POLICY BRIEF. Security System Reform and Governance: Policy and Good Practice. Introduction. What is Security System Reform (SSR)?

Transcription

1 POLICY BRIEF Security System Reform and Governance: Policy and Good Practice May 2004 What is Security System Reform (SSR)? What are the basic working principles for OECD members engaging in SSR? What are the main challenges for OECD governments? How should OECD members work with partner countries to achieve sustained reform? Conclusion For further information For further reading Where to contact us? Introduction Security in all its dimensions is fundamental to reducing poverty, protecting human rights and achieving the Millennium Development Goals (MDGs). Security concerns not only the stability of the state and the security of regimes. It also involves the safety, well-being and freedom from fear of a nation and its people. OECD members recognise that development and security are inextricably linked. This perception is opening the way to treating security in developing countries as a public policy and governance issue, inviting greater public scrutiny of security policy. OECD governments seek to help partner countries establish structures and mechanisms to manage change and political conflict through democratic and peaceful means. Since the mid-1990s, the OECD Development Assistance Committee (DAC) has been working through its Network on Conflict, Peace and Development Co-operation (CPDC), to assist donors and developing country partners to increase the effectiveness of their efforts to prevent conflict and improve security in its broadest sense. In April 2004, a DAC ministerial meeting endorsed a policy statement and paper entitled Security System Reform (SSR) and Governance and Good Practice, on which this Policy Brief is based, see What is Security System Reform (SSR)? Security system reform (SSR) seeks to increase partner countries ability to meet the range of security needs within their societies in a manner consistent with democratic norms and sound principles of governance, transparency and the rule of law. SSR includes, but extends well beyond, the narrower focus of more traditional security assistance on defence, intelligence and policing. OECD 2004 Organisation for Economic Co-operation and Development

2 Policy Brief Security System Reform and Governance: Policy and Good Practice The security system includes the armed forces, the police and gendarmerie, intelligence services, and judicial and penal institutions. It also comprises the elected and duly appointed civil authorities responsible for control and oversight (e.g. parliament, the executive, and the defence ministry). The SSR policy agenda covers three inter-related challenges facing all states: i) developing a clear institutional framework for providing security that integrates security and development policy and includes all relevant actors and focuses on the vulnerable, such as women, children, and minority groups; ii) strengthening the governance and oversight of security institutions; and iii) building capable and professional security forces that are accountable to civil authorities and open to dialogue with civil society organisations. For DAC donors, this policy agenda, therefore, focuses primarily on governance-related and democratic oversight dimensions. It is important to recognise the distinction between these governance activities and those designed to strengthen the operational capability of security forces, while acknowledging that partner governments in developing countries concerned with providing security effectively need to address both dimensions. What are the basic working principles for OECD members engaging in SSR? DAC donors have agreed that SSR should be: People-centred, locally-owned and based on democratic norms and human rights principles and the rule of law, seeking to provide freedom from fear. Seen as a framework to structure thinking about how to address diverse security challenges facing states and their populations through more integrated development and security policies and through greater civilian involvement and oversight. Founded on activities with multi-sectoral strategies, based on a broad assessment of the range of security needs of the people and the state. Developed adhering to basic principles underlying public sector reform such as transparency and accountability. Implemented through clear processes and policies that aim to enhance the institutional and human capacity needed for security policy to function effectively. The most critical task facing countries embarking on SSR processes is to build a nationally-owned and led vision of how the security system should be constructed and function. Experience shows that reform processes will not succeed without commitment and ownership on the part of those undertaking reforms. What are the main challenges for OECD governments? Achieving a shared understanding of SSR and policy coherence DAC donors are committed to working together in and with partner countries to ensure a clear shared international understanding of the rationale, principles and objectives of SSR work and its relationship to broader development objectives. The challenge is to work with local stakeholders to create a shared vision. It is important to identify with them how, in the national context, any particular SSR-related activity fits into the broad spectrum of their SSR and development needs. Development agencies will seek to improve policy coherence on SSR through whole-of-government approaches. Formulating government-wide SSR strategies will require collaboration between defence, foreign affairs, development and other ministries to avoid possible contradictions between policies and the inadvertent exacerbation of security problems. Development agencies have a key role to play in this dialogue. Integrating ( mainstreaming ) the SSR concept across the whole-of-government is also relevant in addressing the increased emphasis on counter-terrorism in some OECD security assistance programmes. Here, donors should ensure that efforts to reinforce the capacity of developing countries to prevent terrorism are conducted in a way that reinforces development, security, accountability, and human rights objectives. How have SSR issues been integrated into discussions on official development assistance? The increased attention to security system reform, and more broadly to issues of security and conflict, underlined the need for further discussions to clarify what qualifies as official development assistance (ODA). In this respect, there was broad concern about preserving the integrity and credibility of DAC statistics. Not all assistance related to security and conflict has been or should be, financed from ODA. Rather, 2

3 Security System Reform and Governance: Policy and Good Practice Policy Brief with a whole-of-government approach, financing can also come from other budget items, or pooled funding mechanisms. Donor consensus has emerged on updating and clarifying what qualifies as ODA in three areas: management of security expenditure, enhancing civil society s role in the security system and providing assistance to prevent the recruitment of child soldiers. Some other definitional issues, including a few that would have broader potential implications for ODA volume, have been set aside for further study. How have OECD members responded to the need for whole-of-government approaches to funding? A few donor countries already have systems in place to allow operational actions to be funded from several budgetary sources. The UK has created an interministerial SSR Policy committee and two interdepartmental funding pools, the GCPP and the African Conflict Prevention Pool (ACPP) (see Box 1). Similarly, the Netherlands has developed a Stability Fund that promotes coherence through an integrated policy-driven approach to peace, security and development issues, backed up by pooled funding. Development agencies realise that there is a need to be alert to the risk that pooled funding arrangements can be seen as a means for other departments to tap into development assistance resources without conforming to a strategic vision for promoting SSR. In working with partner countries, donors will also pursue greater co-ordination, harmonisation and an effective division of labour. Given the varying legal limitations and operational capacities of development agencies to work across the range of security system reforms, this will help each agency to engage in SSR using their comparative advantage within a common effort. One area that DAC donors have singled out for urgent attention is methodologies for evaluating SSR activities. These may build on experience already gained in some more established SSR-related areas such as Demobilisation, Disarmament and Reintegration (DDR), police reform, and justice reform. Box 1. Good Practice: Promoting Policy Coherence Through Funding Mechanisms The UK Global Conflict Prevention Pool (GCPP) and the Africa Conflict Prevention Pool (ACPP) Much of the SSR work in the UK is undertaken through the GCPP. The purpose of both Conflict Pools is to provide a mechanism to improve the UK s conflict prevention policy and effectiveness through joint analysis, long-term strategies, and improved coordination with international partners. Resources are allocated to support priorities agreed by the Foreign and Commonwealth Office (FCO), Department for International Development (DFID), and the Ministry of Defence (MoD), each of which contributes to both Conflict Pools. Pool priorities are set jointly by the three departments and reviewed regularly by the ministers. The Conflict Pools are a relatively new mechanism and department staff are still learning to work with them. Nonetheless, it is already clear that where it has been possible to develop a strategy based on a shared analysis of the conflict and a joint response, UK interventions are more effective and there is a closer relationship between government policy and operational response. The Conflict Pools have also been helpful in engaging the Treasury, and giving it a better understanding of the issues faced by the three departments on the ground. Both Pools consist of a peacekeeping and a programme component. The peacekeeping component covers the UK s assessed and voluntary contributions to international peacekeeping and related operations. The programme component is further sub-divided into country or regional strategies and thematic strategies. SSR is one of the thematic strategies in the GCPP. A parliamentary vote decides the settlement figure given to Pools, which incorporates an extra top-up amount to encourage inter-departmental collaboration. Money contributed to the Global Pool by all four departments is managed by the FCO, and funding for the Africa Pool is managed by DFID. Once activities are agreed upon, DFID examines them for ODA eligibility. If so, they contribute to the UK s ODA sum. Source: The UK Department for International Development (DFID). 3

4 Policy Brief Security System Reform and Governance: Policy and Good Practice How should OECD members work with partner countries to achieve sustained reform? The importance of partner country ownership and buy-in DAC donors are committed to facilitating partner country-owned and led reform. They recognise that needs, priorities, capacities and resources governing SSR differ substantially from country to country. The key challenge is to ensure that the principles, policies, laws, and structures that form an SSR programme are rooted in the reforming country s history, culture, legal framework and institutions. Understanding the local context and, in particular, the positive incentives needed to engage local actors in reform, requires close contact and analysis over an extended time. The political sensitivity of security issues can create developing country resistance to external assistance. National defence and internal security are the traditional cornerstones of state sovereignty. However, when security is seen in its wider sense, as involving human security and a range of development issues, donor engagement in this domain becomes more relevant and legitimate. The concept of SSR may be new to partners. The DAC has therefore called on its Network on Conflict, Peace and Development Co-operation (CPDC) to assist or sponsor regional workshops with partner countries to deepen understanding of these concepts and consider concrete ways to stimulate policy making and institutional change. Acknowledging the need for partners in developing countries, including public, civil society, corporate and international actors, to address SSR issues in line with their own priorities and circumstances can further help to allay concerns of many stakeholders. This may open the door to a more constructive dialogue and partnership for governance reform (see Box 2). Aim for a system-wide strategy and use existing entry points Many issues to which donors should give priority in order to strengthen security system governance are already part of the normal work of their development agencies. These include public expenditure analysis and management, anti-corruption activities, civil service and administrative reform, promoting social justice and human rights, civil society capacity building, and legislative strengthening. These are all relevant to the SSR agenda. Flexibility in donor policy frameworks and programming and in dialogue with all security system stakeholders, including civil society, will help partner countries determine what will work best for them. By building on existing initiatives, donors can avoid imposing organisational structures and modes of operation on partner country governments that may increase resistance to reform. Providing assistance on only a single aspect of SSR has real limitations, and in some cases even risks being counterproductive. SSR must be conducted within a broad approach that addresses wider governance and personal security concerns. It should also take into account the links between the different parts of the wider security system and the indirect effects of donor assistance. However, if the risks are fully assessed and managed, it may be appropriate to start with a single entry point from which the agenda may be extended over time. Examples of such entry points include support for security system reviews, or the integration of the defence sector into work on improving public expenditure management and transparency. In countries with very weak governance and capacity, or in conflict or post-conflict reconstruction, it may be necessary to begin with a project by project approach. Here initial projects might include efforts to disarm, demobilise and reintegrate combatants, including child soldiers, or to support initial efforts by the partner country to conduct a security system review. At the same time, all support project, sectoral or budget support should be seen as part of a wider SSR approaches that seek to improve governance of the security system as a whole. Assist civil society to build a pro-reform environment Donors seek to encourage local demand and vision for democratic governance of the security system. The objective is to help create a pro-reform environment. This can be done through support for the involvement of civil society, as well as building the institutional capacity for change. Civil society groups as a whole should not be simply seen as alternative service providers or channels for donor assistance but as policy interlocutors who can contribute to and raise awareness on security decision-making as well as make practical suggestions to help sustain the reform process. Key civil society groups include the media and women s groups. More broadly donors should include a gender-perspective in SSR assistance. In many 4

5 Security System Reform and Governance: Policy and Good Practice Policy Brief Box 2. Good Practice: Partnership for Governance Reform in Indonesia The decision to create the Partnership for Governance Reform in Indonesia reflects the emerging global consensus that governance practices are hard to change by setting conditions from outside. National ownership is increasingly seen as the key to change. By bringing together the Indonesian government, the legislature, the judiciary, civil society, the corporate sector and the international community, the Partnership hopes that complex political questions can be dealt with in a comprehensive manner. Two of the Partnership s ten sector priorities are directly linked to SSR: legal and judicial reform and police/security reform. Several others have links to SSR: anti-corruption measures, legislative and parliamentary reform, and civil society and media strengthening. The Partnership consists of: The Partnership Facility, which fosters policy dialogue and analysis on governance issues through actively engaging stakeholders and facilitating surveys, workshops, media, the internet etc. It also acts as a catalyst in building competence in governance reform and as a central clearinghouse for information on governance reform in Indonesia, particularly reform that is supported by the international community. The Partnership Governance Trust Fund, or The Indonesia Governance Fund, which disburses funds directly to Indonesian agencies active in the national governance reform effort. The United Nations Development Programme (UNDP) manages donor contributions to the Trust Fund. UNDP disburses funds directly to Indonesian agencies active in the national reform effort. Trust Fund expenditures are subject to independent audits, which will be regularly reported to donors, the Governing Board and the public. Projects can be submitted to the Partnership by government ministries and agencies, civil society organisations, the private sector, and donor agencies and partners for consideration. Detailed procedures for proposal writing and project appraisal have been developed. These are intended to ensure that projects supported are: Fairly and thoroughly scrutinised. Appropriate, well-designed, properly costed, feasible and financially viable. Will deliver sustainable and tangible benefits. Properly managed, fully reported on and accounted for. Administered in accordance with UNDP standard rules and procedures. The transparency of Trust Fund activities and its financial management sets a good example in a country that is plagued by chronic corruption. Source: cases, particularly during war and armed conflict, civil society is often most actively represented by women. They are often well placed, at all levels, to work for peace, reconciliation, reconstruction, and building stability. Enhance policy coherence, civilian expertise and analytical capacity In partner countries engaging in SSR, donors will work to promote whole-of-government approaches to SSR that take into account the overall security system. One way to identify a coherent system-wide strategy is through the use of an institutional assessment framework for reviewing the security system, such as that developed by the Netherlands and the Clingendael Institute, in conjunction with the Utstein Group (Germany, the Netherlands, Norway, Sweden, the UK, and, since 2003, Canada ) see pdf/2003_occasional_papers/ssgaf_publicatie.pdf. Donors can help to promote acceptance of the principle of civil oversight, including by security forces. Key to this is supporting efforts to improve civilian skills, particularly amongst parliamentarians, to analyse, debate and oversee the security system. Mentoring arrangements where international experts are twinned for an extended period with key individual institutions in or outside government are an important means of assistance. Strengthening analytical and research capacity is vital to generate the local vision and political momentum necessary to initiate and sustain security transformations. International support can be provided for local 5

6 Policy Brief Security System Reform and Governance: Policy and Good Practice Box 3. Good Practice: Regional Assistance Mission to Solomon Islands (RAMSI) In June 2003, the Solomon Islands Government, following a spate of instability, conflict and a virtual collapse of the economy, requested direct strengthened assistance to prevent further deterioration. In response, Pacific Island Countries (under the auspices of the Pacific Island Forum) and donors (Australia and New Zealand in particular) with support from the international community deployed the Regional Assistance Mission to Solomon Islands (RAMSI) on 24 July A secure Solomon Islands is essential for the nation s people, the region and the international community. The first priority has been to create the necessary stability and governance conditions required for sustainable growth and development. Over the longer term, RAMSI is building capacity in law and justice, economic management, basic services (especially health) and community development. These efforts will be critical to the country s future growth prospects. The Australian whole-of-government response has been a vital component of RAMSI s achievements, including in the area of SSR. Contributions have come from AuSAID, the Australian Treasury, Department of Finance and Administration, Attorney Generals, Department of Foreign Affairs and Trade and the Australian Federal Police to assist in economic management, legal, police and prison services). Regional cooperation to address the causes of instability and decline has also been an essential feature of RAMSI s success. Police personnel from Australia, New Zealand, Fiji, Cook Islands, Tonga, Samoa and Kiribati have been involved. In addition, military personnel from Australia, New Zealand, Fiji, Tonga and Papua New Guinea have been deployed in a support role. The military personnel are providing logistical support to RAMSI but also, if necessary, force protection. The rapid response of RAMSI coupled with a comprehensive and strengthened assistance package is also providing a basis for other donors (for example regional financial institutions) to re-engage. Through these efforts, RAMSI is helping build the Solomon Islands capacity to realise its full economic and development potential. Source: Australian Agency for International Development (AuSAID). think tanks, universities and South-South learning initiatives. Including local authorities and government policymakers in research processes funded through international assistance is a priority. The UK-based Global Facilitation Network for Security Sector Reform (GFN-SSR) is one resource for OECD members and international partners. Further information on its work and a database on SSR-related information are available at Supporting professionalisation Enhancing the professionalism of security forces including the military, intelligence and police services has a governance component. This includes strengthening adherence to democratic principles and building respect for human rights among the security forces. Complementary technical activities aim to improve the proficiency of security forces in carrying out core operational functions in a manner consistent with these principles. Such activities might include the development of policing skills for confronting, arresting and investigating criminals, including the use of force in the line of legitimate duty. Financing for work in this area would have to take into account limitations on ODA eligibility and may need to come from non-oda sources. Most important is the need for changes in ingrained anti-democratic institutional practices. This requires genuine changes in political attitudes, social values, and mind-sets in support of SSR. While primarily a matter for the partner country, donors can support measures that strengthen the overall legal framework governing the security system so that democratic norms and the rule of law can be institutionalised. Adopt a regional perspective At the regional level, and particularly the sub-regional level, states face broadly similar needs and challenges relevant to SSR. The democratic governance of the security system requires regional approaches because: Security challenges often involve cross-border issues such as child soldiers or the trafficking of small arms and of natural resources. Collective responses to regional security issues from developing country partners, donors and relevant regional organisations are essential. 6

7 Security System Reform and Governance: Policy and Good Practice Policy Brief Box 4. Policy Statement on Security System Reform and Governance Ten recommendations for action The Development Assistance Committee (DAC) has agreed ten recommendations for action where members and developing country partners are working together on Security System Reform (SSR): i. Work together in partner countries to ensure that the rationale, principles and objectives of SSR work are clearly communicated. ii. Improve policy coherence by taking a whole-of-government approach to SSR. iii. Develop greater co-ordination, harmonisation and an effective division of labour among development and other actors working in a partner country. iv. Recognise the role that OECD governments should play in addressing security-related issues. v. Recognise that needs, priorities and circumstances governing SSR differ substantially by country. vi. Provide assistance in ways that enhance domestic ownership of reform processes and strengthen institutional frameworks and human capacity for managing the security system in a manner consistent with sound democratic governance practices and transparent financial governance. vii. In this context, make it a priority to encourage governments to develop workable multi-sectoral strategies, and to help stakeholders determine what will work best for them. viii. Support civil society efforts to create a pro-reform environment for democratic governance of the security system. ix. Identify entry-points and develop methods of working through local actors, and seek to build on existing initiatives. x. Adopt a regional perspective even when assistance is provided in support of a national reform programme. See Security System Reform and Governance: Policy and Good Practice. Unaddressed needs for SSR can lead to tensions and conflict that spread across borders. Co-ordination and harmonisation of external actors actions and policies is critical. A regional perspective is, therefore, essential even when assistance is provided directly to a national reform programme. It must take into account the variations in capacity, political will and ownership between and within regions, and in relations with OECD countries. In addition, assistance to regional or sub-regional organisations may be needed to complement aid at the national level. One example of a comprehensive regional approach is in the Solomon Islands where Australia and New Zealand have developed an assistance strategy that also extends across sectors (see Box 3). Conclusion Achieving a whole-of-government approach and a coherent SSR policy framework will be a challenge for all OECD member governments and developing countries who engage in SSR. Assistance needs to be based on context-specific analysis and should be sustained over time to help with continuous improvement of implementation processes. More work is also required to improve harmonisation and co-ordination with other donors. Through such efforts, DAC members can help partners to establish democratic, accountable and transparent governance mechanisms for their security systems. These mechanisms are necessary to provide the security needed by a nation and its people as a basic requirement for long-term development, free of violent conflict in which all can participate. For further information For information on the OECD s work on security and development, please contact: Lisa Williams, +33 (0) , [email protected], or Edward Bell, +33 (0) , [email protected]. 7

8 Policy Brief Security System Reform and Governance: Policy and Good Practice For further reading Security System Reform and Governance: Policy and Good Practice, forthcoming in DAC Guidelines and Reference Series. The DAC Guidelines: Helping Prevent Violent Conflict, OECD (2001). A Development Co-operation Lens on Terrorism Prevention: Key Entry Points for Action, DAC Guidelines and Reference Series (2003). Security Issues and Development Co-operation: A Conceptual Framework for Enhancing Policy Coherence, OECD DAC Journal 2001, No. 2, Volume 3. The Influence of Aid in Situations of Violent Conflict, OECD DAC Journal 2001, No. 2, Volume 3. DAC Reflection on Reconstruction on Iraq (21-22 July 2003), OECD DAC Journal 2003, Volume 4, No. 4. Development Co-operation Report 2003, OECD DAC Journal 2003, Volume 5 Issue 1. For more information about conflict prevention and peace-building, please visit our internet site at OECD publications can be securely purchased from the OECD Online Bookshop The OECD Policy Briefs are prepared by the Public Affairs Division, Public Affairs and Communications Directorate. They are published under the responsibility of the Secretary-General. Where to contact us? FRANCE OECD Headquarters 2, rue André-Pascal PARIS Cedex 16 Tel.: (33) Fax: (33) [email protected] Internet: GERMANY OECD BERLIN Centre Albrechtstrasse 9/10 D BERLIN Tel.: (49-30) Fax: (49-30) [email protected] Internet: JAPAN OECD TOKYO Centre Nippon Press Center Bldg Uchisaiwaicho, Chiyoda-ku TOKYO Tel.: (81-3) Fax: (81-3) / [email protected] Internet: MEXICO OECD MEXICO Centre Av. Presidente Mazaryk 526 Colonia: Polanco C.P MEXICO, D.F Tel.: ( ) Fax: ( ) [email protected] Internet: UNITED STATES OECD WASHINGTON Center 2001 L Street N.W., Suite 650 WASHINGTON D.C Tel.: (1-202) Fax: (1-202) [email protected] Internet: Toll free: (1-800) L1 The OECD Policy Briefs are available on the OECD s Internet site