A United Nations /59/710 General Assembly Distr.: General 24 March 2005 Original: English Fifty-ninth session Agenda item 77 Comprehensive review of the whole question of peacekeeping operations in all their aspects Letter dated 24 March 2005 from the Secretary-General to the President of the General Assembly United Nations peacekeeping operations have for decades brought peace and stability to countries emerging from war. The women and men who serve the blue flag do so under arduous and often dangerous conditions. The history of peacekeeping has been one of distinguished collective accomplishment and personal sacrifice. However, this exemplary record has been clouded by the unconscionable conduct of a few individuals. In particular, the revelations in 2004 of sexual exploitation and abuse by a significant number of United Nations peacekeeping personnel in the Democratic Republic of the Congo have done great harm to the name of peacekeeping. Such abhorrent acts are a violation of the fundamental duty of care that all United Nations peacekeeping personnel owe to the local population that they are sent to serve. As the allegations in the Democratic Republic of the Congo surfaced, it became clear that the measures currently in place to address sexual exploitation and abuse in peacekeeping operations were manifestly inadequate and that a fundamental change in approach was needed. I began a process of review to determine the nature and extent of the problem and resolve it. As a first step, in July 2004, I invited His Royal Highness Prince Zeid Ra’ad Zeid Al-Hussein, Permanent Representative of Jordan, to act as my adviser and assist me in addressing the problem of sexual exploitation and abuse by United Nations peacekeeping personnel. As the Permanent Representative of a major troop- and police- contributing country and a former civilian peacekeeper, Prince Zeid has brought a vital perspective to the problem and potential solutions. Thus, when the Special Committee on Peacekeeping Operations, in its 2005 report (A/59/19), requested me to make available a comprehensive report with recommendations on sexual exploitation and abuse by United Nations peacekeeping personnel, I asked Prince Zeid to undertake its preparation. This report I now submit to you. I would be grateful if it could be made available to the members of the General Assembly. 05-24790 (E) 230305 *0524790* A/59/710 The report before you represents the first comprehensive analysis of the problem of sexual exploitation and abuse by United Nations peacekeeping personnel. It contains bold recommendations directed at both the Secretariat and Member States. In formulating the recommendations, Prince Zeid drew on extensive consultations with Secretariat officials and representatives of the troop- and police- contributing countries that provide the most military and police personnel, as well as on insights from a visit to the United Nations peacekeeping operation in the Democratic Republic of the Congo from 24 October to 3 November 2004. I believe that Prince Zeid’s analysis is a fair and honest account of a serious problem. I concur fully with all recommendations relating to the report’s four main areas of concern: •The current rules on standards of conduct •The investigative process •Organizational, managerial and command responsibility •Individual disciplinary, financial and criminal accountability Resolving the problem of sexual exploitation and abuse by United Nations peacekeeping personnel is a shared responsibility and can only succeed with firm commitment and action by both the Secretariat and Member States. We will need to work closely together and chart a common way forward. I undertake to do my utmost to implement the necessary reforms under my purview, which would go far beyond the initial steps that have been taken to raise awareness in peacekeeping operations of United Nations standards of conduct and to enforce them. I also call upon Member States to act with determination and due haste and to provide the necessary resources to the Secretariat and the United Nations agencies, funds and programmes to put in place the important changes required. The implementation of the report’s recommendations will strengthen the ability of peacekeeping operations to promote good conduct and discipline more broadly and increase the accountability of managers and officers in this area. Since the problem of sexual exploitation and abuse is not confined to peacekeeping contexts, the report also offers many innovative ideas that could be applicable to the wider United Nations system. United Nations peacekeeping is a noble calling and serves as an integral part of the world’s efforts to maintain peace and security. Sexual exploitation and abuse by peacekeeping personnel must first be eliminated and then prevented from happening again. I would like to express my sincere thanks and appreciation to Prince Zeid for producing this report, which I trust will be the starting point to drive forward a process of reform that will achieve this goal. (Signed) Kofi Annan 2 A/59/710 A comprehensive strategy to eliminate future sexual exploitation and abuse in United Nations peacekeeping operations Contents Paragraphs Page Summary ...................................................................... 4 I. The problem in context................................................. 1–13 6 II. The rules ............................................................ 14–27 10 The problem.......................................................... 14 10 Summary of status and conduct rules for peacekeeping personnel.............. 15–22 10 Recommendations..................................................... 23–27 13 III. The investigation...................................................... 28–36 14 The problem.......................................................... 28–30 14 Recommendations..................................................... 31–36 15 IV. Organizational, managerial and command accountability..................... 37–65 17 The problem.......................................................... 37 17 Recommendations..................................................... 38–65 17 V. Individual disciplinary, financial and criminal accountability.................. 66–93 24 The problem.......................................................... 66–67 24 Recommendations..................................................... 68–93 24 VI. Conclusion........................................................... 94–95 31 Annex United Nations peacekeeping personnel: status and rules of conduct and discipline ......... 32 United Nations staff ............................................... A.1–A.13 32 United Nations civilian police and military observers.................... A.14–A.26 36 Members of national military contingents ............................. A.27–A.35 38 United Nations Volunteers .......................................... A.36–A.39 40 Individual contractors.............................................. A.40–A.43 40 3 A/59/710 Summary The background of the problem of sexual exploitation and abuse in peacekeeping operations is described in section I of the present report. After the major causes and effects on victims are outlined, the difficulties involved in taking action against alleged perpetrators are described. It is stated that it is now time for the United Nations to take effective action to stop sexual exploitation and abuse. The problem of sexual exploitation and abuse are dealt with under four main themes. The Organization’s rules on the subject are set out in section II and its investigative process is examined in section III. The civil accountability of the Organization and its managers and commanders with respect to taking effective measures to deal with sexual exploitation and abuse is reviewed in section IV, as is the personal accountability of those who violate the rules of the Organization. Criminal accountability is discussed in section V. Rules of the Organization. It is noted in section II that the difficulty of dealing with sexual exploitation and abuse is compounded by the fact that a peacekeeping operation may have up to five categories of personnel. Those categories are governed by different rules, which are described briefly (see annex for a more detailed description). In particular troop-contributing countries are responsible for the conduct and discipline of their troops. The General Assembly should apply the rules set out in the Secretary-General’s bulletin on special measures for protection from sexual exploitation and sexual abuse (ST/SGB/2003/13) to all categories of United Nations peacekeeping personnel, including civilian police, military observers, members of national contingents, United Nations Volunteers, consultants and individual contractors. In addition, the General Assembly should decide that those standards, as well as those set out in the publications entitled “Ten Rules: Code of Personal Conduct for Blue Helmets” and “We Are United Nations Peacekeepers”, be included in each memorandum of understanding signed by the Organization with each troop-contributing country and that the troop-contributing countries be obligated to ensure that they are binding on the military members of their national contingents. The rules should be made readily available to all members of a peacekeeping mission; they should be issued in card form to contingents; and the troop-contributing countries and the Secretary-General should cooperate in publishing them in the languages of the contingents, at United Nations cost. Investigations of the Organization. In section III, it is pointed out that specialized expertise is required for investigations into allegations of sexual exploitation and abuse. The establishment of a permanent professional investigative mechanism to investigate complex cases of serious misconduct, including sexual exploitation and abuse, is recommended. Furthermore, an expert in military law, preferably a prosecutor, from the troop-contributing country concerned should participate as a member of any investigation of members of its contingent. That will ensure that the investigation gathers evidence in a manner that satisfies the requirements of national law so that further action can be taken if it is concluded that misconduct has occurred. It is also recommended that the memorandum of understanding require the troop-contributing country to share information that it has obtained through its contingent’s investigations into the incident. The troop- contributing countries should hold on-site courts martial, since that would facilitate access to witnesses and evidence in the peacekeeping area. Troop-contributing 4 A/59/710 countries whose legislation does not permit on-site courts martial should consider reforming their legislation. Organizational, managerial and command accountability. In section IV of the report the accountability of the Organization for peacekeeping operations is examined, as well as its consequent obligation to take reasonable steps to attempt to eliminate the problem of sexual exploitation and abuse by United Nations peacekeeping personnel. The accountability of managers and commanders in implementing the programmes and policies adopted by the Organization is also discussed. Accountability of the Organization. A series of measures are recommended to help eliminate sexual exploitation and abuse in peacekeeping missions, including extensive training, an effective programme of outreach to the local community, a data collection system to track the investigation and resolution of allegations of sexual exploitation and abuse and the establishment of a few full-time positions at Headquarters and in the field to coordinate action by missions on those issues. Recommendations are also made for mission-specific measures to deal with the problem and measures to help make life in missions less difficult. In addition, the United Nations should make basic assistance available to alleged victims. Accountability of managers and commanders. It is recommended that the measures to eliminate sexual exploitation and abuse be made part of the performance goals of managers and commanders. Furthermore, managerial performance should be rated in accordance with the actual implementation of those goals. Similar recommendations are made with respect to the assessment by the Force Commander of the performance of contingent commanders and senior officers. Managers and commanders who take effective steps to deal with the problem and who ensure that allegations of sexual exploitation and abuse are properly investigated must be rewarded. Those who fail must be removed. Individual disciplinary, financial and criminal accountability. The individual accountability of those who violate United Nations prohibitions against sexual exploitation and abuse is examined in section V. Individual disciplinary accountability. It is recommended that there be strict disciplinary accountability for peacekeeping personnel who violate the Organization’s rules against sexual exploitation and abuse. The General Assembly should define acts of sexual exploitation and abuse as serious misconduct within the meaning of the Staff Regulations to emphasize that Member States will not tolerate such abuse. In addition, the General Assembly should request the Secretary-General to introduce expedited procedures to deal with such cases, including suspension without pay when appropriate. It is recommended that the model memorandum of understanding between the United Nations and troop-contributing countries provide that, if a Department of Peacekeeping Operations investigation in which they participate concludes that a member of their contingent committed an act of sexual exploitation and abuse, the country must agree to forward the case to its competent national or military authorities to be considered for prosecution in accordance with its laws and to report the results to the Secretary-General. Individual financial accountability. It is recommended that United Nations peacekeeping personnel be held financially accountable for harm caused to victims as a result of their acts of sexual exploitation and abuse. In particular, the General 5 A/59/710 Assembly should authorize the Secretary-General to require DNA and other tests to establish paternity in appropriate cases so as to ensure that peacekeeping personnel can be obligated to provide child support to so-called peacekeeper babies that they father and abandon. Criminal accountability of military members of national contingents. The model memorandum of understanding should specifically provide that troop- contributing countries must ensure that their contingents are obligated to respect local law. It is noted that the model status-of-forces agreement assumes that the Secretary-General will obtain formal assurances from a troop-contributing country that it will exercise criminal jurisdiction over its troops in return for the immunity conferred upon them by the host State under the terms of the status-of-forces agreement. Such formal assurances are no longer obtained, however. Such clauses should once again be inserted into the model memorandum of understanding to ensure that troop-contributing countries have a legal obligation to consider for prosecution acts of sexual exploitation and abuse committed by military members of peacekeeping missions that constitute crimes under the laws of the troop- contributing country or the host State. The model memorandum of understanding should require the troop-contributing country to report on any action taken by it on cases referred to it as a result of United Nations investigations in which it participated. The General Assembly is requested to decide that acceptance of such procedures constitutes a necessary condition for acceptance of an offer by a troop- contributing country to supply troops to the Organization. Criminal accountability of United Nations staff and experts on mission. The founders of the United Nations did not intend that the privileges and immunities of officials (staff have the status of officials) and experts on mission (civilian police and military observers have the status of experts on mission) should constitute a shield from national criminal prosecution for crimes committed in a State hosting a United Nations operation. However the absence of a functioning judicial system in some peacekeeping locations means that it is not feasible to waive immunity in those jurisdictions. As a result, the prosecution of staff or experts on mission for crimes committed in such a State depends on whether the State of nationality of the suspect has conferred extraterritorial jurisdiction on its courts to take such action and whether it can, in the circumstances of the case, effectively take such action. But this would tend to be the exception rather than the rule. It is recommended that the Secretary-General appoint a group of experts to advise him as to whether it would be feasible to draft an international instrument or use other means to ensure that United Nations personnel are subject to criminal prosecution for defined crimes of sexual exploitation and abuse. If the group recommended such a course of action, the General Assembly could refer the matter to either the Sixth Committee or to an ad hoc committee of the Assembly specially created for the purpose of elaborating such a text. I. The problem in context 1. United Nations peacekeeping was conceived soon after the establishment of the Organization to monitor ceasefires and peace agreements, first through the use of unarmed observers and later (1956) supplemented with armed battalions. By 1960, with the establishment of the United Nations Operation in the Congo, United Nations peacekeeping evolved dramatically from monitoring to providing a 6 A/59/710 substantial array of technical assistance to a Government desperately in need of support. This form of multidimensional peacekeeping was groundbreaking for the Organization. But such was the enormity of the effort expended by the United Nations in the Congo that it was not until 1989, with the formation of the United Nations Transition Assistance Group in Namibia, that this type of peacekeeping was practised again. From that point on, the majority of United Nations peacekeeping operations mounted by the Security Council have undertaken a variety of tasks beyond monitoring. 2. A consistent theme throughout the history of the Organization is the degree to which peacekeeping personnel have often failed to grasp the dangers confronting them, seduced by day-to-day conditions that can be viewed as benign. In other words, United Nations peacekeeping personnel have often read normalcy into a situation that is far from normal. And it is this inability on the part of many peacekeepers to discern the extent to which the society is traumatized and vulnerable that is at the root of many of the problems addressed in the present report. Peacekeeping is — and always will be — dangerous, demanding and exceptional, and no participant should assume peacekeeping to be “normal”. 3. United Nations peacekeeping has a distinguished history of helping many States and peoples to emerge from conflict with the hope of a better future. Many peacekeeping personnel have given their lives to realize that goal, and their achievements and sacrifices must not be forgotten. But despite the distinguished role that United Nations peacekeeping personnel have played over the last half-century, there regrettably will always be those who violate codes of conduct and thereby dishonour the many who have given their lives in the cause of peace. Sexual exploitation and abuse by military, civilian police and civilian peacekeeping personnel is not a new phenomenon. Such acts cover a wide spectrum of behaviour, from breaches of the Organization’s standards of conduct, such as solicitation of adult prostitutes, which may be legal in some countries, to acts that would be considered a criminal offence in any national jurisdiction, for example rape and paedophilia. Besides the United Nations, media and human rights organizations in particular have documented the involvement of peacekeeping personnel in sexual exploitation and abuse in operations ranging from those in Bosnia and Herzegovina and Kosovo in the early 1990s to Cambodia and Timor-Leste in the early and late 1990s to West Africa in 2002 and the Democratic Republic of the Congo in 2004. 4. On 15 April 2003, following its consideration of the report of the Office of Internal Oversight Services on allegations of sexual exploitation and abuse in West Africa (A/57/465), the General Assembly adopted resolution 57/306, in which it requested the Secretary-General to take measures to prevent sexual exploitation and abuse in humanitarian and peacekeeping operations. It called upon the Secretary- General and troop-contributing countries to hold to account any personnel who committed such acts. On 15 October 2003 the Secretary-General promulgated detailed rules prohibiting sexual exploitation and abuse that are mandatory for all United Nations staff, irrespective of their type of appointment (ST/SGB/2003/13). 5. In section 1 of the bulletin, “sexual exploitation” is defined as “any actual or attempted abuse of a position of vulnerability, differential power, or trust, for sexual purposes, including, but not limited to, profiting monetarily, socially or politically from the sexual exploitation of another”. “Sexual abuse” is defined as “actual or 7 A/59/710 threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions”. 6. The reality of prostitution and other sexual exploitation in a peacekeeping context is profoundly disturbing to many because the United Nations has been mandated to enter into a broken society to help it, not to breach the trust placed in it by the local population. Moreover, the Organization should not in any way increase the suffering of vulnerable sectors of the population, which has often been devastated by war or civil conflict. For example, in the Democratic Republic of the Congo, it would appear that sexual exploitation and abuse mostly involves the exchange of sex for money (on average $1-$3 per encounter), for food (for immediate consumption or to barter later) or for jobs (especially affecting daily workers). Some young girls whom I spoke with in the Democratic Republic of the Congo talked of “rape disguised as prostitution”, in which they said they were raped and given money or food afterwards to give the rape the appearance of a consensual transaction. Once young girls are in this situation, a situation of dependency is created which tends to result in a continued downward spiral of further prostitution, with its attendant violence, desperation, disease and further dependency. A consequence of sexual exploitation and abuse is the presence of abandoned “peacekeeper babies”, children fathered and abandoned by peacekeeping personnel. The absence of a functioning legal system means that the protections afforded to citizens of most countries against this type of abuse are absent. This combination of factors places even more of an onus on peacekeeping personnel to act in accordance with the highest standards of integrity, which is envisaged in Article 101, paragraph 3, of the Charter of the United Nations as the obligatory standard of behaviour for United Nations officials. 7. The Department of Peacekeeping Operations reported that in 2003 it had investigated allegations of sexual exploitation and abuse against 5 staff and 19 military personnel (A/58/777, para. 3). The Secretary-General noted that the Secretariat was aware that the data gathered on cases of sexual exploitation and abuse perpetrated by personnel affiliated with the United Nations might not reflect the true extent of those deplorable incidents, that complaint procedures and victim support mechanisms were not yet adequate and that considerable additional efforts were required to establish a system within which misconduct of that kind was systematically reported on and effectively followed up (ibid., para. 4). 8. Following improvements in the Organization’s complaint mechanism, the number of allegations received against peacekeeping personnel increased significantly. Between May and September 2004, the United Nations Organization Mission in the Democratic Republic of the Congo (MONUC) received 72 allegations of sexual exploitation and abuse (68 against military and 4 against civilian personnel), which were subsequently investigated by the Office of Internal Oversight Services.1 In response to this significant increase in the number of cases, __________________ 1 On 5 January 2005, the Office of Internal Oversight Services reported (see A/59/661) that it had closed 44 allegations because victims or witnesses could not be identified. It reported on 20 cases involving 51 military personnel, 1 of whom was initially classified as a civilian but was subsequently classified as military. The Office of Internal Oversight Services considered that seven cases had been fully substantiated. Of the remaining cases, the Office considered that in 2 of them the evidence was convincing while in the other 11 there was no corroboration, although there was evidence of sexual exploitation and abuse. In no case did any member of a contingent admit to sexual contact. 8 A/59/710 the Secretary-General invited me to assist him in determining the nature and extent of the problem of sexual exploitation and abuse in peacekeeping missions. In October 2004 I visited the Democratic Republic of the Congo, and Bunia in particular, and sensed that sexual exploitation and abuse was widespread, involving both civilian and uniformed personnel. Sexual exploitation and abuse appeared to be ongoing, thereby highlighting the inadequacy of current measures to address the problem in peacekeeping operations. 9. In 2004 the Department of Peacekeeping Operations received 16 allegations against civilians, 9 allegations against civilian police and 80 allegations against military personnel, for a total of 105 allegations. The majority of allegations related to sex with persons under the age of 18 years (45 per cent) and sex with adult prostitutes (31 per cent). Allegations of rape and sexual assault comprised 13 per cent and 5 per cent respectively. The remaining 6 per cent of allegations related to other forms of sexual exploitation and abuse defined in the 2003 Secretary- General’s bulletin. 10. Sexual exploitation and abuse damages the image and credibility of a peacekeeping operation and damages its impartiality in the eyes of the local population, which in turn may well impede the implementation of its mandate. The ill discipline engendered by sexual exploitation and abuse also degrades the effectiveness of the peacekeeping operation, especially in times of crisis. Moreover, instances of sexual exploitation and abuse may constitute violations of international humanitarian law, international human rights law or both.2 Indeed, a peacekeeping operation cannot legitimately advise the Government on adherence to international human rights standards and legal and judicial reform if its own peacekeeping personnel are engaging in acts of sexual exploitation and abuse, including such crimes as rape. Sexual misconduct by peacekeeping personnel can also expose both them and the mission to blackmail and violent retaliation, especially during times of breakdown in law and order in the country. Moreover, such misconduct increases the incidence of medical problems, including the risk of contracting or transmitting sexually transmitted diseases and HIV/AIDS. Victims frequently suffer from psychological trauma as a result of their experiences. Victims and abandoned peacekeeper babies may face stigmatization by their families and communities, which deprive them of all support (economic, social, emotional, etc.). This in turn may push victims into further exploitative relationships with peacekeeping personnel and others in order for them and their children to survive. 11. Many important efforts are currently under way in peacekeeping operations to address sexual exploitation and abuse. But they are ad hoc and inadequate to deal with the problem. What is needed is a radical change in the way the problem is addressed in peacekeeping contexts. Measures are suggested in the present report that can be implemented immediately by both the Secretary-General and Member States to improve the prevention, identification and response to this egregious violation of the human rights of the local population, as well as measures for longer- term reform. 12. The reports of the Office of Internal Oversight Services on West Africa and Bunia indicate the difficulty of identifying perpetrators because victims are often frightened, poorly educated young women and children who have difficulty in __________________ 2 See Women, Peace and Security: Study Submitted by the Secretary-General pursuant to Security Council Resolution 1325 (2000), chapter IV (United Nations publication, Sales No. E.03.IV.1). 9 A/59/710 identifying their foreign assailants. Moreover, in cases involving prostitution there is no economic incentive to report. It follows that while the United Nations must take action against perpetrators, it is crucial to concentrate on preventive measures. 13. During my visit to the Democratic Republic of the Congo, women’s organizations brought to my attention a number of factors that they believed contributed to the sexual exploitation and abuse of women and children. They include factors external to the Mission, such as the erosion of the social fabric because of the conflict, which results in a high number of children with little or no family support; a high level of extreme poverty; lack of income-generation possibilities; a high incidence of sexual violence against women and children during the civil conflict coupled with discrimination against women and girls, leading to a degree of local acceptance of violent and/or exploitative behaviour against them; and the lack of a well-functioning legal and judicial system, which creates an environment of de facto impunity. These same factors are present to some degree in many other peacekeeping areas. On the other hand, within MONUC, personnel seemed to share a perception that little was being done to deal effectively with the problem. There was a perception that whistle-blowers would not be protected. There was little awareness of United Nations standards of conduct, inadequate recreational facilities were provided for contingent members and there were protracted periods of separation from families and communities. I have drawn on these experiences, as well as on extensive consultations with representatives of the countries that provide the most military and police personnel and members of the Secretariat, in formulating the recommendations that are set out below. II. The rules The problem 14. A United Nations peacekeeping operation may have a civilian component, a military component and a civilian police component. The components are governed by different rules and disciplinary procedures because they each have a distinct legal status. The 2003 Secretary-General’s bulletin does not, of its own force, apply to all three categories. This is a serious shortcoming. These technical matters are described in detail in the annex. A short summary follows. Summary of status and conduct rules for peacekeeping personnel 15. United Nations staff have the status and the privileges and immunities of officials under the Convention on the Privileges and Immunities of the United Nations (the General Convention), which also sets out the conditions under which their immunity may be waived by the Secretary-General. Staff are governed by the standards of conduct set out in the Staff Regulations and Rules and subordinate administrative issuances, such as Secretary-General’s bulletins and administrative instructions. The standards are enforced under the Organization’s disciplinary procedures. 10