, Médard, Carrefour pour le Human Development Report Développement de Mahagi Ruano, Jorge, Coordinator on Reform and Modernization of the State Solares, Hugo Antonio, Economic and GUATEMALA CASE STUDY Social Planning Directorate UNDP and the United Nations System Balcarcel, Miguel Ángel, Adviser on Government Multiparty Dialogue Aguirre, Eduardo, Manager of the Buvollen, Hans Meter, Coordinador, Executive Office of the Vice-President Participación de la Sociedad Civil Alvarado, Sergio Fernando Morales, (PASOC) Programme, UNDP Attorney General Camey, Rosenda, Programme Officer, Barreda, Beatriz de León, Magistrate, Relations Between State and President of the Supreme Court Civil Society Bermúdez, Francisco, Vice-Minister of Cayzac, Hugo, Social and Defence Multicultural Adviser Castañeda, Myriam, Vice-Minister for Cherrett, Ian McKenzie, FAO Educational Administration Representative and UN Resident España, Mayra L., Ministry of Education, Coordinator, a.i. Local Government Cuellar, Wendy, Programme Officer, Figueroa, Angel Alfredo, Magistrate, Justice and Rule of Law Supreme Electoral Court de Rodríguez, María Eugenia, Director, Florido, Juan Luis, Prosecutor General International Cooperation Godoy, Julio, Vice-Minister of Díaz, Rafael, Adviser, Local Government International Cooperation Gómez, Jaime, Vice-Minister of Public Diez, Elena, Adviser on Health and Social Assistance Democratic Dialogue González, Eduardo, Secretary for Elich, Christina, Programme Officer, Coordination of the Executive Office Programmes for Peace and of the President Reconciliation, UNDP Higueros, Rubén Eliú, Coordinator Garita, Ana, Political Adviser, UNDP for Reform and Modernization Gharas, Ofelia, UNDP, Sololá of the Judiciary Gómez, Fredy, Director, Social Marroquín, Ricardo, Chief of Staff, Entrepreneurship Programme (PES) Office of the President
LIST OF PERSONS CONSULTED 93 Ramírez, Marcelino Ajcabul, Official, Jiménez, Francisco, Network for Ministry of Education Guatemalan Democratic Security, Rodriquez, Cristian, Municipality of War-torn Society Project/FOSS Santa Catarina Pinula Maldonado, Rafael, Centre for Legal- Sajxín, Roberto López, Municipality of Environmental and Social Action Santa Cat. Palopó of Guatemala Sperisen, Edwin, Director of National Mata, José P., Consortium of Social Civil Police Organizations/International Centre Taquín, Francisco, Local Government, for Research into Human Rights Municipality of Sololá Moscoso, Arnoldo Ortiz, Coordinator, Taxón, Francisco Tomás, Mayor, Sololá Seguim Fortal, National Commission Toc, Esteban, Local Government, for the Pursuit and Fortification Municipality of Sololá of Justicia Zapata, Teresa, Public Defender for Obiols, Luis, Mirna Mack Foundation Indigenous Women Pérez, Yolanda, Lawyers Association Pineda, María Silvia, Director, Civil Society ASAZGUA (prívate-sector funded NGO for social change) Asturias, Sandino, Centro de Estudios de Sac, Salvador Quiacain, Civil Guatemala (CEG) Society, Sololá Bahamondes, David, Mirna Sarat, Magdalena, National Coordinator Mack Foundation of Widows of Guatemala Balám, Carlos, Coordinating Body Soch, Estela María, Director, Presidential of Indigenous and Secretariat for Women Campesino Organizations Staling, Blanca, Institute for Public Cabrera, Oscar, Coordinating Body Criminal Defence of Indigenous and Stein, Ricardo, Director, Campesino Organizations Soros Foundation Cach, Higinio Pú, Defense of Indigenous Tinti, Mario, Consultative Assembly of Groups, Wajxaqib the Displaced Population/Association Campo, Jorge Fernando, Association for of Rural Workers Mutual Support Castellano, Álvaro, Dean of the Faculty of International Donors Juridical Sciences and Sociology of Rafael Landivar University Magnussen, Hans, Embassy of Sweden Chávez, Cristina, Barefoot Doctors Risco, María José, Spanish Agency for Chavez, Juan José, Consultative Assembly International Cooperation of the Displaced Population Sorensen, Ninna Nyberg, Embassy Cumes, Romeo Sacj, Civil Society, Sololá of Denmark de León, Carmen Rosa, Counsel and Thompson, Carrie, USAID Adviser on Security, Educational Tusscher, Bea ten, Embassy of Institute for Sustainable Development the Netherlands Erazo, Judith, Community Studies and Psychosocial Action Team Political Parties/Parliament Fredy, Peccerelli, Foundation for Forensic Gramajo, Valentín, Patriota Party Anthropolgy of Guatemala Herrera, Jorge Humberto, Patriota Party Gil, Angel Berna, Guillermo López, Julio César, Fronte Republicano Toriello Foundation Guatemalteca, Member of Parliament Godoy, Verónica, Institution for the Meyer, Eduardo, Unidad Nacional de Monitoring of Public Security la Esperanza Gonzalo Marroquín, Director, Nuila, Hector, Unidad Revolucionaria Prensa Libre Nacional Guatemalteca
94 ANNEX 4 Romero, Wilson, Unidad Revolucionaria HAITI CASE STUDY Nacional Guatemalteca Ruiz, Rogelio Orozco, DCC United Nations System Weyman, Eduardo, Fronte Republicano Brahimi, Lakhdar, Special Adviser, Guatemalteca, Member of Parliament Executive Office of the Secretary-General Project Staff Dwan, Renata, Coordinator, Best Aquilar, Carlos, UNDP Practices Unit, UN DPKO Armijo, Roberto, International Labour Gonzalez-Regueral, Adriano, Organization (ILO)/UNDP UNICEF Representative Cajón, José Paulino Boch, National Civil Guéhenno, Jean-Marie, Under-Secretary- Society Programme General, UN DPKO Escobedo, Lourdes, Council of Harrild, Niels, Programme Administrator, Protected Areas Post-Conflict and LICUS Trust García, Iván, Director, Project for Human Funds, World Bank Security and the Prevention of Violence Karl, Judith, Post-Crisis Cluster, UNDGO Guachiac, Manuel Tioc, Pueblo Kiché McInnis, Luis Jimenez, Political Affairs Ixmucur, Genaro, National Civil Officer, UN DPA Society Programme Reitano, Tuesday, Programme Specialist, Izaguirre, Carlos, Adviser, Project for the UNDGO Strengthening of Civil Society Weisbrod-Weber, Wolfgang, Director, Julajuj, Marta Julia, FORPAZ Europe and Latin America Bureau, López, Virginia, Social Analyst UN DPKO Mancía, Ana Elsa, Vivamos Mejor Martínez, Leonardo, International UNDP Consultant, Project for Strengthening Austly, Freddy, UNDP-Haiti the National Civil Police Batchelor, Peter, Team Leader, BCPR/ Matute, Arturo, National Director, Small Arms and Demobilization Unit Project for the Control of Small Arms Bazile-Finley, Jocelline, Deputy Assistant Melgar, Alex Salazar, Ministry of Administrator, BOM Agriculture, Livestock and Food Boutin, Geneviève, RBLAC Mutcar, Martín, Civil Society Compas, Janie, Finance Officer, UNDP Pablo, Manuel Reanda, Pueblo Tz’utujiles Diotte, Jacques, UNDP/Justice and Pinzón, Ana Gisela, Multisectoral Prisons Projects Programme for Women Dupuy, Arnaud, UNDP-Haiti Pinzón, Mónica, Coordinator, Community Etienne, Kettly, Human Resources Mental Health, Programme for the Officer, UNDP Dignity and Psychosocial Assistance Franche, Marc-André, RBLAC for Victims of Armed Conflict Gleeson, Brian, Director, Office of Quí, Rietti Seude, Indigenous Human Resources Management Development Fund Guindo, Adama, Deputy Special Reyna, Bryan, Vivamos Mejor Representative of the Secretary- Rodríguez, Sucely, Social Works of the General, MINUSTAH First Lady of Guatemala Houngbo, Gilbert, Director, Regional Rosada, Héctor, Security Consultant Bureau for Africa Salazar, Fernando, Departmental Jenks, Bruce, Director, BRSP Development Council (CODEDE) Ladouceur, Daniel, UNDP/ Saquec, David, Project for the Disarmament, Demobilization Development of Santiago and Reintegration Project (PRODESSA) Lafrenière, Luc, BCPR/Small Arms Wiu, María Isabel, Pueblo Mam and Demobilization Unit
LIST OF PERSONS CONSULTED 95 Lloreda, Maria Lucia, RBLAC Vera, Andrea Marco, Infrastructures Maguire, Linda, BDP Section, European Union Matera, Michel, UNDP-Haiti Wainright, Yves-André, Minister of Morel, Marc-Antoine, BCPR/Small the Environment Arms and Demobilization Unit Canadian Forces College Ohiorhenuan, John, Deputy Director, BCPR Rawley, James W., Deputy Director, BCPR SIERRA LEONE CASE STUDY Rodriguez, Alvaro, BDP Rouzier, Philippe, UNDP United Nations System Officials at FAO, UNHCR, the Others UN Industrial Development Apaid, Andy, Coordinator, Group of 184 Organization and the World Health Auguste, René-Max, Member of the Organization (WHO) Board, 2005 Chairman, American Chamber of Commerce in Haiti UN Integrated Office in Sierra Leone Bazin, Henri, Minister of Finance Nega, --, Peace Unit and Economy Bernard, Jacques, Director-General, UNDP-Sierra Leone Provisional Electoral Council Angelo, Victor, Special Representative Bernardin, Guy, Chief of Staff, Ministry of the Secretary-General and of Finance and Economy UNDP Resident Representative Bevan, John, Director of Political Affairs Assanga, Nancy, Country Director and Planning, MINUSTAH Bauke, Transition Support Team César, Paul-Emile, World Vision Coordinator, Recovery Unit Dorléans, Henri M., Minister of Justice French, Lona, Recovery Unit Jadotte, Hérard, Secretary-General, Notre Kamara, Mohamed, Project Coordinator, Dame University of Haiti Arms for Development Jean, Robert, Director-General, Ministry Ljunggren, Bengt, Head, Recovery Unit of Planning and External Cooperation Muana, Joseph, Project Coordinator, Julien, Kettly, Director, IMED (human Resettlement and Reintegration rights organization) Programme Kerst, Erna, Director, USAID Sandy, Jonathan, Head, Governance Unit Latortue, Gérard, Prime Minister Shaw, Wahab Lera, Programme Specialist Lavoix, Jean, Coordinator, Group of 184 (youth), Recovery Unit Le Chevallier, Gérard, Head, Electoral Tanzila, --, Governance Unit Assistance, MINUSTAH Vincent, Emma, Communications Maingé, Claude, Expert, Post-conflict Officer, Recovery Unit situations, European Union Meissner, Luc, General Administrator, World Bank Médecins du Monde Sackey, James Montour, François, Counsellor and Chief of CIDA Others Morneau, Jacques, former Chief of Staff, Bellini, Chiava, European Union MINUSTAH Bike Riders Association Pierre-Louis, Michèle D., Director, Brima, Sidiki, Minister of FOKAL (cultural and community Local Government & service organization) Community Development Rousseau, Christian, Secretary-General, Chairman and other beneficiaries (youth) Conseil des Sages (Council of of Magburaka Town Wise Persons) Collier, Alfred, Regional Coordinator, Soukar, Michel, journalist, Radio Signal FM Civil Society Coalition Group
96 ANNEX 4 Gaima, Emmanuel, Director, Bozhko, Sergei, Programme Officer, Decentralization Secretariat UN Office on Drugs and Crime John, Nat, Assistant Director, Provincial Denizer, Cevdet, Chief Economist, Security, Office of National Security World Bank Kebbay, Coordinator, Development Galino-Velez, Francisco, UNHCR Assistance Coordination Office Representative Keilie, Francis, Programme Coordinator, Kelbert, Thekla, Head of Office, Sierra Leone Border Strengthening UN Coordination Unit Programme, Office of National Security Longy, Albert, Coordinator, FAO Koroma, Anthony, Director of Youths, Mokuo, Yukie, UNICEF Ministry of Youth and Sports Assistant Representative Koroma, Konah, Development Secretary, Naderi, Mahmood, Chief of Mission, Ministry of Development & International Organization for Migration Economic Planning Owen, Daniela, Country Director, Laggis, Andreas, Head of Operations, World Food Programme (WFP) European Union Sotirov, Vladimir, Representative of Mambu, Charles, Chairman, Civil Society the Secretary, UN Tajikistan Office Coalition Group of Peace-building National and international NGOs Turakhanova, Dilbar, ILO National Commission for Social Action Nyandemoh, Sia, Women’s Wing, Civil UNDP Society Coalition Group Alinazarov, Alinazar, National Programme Lansana, Philip, Reintegration of Delivery Officer, UNDP Ex-combatants, Civil Society Bobokhonov, Jumakhon, Administration Coalition Group and Finance Associate, UNDP Pekuri, Kirsi, Head of Economic, Bosc, Igor, Deputy Resident Trade and Regional Cooperation Representative, UNDP Section, European Union Daylatova, Nisso, Programme Assistant, Rogers, John, Desk Officer, Office of UNDP National Security Diawara, Cheikckna, Project Manager, Sannoh, Wusu, Chairman, Support to Poverty Reduction Bo Town Council Strategy, UNDP/MDG Sesay, Abraham, Deputy Minister of Federsel, Uwe, Programme Delivery Development & Economic Planning Manager, UNDP Sheinberg, Diane, Junior Expert, Guliev, Abdullo, Area Manager, European Union Kulab, UNDP Stuart, Ian, Consultant, DFID Halimov, Abdusattor, Water Engineer, Transition Support Team field officers UNDP Williams, Tennyson, Country Director, Igamberdiev, Shuhrat, Programme Action Aid International Analyst, UNDP Karimova, Tahmina, Project Manager, TAJIKISTAN CASE STUDY Anti-corruption Project, UNDP Kelbert, Thekla, Head of Office, United Nations System UN Coordination Unit Akramova, Zukhra, UN Institute for Khoshmukhamedov, Sukhbrob, Assistant Training and Research Resident Representative, UNDP Artykova, Nazira, Liaison Officer, WHO Lawrence, William, Chief Technical Azizova, Nargiz, Gender and Governance Adviser, Tajikistan Mine Action Cell Adviser, UNIFEM Mahmoudov, Ahad, Programme Manager, Bobodjanova, Munzifa, UN Educational, UNDP Communities Programme Scientific and Cultural Organization Nazarov, Daler, Security Assistant, UNDP (UNESCO) National Commission Narzibekov, Massoudbek, National
LIST OF PERSONS CONSULTED 97 Programme Analyst, UNDP Manija Information Centre Nilsson, Karl, Communications Officer, National Association of Politologists UNDP of Tajikistan Paton, William, UN Resident Coordinator/ Panorama Social Research Centre UNDP Resident Representative Umarov, Khojimurod Yardley, Steven, Coordinator, Border Zaharieva, Lilia, National Human Management Programme in Rights Commission Central Asia/ Central Asian Zerkalo Research Centre Drug Action Programme Government Ministries or Services International Donors/ Bobokhonov¸ Bobojon, Office of the International Organizations Prosecutor General Argo, Peter, Country Officer, USAID Davlat, Nabiev, Deputy Chairman, Couanon, Alan, Organization for Muminabad District Security and Co-operation in Faizullaev, Nustrullo, Ministry of Health Europe (OSCE) Representative Gulbarg, Boqieva, Chairman, Jamoat International Crisis Group Kulchashma, Muminabad District Lagus, Maria, SIDA Karimov, Abdulvohit, State Committee on Pichon, Cecile, Corresponent, European Environmental Protection & Forestry Khushvaktova, Nozigul, Poverty Commission’s Humanitarian Aid Office Reduction Strategy Paper Monitoring Rajabov, Shuhrat, DFID Representative Unit, Office of the President Saito, Yukiya, Project Manager, Najmidinov, Safarali, Ministry of Finance European Delegation Nazarmad, Madaminov, Chairman of Zuest, Daniel, Representative, Panjob Jamoat Resource Centre, Swiss Cooperation Hamadoni District (plus six members) Nazarov, Talbak, Ministry of Foreign Affairs National NGOs Safarali, Gulov, Chairman, Committee on Religious Issues Hamadoni District Foundation to Support Civil Initiatives Safarli, Zokirov, Chairman, ‘Dastgirie Centre’ Muminabad District Gender and Development Savarbi, Gozieva, Deputy Chairman, Human Rights Information Centre Kulchasma Jamoat Resource Centre, Tradition and Modernity Muminabad District (plus 12 members) Youth 21st Century Shamzov, Nuriddin, Ministry of Foreign Affairs Ziyoev, Mirzo, Ministry of Emergencies Political Parties Zuhurov, Saidamir, State Border Boboyev, Olimjon, Chairman, Economic Control Committee Reform Party of Tajikistan Iskandarov, Mahmudruzi, Chairman, Independent Academics and Democratic Party of Tajikistan Civil Society Organizations Nazriyev, Mirhuseyn, Chairman, Asadullaev, Iskander Socialist Party of Tajikistan Association of Scientific and Nuri, Sayeed Abdullo, Chairman, Technological Intelligence Islamic Revival Party Ilolov, Mamadso Qaraqulov, Amir, Chairman, Independent National Association of Agrarian Party of Tajikistan Mass Media of Tajikistan Shabdolov, Shodi, Chairman, Kabutar Independent Analytical Communist Party of Tajikistan Research Centre Zoirov, Rahmatullo, Chairman, Social Mamadshoev, Marat Democratic Party of Tajikistan
98 ANNEX 4 Annex 5 Select Bibliography
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110 ANNEX 5 Majlis Oli of the Republic of Tajikistan. UN Country Team. 2004. ‘Moving 19 June 2002. ‘Resolution of the Mountains: The United Nations Majlisi Naoyandagon, Majlisi Oli Framework for Development of the Republic of Tajikistan about Assistance to Tajikistan Approval of the Poverty Reduction 2005-2009’. Dushanbe, Tajikistan. Strategy Paper’. Dushanbe, Tajikistan. UNDP.‘UN Resident Coordinator’s MDG Needs Assessment Team. Country Profile’. Dushanbe, Tajikistan. ‘Millennium Development Goals UNDP. 2002. ‘Cumulative Assessment Needs Assessment, Tajikistan Report’. of Results of UNDP Tajikistan Draft for discussion. Dushanbe, 2000-2002’. Tajikistan. UNDP. March 2004. ‘Draft Country Musisi, Christine. March 2002. ‘Women Programme Document for Tajikistan in Development Project in Tajikistan 2005-2009’. Dushanbe, Tajikistan. (TAJ/97/004)’. Evaluation Mission Report. Bratislava: UNDP’s Europe UNDP. 2004. ‘Tajikistan Multi-year and CIS Regional Centre /Sub- Funding Framework Results Report regional Resource Facility. 2004’. Dushanbe, Tajikistan. Office of the United Nations Resident UNDP Bureau for Crisis Prevention Coordinator in Tajikistan. January and Recovery. November 2002. 2002. ‘UN Resident Coordinator’s ‘Development Support for Peace Annual Report for 2001’. Dushanbe, Consolidation and Conflict Prevention Tajikistan. in Tajikistan and Kyrgyzstan’. Report of the UNDP/BCPR Mission to Republic of Tajikistan. June 2002. Kyrgyzstan and Tajikistan, 15 July- ‘Poverty Reduction Strategy Paper’. 3 August 2002. Dushanbe, Tajkistan. UNDP Regional Bureau for Europe and Republic of Tajikistan and the United the CIS. September 2000. ‘Country Nations. 2003. ‘Progress Towards the Programme Review for Tajikistan’. Millennium Development Goals’. Tajikistan. UNDP Regional Bureau for Europe and the CIS. January 2003. ‘Strategy for Republic of Tajikistan and UNDP. 2004. Central Asia 2003-2005’. ‘Country Programme Action Plan 2005-2009’. Dushanbe, Tajikistan. UNDP-Tajikistan. 2002. ‘Results-oriented Annual Report 2002: Tajikistan’. United Nations. November 2004. ‘Information Platform on Tajikistan: UNDP-Tajikistan. 4 January 2006. Printout for the Consultative Group ‘Gender Mainstreaming Action Plan’. Meeting'. Dushanbe, Tajikistan. World Bank, Social Development Unit, United Nations. 2005. ‘Moving Eastern Europe and Central Asia Mountains: The UN Appeal for Region. March 2005. ‘Tajikistan Tajikistan’. Dushanbe, Tajikistan. Gender Review’. Washington, DC. UN Country Team. 2003. ‘Moving Mountains: A United Nations Assessment of Development Challenges in Tajikistan’. Common Country Assessment for Tajikistan’. Dushanbe, Tajkistan.
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Annex 6 UN Coordination Mechanisms for Peace Strategies
Coordination mechanisms and instruments Secretary-General) and also, periodi- have proliferated in conflict-affected cally, the UN High Commissioner countries—particularly where there has for Refugees, provide reports to the been a concerted international response. Security Council, which determine the Indeed, it is sometimes difficult to see how structure and resources of peacekeeping these various coordination mechanisms can missions. Progress is monitored strictly coordinate among themselves. There is an within the framework of the (short-term) urgent need to streamline and simplify such parameters of the Security Council mechanisms and infuse them with clearer mandate. The developmental and approaches and strategies for dealing with institutional aspects of the transition UNDP’s operations in conflict-affected are not independently reported on countries. Additional guidance and support (for example, by the Administrator of is required from UN Headquarters on UNDP) and are rarely explicitly covered how the various arms of the UN system in the formal report presented. As a should work together in the context of an result, key structural and institutional integrated office.1 concerns remain peripheral, raising the potential for regression upon the completion of the Security Council GLOBAL AND OTHER mandate. Furthermore, as discussed COORDINATION MECHANISMS elsewhere in the evaluation, despite the Coordination mechanisms exist at several move towards integration, the develop- levels. At the global level for countries with ment arm of peacekeeping operations is a Security Council mandate, there are two never funded from the assessed budget principal mechanisms: defined by a Security Council resolution. n Security Council: The Security Council n International pledging conferences: Needs constitutes a forum for decision-making assessments covering humanitarian and that sets the overall direction for the development needs are presented by international community in countries the UN system and, now, increasingly, with peacekeeping or peace-building by the World Bank at international missions. It focuses principally on pledging conferences in support of a stabilization and the humanitarian peace process. Since the development response. However, because of its component of a post-conflict response enforcement function, the Security is not covered by the assessed budget Council presents the only reliable authorized by the Security Council, these means for UNDP to apply pressure to pledging conferences are the principal effect structural changes at the country source of funding for development level. The head of the UN mission activities in support of a peace process. (usually a Special Representative of the UNDP and the UN Country Team
1 An initiative on the part of the Department of Peacekeeping Operations to jointly prepare a ‘United Nations Manual for Multidimensional Peacekeeping’ that would have helped establish a frame of reference and standard procedures for the UN system and the World Bank was completed in 2002, but the manual was never promulgated due to objections from some entities within the system.
UN C OORDINATION MECHANISMS FOR PEACE STRATEGIES 113 generally play a critical support role assistance and development cooperation. in the preparation of joint needs The UNDP Administrator represents assessments for such pledging confer- the UN Development Group and ences (see below), but take a back seat UNDP at such meetings. The ECPS in the conferences themselves. Pledging meets according to need to discuss conferences are heavily dominated by broad policy issues pertaining to countries current donor interests and needs. And in conflict or countries of particular they are increasingly led by the Bretton political concern. It constitutes a forum Woods institutions, which represent for UNDP to draw attention to some of the development side of the equation the key structural concerns pertaining because of their role in the management to peace-building and recovery.2 of debt as well as grants, and by the Inter-agency Standing Committee (IASC): Special Representative of the Secretary- n The IASC is a forum established in General, representing the political response to General Assembly resolution side. Both objectively identified needs 46/182 on strengthening humanitarian as well as ongoing plans of donors are assistance. It is chaired by the Under- presented without real distinction. Secretary-General for Humanitarian Such conferences are as much intended Affairs and is composed of key as a show of resolve and political humanitarian agencies of the UN support on the part of the international system, international organizations community as commitment to the (such as the International Committee structural aspects of post-conflict for the Red Cross) and select NGOs.3 transition. As a result, experience has Though UNDP is a member of the been that the actual appropriation of IASC, the heaviest emphasis is placed funds and most certainly their on the coordination of humanitarian commitment and disbursement under assistance and the monitoring of specific programmes is subject to humanitarian needs assessments and extensive delays. appeals for funding. To the extent that it does the latter in the context of Within the UN itself and beyond, the pledging conferences for countries in following coordination mechanisms are conflict, it is relevant to post-conflict used at different levels in the case of peace-building. Meetings are held in conflict-affected countries: New York and Geneva based on need. n Executive Committee for Peace and Security The IASC develops humanitarian (ECPS): Chaired by the Under-Secretary- policies, agrees on a clear division of General of the Department of Political responsibility for the various aspects Affairs in New York, this Committee of humanitarian assistance, identifies brings together the lead departments, and addresses gaps in response, and funds and programmes of the UN system advocates for effective application of on peace and security, humanitarian humanitarian principles. Together
2 The Executive Committee for Development Operations, or UN Development Group, chaired by the Administrator of the UNDP, is the principal Headquarters-based mechanism for the coordination of development operations of the UN system, and is attended at the level of heads of departments, funds, programmes and specialized agencies. Conflict-affected countries are, however, rarely a principal focus of the committee’s sessions. 3 The IASC membership includes the Office for the Coordination of Humanitarian Affairs (OCHA), (chair), Office of the UN High Commissioner for Refugees (UNHCR), UN Children’s Fund (UNICEF), UN Population Fund (UNFPA), UNDP, World Food Programme (WFP) and the World Health Organization (WHO). Standing invitees include: the Office of the UN High Commissioner for Human Rights (OHCHR), The World Bank, the International Committee of the Red Cross, International Council of Voluntary Agencies, International Federation of Red Cross and Red Crescent Societies, American Council for Voluntary International Action (InterAction), International Organization for Migration (IOM), Representative of the Secretary-General for IDPs, and the Steering Committee for Humanitarian Response.
114 ANNEX 6 with the Executive Committee for integrated peace-building or peace- Humanitarian Affairs (ECHA), the keeping missions. In most such cases IASC forms the key strategic coordi- (as in Tajikistan and Guatemala), the nation mechanism among major UN Resident Coordinator has usually humanitarian actors. opted to co-chair the meetings with the Representative of the Secretary- n Inter-departmental Framework for General. Leadership has sometimes Coordination on Early Warning and been contentious, but generally the Preventive Action (the ‘Framework Team’): lead function has gradually shifted The Framework Team, created in 1995 from the Representative of the as an informal, inter-departmental Secretary-General to the UN Resident mechanism to identify countries Coordinator as the peacekeeping or requiring special attention before peace-building operation phases out. intensive armed conflict sets in, has grown to include 24 entities of the UN n Inter-agency coordination meetings: In system. The World Bank participates many countries (such as Afghanistan on a selective basis. Membership spans and Sierra Leone), the Resident the peace and security, development Coordinator or Deputy Special and humanitarian assistance sectors. Representative of the Secretary- A recent evaluation suggested that the General responsible for humanitarian Framework Team could benefit from a and development operations chairs clearer conceptual framework in which broader meetings of most of the it could organize programme strategies. key development and humanitarian It also recommended that the Team agencies in the country concerned. work towards identifying needs earlier Such meetings include international in the process; transcend the current organizations, bilateral agencies, inter- phased approach; and become more national NGOs and the international formalized in order to ensure effective financial institutions. Thematic working follow-up either directly or through the groups are often established based on ECPS, to which it currently reports.4 need, and these are chaired by lead The UNDP has played an important agencies that have a particularly strong role in the Framework Team throughout presence in the thematic area or sector and has chaired it repeatedly. concerned. National representatives tend to be invited to these meetings At the country level, a variety of coordina- only sporadically. tion mechanisms also exist: n Ambassadors’ meetings: In many countries, the UN Resident Coordinator convenes n UN heads of agency meetings: UN heads meetings of heads of missions to discuss of agency meetings are convened and political developments and policy chaired by the Resident Coordinator of issues. These meetings are informal the UN System/Resident Representative and are not binding in any way. of UNDP. Representatives of all UN funds and programmes and specialized n National coordination mechanisms: In most agencies participate. In most instances, countries, UNDP provides support World Bank and IMF Representatives to national coordination mechanisms also attend. There is no formal guidance through advisers, funding and systems from UN Headquarters regarding support. The lead ministry for this coordination in the case of non- purpose is usually the Ministry
4 Pillay Rajeev. August 2004. The Inter-departmental Framework for Coordination on Early Warning and Preventive Action (‘The Framework Team’): An External Evaluation. Commissioned by the Framework Team with funding from the governments of Sweden and the United Kingdom. Abacus International Management LLC.
UN C OORDINATION MECHANISMS FOR PEACE STRATEGIES 115 of Economy and Planning or the and feed into World Bank-led Ministry of Finance. In the case of the pledging conferences for the mobiliza- immediate post-conflict environment, tion or resources, have been conducted however, this poses special problems for Afghanistan, Iraq, Liberia, Muslim since development assistance is viewed Mindanao (the Philippines), Somalia, as a means of influencing political Sudan (joint assessment mission) and outcomes. Such mechanisms are Timor-Leste.5 In most such instances, therefore given less importance or are UNDP engages with the World Bank chaired by the UN with participation through its regional bureau, the Bureau of all of the parties to the peace for Crisis Prevention and Recovery and agreement, rather than the government the UN Development Group Office, alone. In the case of Tajikistan, several which represents the operational agencies years into the post-conflict period, of the UN as a whole. Joint needs the UN Resident Coordinator has assessments are divided into sectoral encouraged the creation of a series missions and, at the insistence of the of (controversial) thematic national World Bank, the UNDP has usually coordination mechanisms centred around been restricted to leading the mission the Millennium Development Goals on local governance. Governance at as an alternative. These are nationally the centre is either managed outside run forums for the coordination of the framework of the joint needs both domestic resources and ODA. assessment, as in the case of Iraq (by the United States Government) or by the World Bank itself. Joint needs IN-COUNTRY INSTRUMENTS assessments enable the entire UN FOR COORDINATION system to be involved in their areas of In the immediate post-conflict period, expertise and have, increasingly (as in most of the instruments that apply in the the case of Sudan), attempted to case of countries in normal development estimate the availability and allocation circumstances and require extensive of both domestic resources as well as government involvement are suspended. ODA. They have also attempted to This is because, in most instances, there are factor debt into the equation. The multiple parties involved in a peace process quality and methodology followed in and, pending free and fair elections, there is the joint needs assessments have varied no internationally recognized government considerably. Most have been heavily in place. Over the past decade, however, dominated by international consultants several instruments specifically adapted to and agency staff, while some (such as conflict-affected countries have been Sudan) have included the full involve- developed to serve as a frame of reference ment of senior advisers from the for substantive programming, monitoring, various sides of the peace agreement evaluation and resource allocation. throughout. The latter approach is clearly the most appropriate if national Joint needs n Joint needs assessments: ownership is to be fostered in the assessments are intended to lay down the long run. substantive framework for programmes in support of a peace agreement. They Joint needs assessments have generally are linked to international pledging been linked to pledging and the conferences and the global trust funds. establishment of country-specific global Such needs assessments, which are trust funds administered by the World increasingly led by the World Bank Bank in Washington, DC. Funds
5 Drawing on the experience gained in conflict-affected countries, a joint needs assessment was also under- taken for tsunami-affected countries.
116 ANNEX 6 earmarked for thematic or sectoral the UN Country Team’s involvement activities are contributed to the fund in peace-building. and projects submitted by agencies (UN and others) are approved by the n Direct budget support: Direct budget World Bank following a prioritization support has become an increasingly of proposals at the country level. This important instrument for the coordi- includes projects now implemented nation of assistance to certain sectors in through grant funding by the World post-conflict situations. For example, Bank itself. This has resulted (fairly or the civil police force in Afghanistan was unfairly) in accusations of manipula- established and managed by UNDP tion of the fund to favour World Bank with bilateral donor funding through initiatives (as in Sudan) and in sector-wide approaches (SWAps). extensive delays (as in Afghanistan and UNDP’s capacity in-country and the Timor-Leste), resulting in donors relative rapidity with which it is able establishing trust funds in parallel to mobilize to manage such funds in through UNDP. In general, UNDP the absence of reliable national capacity has been found to be quicker and more has meant that it is becoming a nimble in the management of funds, preferred administrator of SWAps. while providing acceptable levels of SWAps can help to enforce a policy accountability. The establishment of this framework for the management of mechanism has also clearly facilitated a sector. Yet in Afghanistan it was access to grant funding on the part of noted that there was no explicit policy the World Bank and extended the scope framework or strategy established for its involvement in post-conflict for the management of budgetary situations, even where conditions do support. As has been discussed in the not permit lending. case study reports, the UNDP should n The United Nations Development use its role in the management of Assistance Framework (UNDAF): This direct budget support to help establish joint programming tool for UN agencies policies for the implementation of has, in some instances, been adapted to capacity development programmes fit the specific needs of post-conflict and the strengthening of the institu- countries and to lay a framework for tions concerned.
UN C OORDINATION MECHANISMS FOR PEACE STRATEGIES 117