UN Peacekeeping Operations: Features of Arms and Equipment Procurement

Rebizov Nikita Il'ich PhD in History Post-graduate student at the Department of Theory and History of International Relations at RUDN. 117198, Russia, Moscow, Miklukho-Maklaya str., 6 rebizovnik@gmail.com

IntroductionThe peacekeeping activity of the United Nations has been repeatedly criticized in connection with various aspects of its activities, whether it is sexual violence, pedophilia, non-compliance with orders, criminal inaction.

However, the systemic problem of the procurement of weapons and other equipment intended for UN peacekeeping forces often remains in the shadows. In order to identify the weaknesses of the previously mentioned process, there is a need for a detailed study of the authorized hierarchy of UN peacekeeping, the process of forming new peacekeeping operations, the structure of the acquisition of weapons both with the help of "letters of orders" and on the basis of international competitive bidding. Moreover, it is necessary to determine the place of the Russian Federation in this system in order to compare domestic and foreign experience of interaction with the United Nations in the peacekeeping industry.

Based on the problem of transparency of the system of procurement and lease of UN weapons and equipment, there is a need to draw up a step-by-step instruction, including an analysis of the preliminary requirements for the supplier, the UN Supplier Code and various levels of registration with a list of necessary documents for the registration of suppliers and the participation of the latter in international competitive bidding.

This study is based on the theory of political realism, which consists in the domination of strong states in the international arena, protecting their national interests. The theory of political realism interprets peace as a non-permanent phenomenon, often replaced by conflicts or even wars, in connection with which peacekeeping is actually necessary.

In the process of research, the author applies problem-chronological, institutional, analytical methods. Moreover, the tools of content analysis of statistical data, event analysis and database analysis are used.

  Levels of authority in UN peacekeeping operations The levels of authority in UN peacekeeping operations are divided into 3 levels:

1. Strategic

2.                 Operational

3.                 Tactical

All 3 of the above levels reflect power, command and control, respectively. The highest strategic level also has the highest powers, as it includes the work of the UN Security Council, the UN Secretariat (Including the Department of Peacekeeping Operations (DMO) ^[10], the Department of Operational Support (DOP) ^[11] (until 2018), the Department of Political Affairs and Peace-Building (DPWM) ^[12]), the activities of the UN Secretary-General. Moreover, the strategic level also includes the activities of the head of mission.

The operational level also includes the activities of the head of mission. This level is the main one when conducting a mission, as it is closely related to strategic and tactical. In addition to the head of mission, the operational level of peacekeeping missions includes the headquarters of the mission and its steering group, which are subordinate to the heads of all components of the missions.

The tactical level includes the heads of the mission components subordinate to civilian units (Military units, police units). Moreover, the tactical level also includes regional branches of missions.

It is important to understand that the deployment of a UN peacekeeping operation is based on the mandates provided by the UN Security Council. Regardless of the tasks set, a peacekeeping operation cannot be launched without a mandate from the UN Security Council ^[13], which is engaged in maintaining international peace and security, making decisions about the time and place of deployment of a UN operation ^[14].

The process of forming new UN peacekeeping operations1. The decision of the UN Security Council to conduct a new UN peacekeeping operation.

2.                 Preliminary consultation to determine the most effective response measures. This process includes requesting a strategic assessment by the UN Secretary General in order to determine all possible options for UN participation.

3. Technical assessment on the ground, which includes sending a special UN mission to the region of a potential or ongoing conflict in order to assess security in the region, analyze the political, military and humanitarian situation, and the human rights situation. Based on the collected data, the UN Secretary-General submits a report to the Security Council: the number of mission personnel, the amount of resources needed for the mission, and a preliminary cost estimate.

4.                 If the Security Council assesses the conduct of the mission as the most favorable option, the Security Council adopts a resolution setting out the mandate, the size of the operation's forces, the tasks for which the mission will be responsible, officially authorizing the conduct of the mission.

5. The General Assembly, shortly after the adoption of the resolution, establishes a budget and resources for the mission.

6. The Secretary-General appoints the Head of the mission, who is responsible to the Under-Secretary-General for Peacekeeping Operations at UN Headquarters.  Moreover, the Secretary-General appoints the Force Commander, the Police Commissioner and senior civilian personnel. The Department of Peacekeeping Operations (DMO) and the Department of Operational Support (DOP) are engaged in the further selection of civilian personnel.

7.                 The planning of various aspects of the operation (political, military, operational and auxiliary) is carried out simultaneously by the head of the mission, the DMO and the DOP. At this stage, a joint working group or integrated task force is established, which includes all relevant UN departments, funds and programmes.

8. The mission deployment process takes into account the security and political conditions on the ground. It often begins with the nomination of an operational group and the organization of a headquarters ^[15].

  Lease and purchase of UN weapons with the help of "letters of orders"The functioning of United Nations peacekeeping missions requires weapons and other equipment that contribute to the establishment of peace and security in the region.

The armament of the military personnel of the UN peacekeeping forces can be used exclusively for self-defense ^[16].

 Ideally, States sending a military contingent to the UN mission site should provide their personnel with the necessary equipment to carry out the mission. However, often the troops of various states arrive understaffed. Because of this, the UN is forced to purchase equipment at the expense of voluntary contributions from Member States.

The purchase itself is carried out as follows: about 25% of all weapons purchased for UN peacekeeping operations are carried out with the help of "Letters of Order" - Letters of Assist (LOA), which are documents sent on behalf of the UN to the government authorizing the government to provide goods or services to a peacekeeping operation. The process of sending letters of orders is led by Assistant Secretary-General for Supply Chain Management (Assistant Secretary General for Supply Chain Management) (since 2019, this position has been held by Englishman Christian Saunders ^[17]) in connection with the delegation of similar powers to him by the USG DOS - Under–Secretary-General Department of Operational Support ^[18]. The United Nations agrees either to purchase goods or services or to authorize the Government to supply them, subject to reimbursement by the United Nations. The letter of order, as a rule, specifies what should be provided by the Government providing troops, and sets a funding limit that cannot be exceeded ^[19]. This procurement system does not involve open bidding. In case the government provides rations and transportation, the UN reimburses the "Order Letter"^[20]. This system is used due to the inability of commercial organizations to ensure that the product or service meets the requirements or:

1.                 Goods and services are strictly unified;

2.                 Goods and services are not available when contacting commercial organizations;

3.                 Transportation services for the movement of mission personnel;

4.                 Food products unique to the contingent, the purchase of which is facilitated by contacting the government of the contingent.

Lease and purchase of UN weapons through international competitive bidding The rest of the weapons and/or property are purchased under the system of international competitive bidding.

The Procurement Department of the UN Secretariat is responsible for their procurement ^[21]. This activity takes place with the help of a new "ERP" system - Enterprise Resource Planning (Enterprise Resource Planning), which was implemented in 2021 as "ERPSD" - Enterprise Resource Planning Solution Division ^[22], called Umoja.

In turn, potential suppliers themselves must register in the "UNPD" system - United Nations Procurement Division through the "UNGM" system - United Nations global market - a single portal for the registration of UN suppliers. This procedure provides access to all departments of the UN Secretariat, including peacekeeping operations.

As part of the registration process, suppliers must declare that they meet the prerequisites for eligibility:

1.                 The company is not affiliated with companies or individuals subject to the UN procurement ban. The supplier can get acquainted with the list in the Collection of sanctions lists of the UN Security Council.

2.                 The Company is not currently removed or suspended from such activities by the United Nations or other UN agencies, including the World Bank.

3.                 The company is not the subject of an investigation and has not been held accountable for the previous three years by any law enforcement agency of a UN Member State. The list of illegal actions includes corruption, fraud, collusion, coercion, etc.

4.                 The Company has not declared bankruptcy, is not in a state of bankruptcy proceedings, there are no court decisions or lawsuits against it that could hinder its activities in the foreseeable future.

5.                 The Company does not have a United Nations employee on its staff who has held any post at the United Nations over the past year.

6.                 The Company undertakes not to engage in prohibited practices referred to in paragraph 3 in relations with the UN or any other party, to conduct business in such a way as to avoid any financial, operational, reputational or other risk to the UN.

In case of any changes in the supplier's condition with respect to the items mentioned above, the supplier is obliged to notify the UN immediately. In case of non-compliance with this requirement, the supplier is automatically deprived of the right to do business with the United Nations ^[23].

In case of compliance with all the above requirements, the supplier must familiarize himself with the "UN Supplier Code of Conduct" - the UN Supplier Code, which includes the following points:

1. Scope of application. The provisions of this code must be communicated to each employee of the company, each subsidiary, affiliated entities and subcontractors in their native and understandable language. The supplier must recognize that the provisions of this code provide the minimum standards expected of the supplier. The supplier must understand that certain provisions of this Code are binding in the event of a contract with the UN. Failure to comply with the provisions of this code may deprive the supplier of the right to participate in the competition.

2. Continuous improvement. The United Nations expects suppliers to strive to exceed both international and industry best practices. The UN expects its suppliers to encourage their own suppliers and subcontractors to cooperate to ensure compliance with the principles of this code. The United Nations recognizes that the standards set out in this code of conduct are a dynamic rather than a static process and encourages suppliers to continually improve working conditions.

3. Management, control and evaluation. The United Nations expects its suppliers, at a minimum, to have set clear targets for compliance with the standards set out in this code of conduct. The UN expects the supplier to modernize its management processes and operational operations to ensure compliance with the latter provisions of this code.

4.                 Freedom of association and collective bargaining. The UN expects its suppliers to recognize the right of workers to unite and defend their interests.

5.                 Forced or compulsory labor. The United Nations expects its suppliers to prohibit forced or compulsory labor.

6.                 Child labor. The United Nations expects its suppliers to prevent the employment of employees under the age of 14, or the age permitted by the legislation of the country; the employment of employees under the age of 18, whose work may harm their health, safety or morals.

7. Discrimination. The United Nations expects its suppliers to ensure equality, non-discrimination based on race, color, sex, religion, political preferences, national origin, social origin or any other forms of discrimination.

8. Wages, working hours and other working conditions. The United Nations expects its suppliers to ensure the payment of wages in national currency at regular intervals (no more than one month) in full. Wages, working hours and other working conditions provided by the supplier should not be less favorable than the best in the region.

9. Health and safety.The United Nations expects its suppliers to ensure safety at work: machinery is safe, chemicals and other toxic substances are properly controlled, protective equipment is provided to prevent the risk of accidents or adverse health consequences.

10.            Human rights. The United Nations expects its suppliers to prevent human rights violations.

11.            Harassment, cruel or inhuman treatment. The United Nations expects its suppliers to create and maintain a respectful attitude towards all employees, to prevent any kind of harassment, abuse and violence. Prior to entering into contracts with the UN, the supplier is required to provide information on standards of conduct prohibiting sexual exploitation or sexual abuse. The above standards include clauses on the prohibition of engaging in sexual acts with persons under the age of 18, regardless of any laws concerning adulthood and consent, on the prohibition of sexual activity in exchange for any material or non-material remuneration, on the prohibition of any sexual activity related to the exploitation or humiliation of human dignity. UN contracts include provisions obliging suppliers to take appropriate measures to prevent sexual exploitation and abuse. The supplier's failure to take preventive measures to prevent sexual exploitation and abuse may lead to the cancellation of the contract with the UN.

12. Mines.   The United Nations expects its suppliers to prevent the creation or sale of anti-personnel mines or their components.

13. Environment.  The United Nations expects its suppliers to implement effective environmental policies and comply with local environmental laws.

14. Chemical and hazardous materials. The United Nations expects its suppliers to ensure the safe handling, movement, storage, recycling, reuse and disposal of chemical and hazardous materials.

15.            Waste water and solid waste. The United Nations expects its suppliers to control wastewater and solid waste generated during operations.

16.            Emissions into the atmosphere. Emissions into the atmosphere must be under the strict control of the supplier.

17. Waste minimization, recycling maximization. Waste of all types should be reduced or eliminated, even if it is necessary to change the production process.

18.            Corruption. The United Nations expects its suppliers to adhere to the highest standards of moral and ethical conduct, respect local laws and prevent corruption.

19. Conflict of interest. The United Nations expects its suppliers to immediately report any situation that may constitute a conflict of interest, a UN official or a contract specialist interested in the supplier's business or any economic ties with the supplier.

20.            Gifts and hospitality. The UN does not accept any gifts. The UN does not accept any invitations to sports or cultural events, invitations to festive events, lunches and dinners. The United Nations expects its suppliers to prevent acts of donation to UN staff.

21. Restrictions after finishing work at the UN. The United Nations expects its suppliers to refrain from offering employment to any former UN employee who ceased his activities less than a year ago ^[24].

If the terms of the Code are accepted, the supplier must proceed to submit a certain list of documents, which depends on the level of registration. There are 3 levels in total:

1. Basic Level – the contract value is less than 150,000 US dollars. At this level, the supplier is required to provide information in an online format about the company name, the head of the company, the type of company, license number, country/region, contact phone number, number of employees; Company address, type of company registration, contact information (name, position, phone number, e-mail), trademarks codes (UNSPSC), application for the right to participate.

2. Level 1 (Level 1) – the contract value ranges from $150,000 to $500,000. At this level, the supplier is required to provide the same information in an online format as at the basic level, but to supplement it with at least three links, information about the company, for example, about its ownership. In Adobe Acrobat PDF format, the supplier is required to provide a valid certificate of registration or other document confirming the legal status of the supplier. The supplier must operate for at least three years.

3. Level 2 (Level 2) – the contract value is more than $ 500,000. At this level, the supplier is required to provide the same information as at the first level, but with the addition of at least three letters of recommendation and financial documentation for the last three years, including profit and loss statements, a balance sheet certified by financial departments or their equivalents, an audit report or an external accountant's report.

After registering at Level 1, suppliers can always switch to registering at Level 2.

After the registration of the company is completed and the documents are submitted by the supplier, UNPD begins to assess compliance with the requirements, completeness and quality of the information provided, relevance of goods and services, background information, experience, financial statements. Suppliers who have successfully passed the registration and verification of UNPD will be notified of the completion of their registration by e-mail on behalf of UNGM ^[25].

Summing up all of the above, it is possible to draw up a diagram of the process of procurement and lease of weapons by the United Nations: the Security Council decides to conduct a new UN peacekeeping operation ? Adoption of a UN Security Council resolution setting out the mandate, the size of the operation's forces, the tasks for which the mission will be responsible ? Establishment by the General Assembly of the budget and resources for the mission ? Appointment by the Secretary-General of the Head of Mission, Force Commander, Police Commissioner and senior civilian personnel ? The Assistant Secretary-General for Supply Chain Management sends letters of order to Governments, thus delegating to the latter the authority to provide goods and services to the peacekeeping operation (25% of the total assets of the operation) ? The Procurement Department of the UN Secretariat announces the holding of international competitive bidding on the ERP system using ERPSD, under the name Umoja.

The Russian Federation in the structure of procurement and lease of weapons and other equipment used in United Nations peacekeeping missionsThe Russian companies registered as suppliers at the time of June 1, 2022, include 46 companies, the largest of which are ^[26]:

1.                 VECTOR Aviation and Industrial Company LLC;

2. Rostvertol-Avia Airline CJSC;

3. GAZ Group;

4.                 LLC "A Priori, Translation Agency";

5.                 JSC Aviakon Cytotrans Airline;

6.                 IBS;

7. JSC "Red Wings";

8.                 JSC "Yakutia Airline";

9.                 Nizhnevartovskavia OJSC (in January-September 2015, the company provided aviation and transport services for $5,277,146.46);

10.             JSC "Vostok Aviation Company" in January-September 2015, the company provided aviation and transport services for $ 3,875,157.33);

11. UTair CJSC (in February 2020, the company provided aviation and transport services for $ 189,000) ^[27].

As we can see, most of the largest Russian companies working with the UN are engaged in the provision of aviation transport services, IT services, translation services and the supply of trucks. As for the equipment transferred by the Russian Federation, it is worth noting only the supply of 2 used heavy multi-purpose transport helicopters Mi-26. Moreover, the Russian Federation does not have a single document regulating the peacekeeping activities of the Russian Federation abroad ^[28].

For comparison, the states of the collective West supply the UN peacekeeping forces with completely different types of equipment:

1. In 2006, Belgium loaned 15 armored personnel carriers (APC) Pandur. These machines are armed with guns up to 120 mm in caliber.

2. In 2007-2008. The Czech Republic supplied the UN with 10 used OT-64A armored personnel carriers. This technique is an outdated model of a combat vehicle: it was produced between the 1960s and 1970s. This machine is armed with either a PKT machine gun or a KPV.

3. In 1960, France supplied the UN with 1 SA-313B Alouette-2 multipurpose helicopter. At the time of delivery of this type of weapon, it was quite modern (1957).

4. In 2015-2016. Israel has provided the UN with 3 Hermes-900 UAVs for 3-year use. This machine has the ability to carry 2 Hellfire ATGMs.

5. In 2013 Italy has provided the UN with 3 Falco UAVs for 3-year use. This machine has the ability to carry 2 missiles for offensive operations.

6. In 1961, Sweden supplied the UN with 6 used M/42 SKPF armored personnel carriers. This machine is armed with small-caliber machine guns. At the time of delivery of this type of weapon, it was quite modern (1944).

7. In 1960-2013, the United States supplied the UN with an extraordinary amount of weapons compared to the rest of the states of the collective West and the collective non-West. During this entire time period, the USA delivered 6 used Bell-47/OH-13 light helicopters, 10 used Douglas C-47 Skytrain military transport aircraft, 4 used DHC-2 Beaver light aircraft, 2 used DHC-3 Otter light aircraft, 6 used PA-18 Super Cub light aircraft, 2 used S-55 Sikorsky helicopters. The above-mentioned vehicles did not have the possibility of placing weapons on them. Moreover, the United States supplied 60 used M-113 armored personnel carriers. This machine has the ability to place a 12.7 mm machine gun.

Having analyzed the weapons received by the UN in various ways from various suppliers, it can be concluded that the countries of the collective West are the undisputed leader in the supply of lethal weapons for UN peacekeeping operations in Africa. The proof of this is the statistics on the transfer of weapons to the UN from SIPRI ^[29].

ConclusionDuring the UN peacekeeping operations, the United Nations has repeatedly leased and purchased various weapons, which were later used for their intended purpose.

The purchase, as previously indicated, was carried out and continues to be carried out according to the 25/75 scheme - 25% is purchased by sending "letters of orders" (This process does not depend in any way on the economic "weight" of the state in the UN, but on objective factors of simplifying the purchase immediately from the state), and the remaining amount is purchased or leased by conducting international competitive bidding.

Taking into account all of the above, we can conclude that the UN peacekeeping operations system, being necessary, is not without drawbacks: the lack of opportunity to participate in international competitive bidding for 25% of all equipment purchased by the UN, lack of transparency and accountability, lack of resources, distrust on the part of member states. For this reason, the reform of UN peacekeeping is necessary ^[30].

A number of scientific publications by both domestic and foreign authors are devoted to peacekeeping issues. Separate topics were considered, whether it was: the personnel of UN peacekeeping operations in Africa, the role of US military assistance in UN peacekeeping operations, the role of private military companies in UN peacekeeping operations (using the example of the UN operation in the DRC), the influence of intelligence on UN peacekeeping operations, the problems of Russia's participation in UN peacekeeping, the problems and contradictions of peacekeeping UN. Moreover, the problem of reforming UN peacekeeping has also been repeatedly considered by various authors in their works: Khudaikulova, Zverev, Musin. It follows that the relevance of the article is due to the lack of knowledge of the structure of procurement and lease of weapons and other property used in UN peacekeeping missions.