Security system reform and governance [elektronische middelen]

2005·4.2 MB·English

by  Organisation for Economic Co-operation and Development

DACGuidelines
and ReferenceSeries
Security System Reform
and Governance
OECD
((
OECDPUBLISHHMG
CcyiynghMmohfii
DACGuidelinesandReferenceSeries
Security
System Reform
and Governance
ADACReferenceDocument
OECD
ORGANISATIONFORECONOMICCO-OPERATIONANDDEVELOPMENT
ORGANISATIONFORECONOMICCO-OPERATION
ANDDEVELOPMENT
TheOECDisauniqueforumwherethegovernmentsof30democraciesworktogethertoaddress
theeconomic,socialandenvironmentalchallengesofglobalisation.TheOECDisalsoattheforefrontof
effortstounderstandandtohelpgovernmentsrespondtonewdevelopmentsandconcerns,suchas
corporategovernance,theinformationeconomyandthechallengesofanageingpopulation.The
Organisationprovidesasettingwheregovernmentscancomparepolicyexperiences,seekanswersto
commonproblems,identifygoodpracticeandworktoco-ordinatedomesticandinternationalpolicies.
TheOECDmembercountriesare:Australia,Austria,Belgium,Canada,theCzechRepublic,Denmark,
Finland,France,Germany,Greece,Hungary,Iceland,Ireland,Italy,Japan,Korea,Luxembourg,Mexico,the
Netherlands,NewZealand,Norway,Poland,Portugal,theSlovakRepublic,Spain,Sweden,Switzerland,
Turkey,theUnitedKingdomandtheUnitedStates.TheCommissionoftheEuropeanCommunitiestakes
partintheworkoftheOECD.
OECDPublishingdisseminateswidelytheresultsoftheOrganisation’sstatisticsgatheringand
researchoneconomic,socialandenvironmentalissues,aswellastheconventions,guidelinesand
standardsagreedbyitsmembers.
ThisworkispublishedontheresponsibilityoftheSecretary-GeneraloftheOECD.The
opinionsexpressedandargumentsemployedhereindonotnecessarilyreflecttheofficial
viewsoftheOrganisationorofthegovernmentsofitsmembercountries.
AlsoavailableinFrenchunderthetitle;
Reformedessystemesdesecuriteetgouvernance
PhotoCredit:KerstinLundgren,DivisionforHumanitarianAssistanceandConflictManagement,Swedish
InternationalDevelopmentCo-operationAgency(Sida).
NPd'uoebxlrpielspohriiotndagut:icotrniiogdhnut,sd@croooepicytd,.doetrrgcaonoprsimebi,ys2s0if,aorxnuo(e3rd3et1rs)aGn4rs5laan2tdi4so-n1A3uogf9u1ts.htiiPsnespr,umbi7ls5is0cia0ot6niPoatnroimsp,ahyFortbaoenccomepay(dcoeantpwaoicrtt@thcio/oucnotpoiwfersi.ttchtoiems)n.wpoerrkmisshsoiuonl.dAbpeplaidcdarteisosnesdshtooutlhdebCeesnetnrtetforaOnEgaCiDs
FOREWORD
Foreword
Security/romviolenceis/undamentaltopeople'slivelihoodsandtosustainableeconomic,social
andpoliticaldevelopment.Whereviolencebreaksout,ujithinorbetweencountries,developmentis
arrested.Securitymatterstothepoorandothervulnerablegroups,especiallywomenandchildren,
andhasemergedasavitalconcernfordevelopment,reducingpovertyandachievingtheMillennium
DevelopmentGoals.Facedwithwidespreadviolentcon/lict,threatstohumansecurityandtheacute
reconstructionneedsofmanycountries,OECDgovernmentsnowrealisethat“thecost0/neglect”-
lettingcountriesdriftintodeepdifficultiesorbecomefailedstates-isfartoohighforpeople,nations
andinternationalsecurity.
MinistersandAgencyHeadsattheDevelopmentAssistanceCommittee(DAC)HighLevel
Meetingon15-16April2004endorsedthepolicystatementandpaperonSecuritySystemReform
(SSR),asaDACReferenceDocument,andaspartoftheireffortstocontinuetoimprovepoliciesand
practicestopreventviolentcon/lictandbuildpeace.Thisworkisakeycomponentofthe“human
security”agenda,developedbytheUnitedNations,which/ocusesonbuildingopenandresponsive
statesthatensurethelivelihoodsandsafetyoftheirpeople.ItcomplementstheDACGuidelines
HelpingPreventViolentConflict,areferencepointfordevelopmentco-operationinthis/ield.
TheDACReferenceDocument-policystatementandpaper-makesupPartIofthispublication.It
providesfundamentalprinciplesforSSRandrecommendsapproachesandgoodpracticeexamplesinkey
aspectsofthisemergingpolicyarea.SSRseekstoincreasepartnercountries’abilitytomeettherangeof
securityneedswithintheirsocietiesinamannerconsistentwithdemocraticnormsandsound
governanceprinciples,includingtransparencyandtheruleoflaw.Democraticallyrun,accountableand
efficientsecuritysystemscanhelpreducetherisk0/violentcon/lict.Thesecuritysystemisbroad,going
wellbeyondarmedforcesandthepolice.Itincludesthecivilauthoritiesresponsibleforoversightand
control(e.g.parliament,theexecutive,andthedefenseministry),thepoliceandgendarmerie,customs
officials,judicialandpenalinstitutions,thearmedforces,intelligenceservices.Italsoencompassescivil
society,includinghumanrightsorganisationsandthepress.
Toworke/fectivelyonSSR,whole-of-governmentframeworksandmechanismsareneeded-
bothindonoranddevelopingcountries-inordertoharnesstherange0/policyand/unding
instrumentsavailableintoacommoneffort.Thisrangeincludesdevelopmentco-operation,
diplomacy,trade,financeandinvestment,anddefence.Donorsalsoneedtodevelopcomprehensive
developmentprogrammingstrategiestohelpwithcoherenceandavoidpiecemealefforts,where
possible.Andpartnercountryownershipandbuy-iniscritical.Donorsmustalignworkinthese
contextsbehindthedevelopingcountry'sapproaches.Allexternalactorsneedtohaveakeen
understandingofthecontextandhistoryofpartnercountriesandcarefullyconsiderregional
dynamics.Thisrequireslong-termanalysisandengagement.
PartIIandtheAnnexestothisdocumentwerecontributedbyexternalconsultantsandare
basedonregionalsurveyscommissionedtoassessSSR-relatedactivitiesin110partnercountries
acrossfourregions:Africa,Asia,LatinAmericaandtheCaribbean,andtheBaltics,southeast
SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005 3
—
FOREWORD
EuropeandtheCommoniuealtho/IndependentStates.PartIIexaminestheoriginsoftheSSRagenda
andtheDAC’sroleinsupportingthedevelopment0/donorpolicyinthis/ield.TheAnnexescontain
reportsoneachofthefourregionssurveyed,analysingtheactivitiesandthechangesthatare
currentlytakingplaceinthewaythatdevelopingcountriesthinkaboutsecurity.Together,PartIIand
theAnnexesshowthattheconceptof'"security”isbeingrevisedindevelopingandtransition
countries.Theyalsoshow,however,thatsignijicantchallengesstillremain.Throughsuchanalysis
thisworkseekstoimprovedonorunderstandingofhownon-OECDcountriesviewtheSSRpolicy
agenda.Bysuggestingwaystoengagewithpartnercountries,itaimstostrengthentheimpactand
relevanceofassistanceprogrammesthroughoutthesecuritydomain.
f(LU r\.
RichardManning,
DACChairman
4 SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005
FOREWORD
Acknowledgements. ThispublicationistheworkoftheDACNetworkonCon/lict,Peace
andDevelopmentCo-operation,anditsTaskTeamonSecuritySystemReform.Itbenefited
fromananalyticpaperandatwo-yearsurveyprojectonsecuritysystemreformledby
DylanHendrickson,King’sCollegeLondonandtheSecretariatwithkeyworkbyNicoleBall,
CenterforInternationalPolicy.TheSecretariatdraftingteamwasledbyLisaWilliamswith
FrancescaCookandEdwardBell,andwithadministrativeassistance/romMarciaBystrom
andMariaConsolati.ItwaspreparedundertheguidanceofPaulIsenman.
Indevelopingthispaper,theCPDChasdrawninpartontwomajorsurveysonSSR.One
surveyofSSRcoveredactivitiesin110countriesin/ourgeographicalareas:Africa;Asia-
Paci/ic;LatinAmericaandtheCaribbean;andSouthEasternEurope,theCommonwealthof
IndependentStates(CIS)andtheBaltic.Dr.EboeHutch/ul,KayodeFayemi,MajorGeneral
DipanharBanerjee,FranciscoRojasAravenaandTanjaPetovardevelopedtheregional
surveysundertheguidanceofDylanHendricksonandtheSecretariat.Theothersurvey
lookedatdonorassistanceinitiatives.
Itdeepenspreviouswork.TheDevelopmentAssistanceCommittee(DAC)hasbeenworking
onSecuritySystemReform(SSR)sincethemid-1990sthroughitsNetworkonCon/lict,Peace
andDevelopmentCo-operation(CPDC).The/irstDACGuidelines:Conflict,Peaceand
DevelopmentCo-operation,1998,raisedtheimportanceofthelinkbetweensecurityand
development.ThiswasfurtherdevelopedintheDACGuidelines:HelpingPrevent
ViolentConflict,2001andin“SecurityIssuesandDevelopmentCo-operation:A
ConceptualFrameworkforEnhancingPolicyCoherence”,TheDACJournal,Vol.2,No.3.
ThepolicypaperalsodrawsmorebroadlyonrecentexperienceandliteratureonSSR.
InordertoachieveitsaimstheOECDhassetupanumbero/specialisedcommittees.One
o/theseistheDevelopmentAssistanceCommittee,whosemembershaveagreedto
secureanexpansionofaggregatevolumeofresourcesmadeavailabletodeveloping
countriesandtoimprovetheire^ffectiueness.Tothisend,membersperiodicallyreview
togetherboththeamountandthenatureoftheircontributionstoaidprogrammes,bilateral
andmultilateral,andconsulteachotheronallotherrelevantaspectsoftheirdevelopment
assistancepolicies.
ThemembersoftheDevelopmentAssistanceCommitteeareAustralia,Austria,Belgium,
Canada,Denmark,Finland,France,Germany,Greece,Ireland,Italy,Japan,Luxembourg,
theNetherlands,NewZealand,Norway,Portugal,Spain,Sweden,Switzerland,the
UnitedKingdom,theUnitedStatesandtheCommissionoftheEuropeanCommunities.
SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005 5
TABLEOFCONTENTS
TableofContents
Parti
PolicyandGoodPractice
PolicyStatement 11
Chapter1. Introduction 15
Background 16
Challengesandapproaches 17
Notes 18
Chapter2. IFnrtaemgreawtoirngksSecurityWorkintoDevelopment:Whole-of-Govemment 19
Definitionsandactors 20
Workingprinciplesforeffectivesecuritysystemreform 22
Improvereporting 24
Mainstreamsecurityasapublicpolicyissueandtakeawhole-of-government
approach 24
Developprogrammingstrategies 28
Promoteaneffectivedivisionoflabouramongstdevelopmentactors 29
Notes 29
Chapter3. CCoounnttirnyu-ilnegdDRoenfoorrmCoEmffmoritts:mePnrtogtroaFmamciilnigtatAipnpgrDoeavcehleosping 33
Enhancedomesticownershipofreformprocessesandstrengtheninstitutional
frameworks 34
Developcountryandcontext-specificSSRapproaches 45
Encouragegovernmentstodevelopworkablemulti-sectoralstrategies 46
Helptocreateconditionsthatwillgeneratelocaldemandforchange 47
Identifyentry-pointsanddevelopmethodsofworkingthroughlocalactors 47
Adoptaregionalperspective 50
Notes 52
ViewsfromNoPanr-tOIIECDCountries
Chapter4. OverviewofRegionalSurveyFindingsandPolicyImplications
forDonors 55
Introduction 56
BackgroundtotheGlobalSurvey 57
TranslatingtheSSRconceptintopolicyandpractice 59
Conclusions 66
Notes 68
Annex4A1.SecuritySystemReforminAfrica 71
Annex4A2.SecuritySystemReforminAsia-Pacific 91
Annex4A3.SecuritySystemReforminLatinAmericaandtheCaribbean 109
Annex4A4.SecuritySystemReformintheBaltics,theCommonwealth
ofIndependentStates,andSoutheastEurope 125
SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005 7
TABLEOFCONTENTS
Listofboxes
1.1. Women,peaceandsecurity 18
2.1. Definitionoftransitionaljustice 21
2.2. TheUnitedKingdom’ssupportforreforminSierraLeone 25
22..34.. GGooooddpprraaccttiiccee::PPorloimcoyt-idnrigvpeonlfiucyndcionhgermeenccheatnhirsomusghfundingmechanisms . 2276
2.5. Goodpractice:PartnershipforgovernancereforminIndonesia 30
3.1. CategoriesofSSR-relatedactivities 35
3.2. AGonoidnsptriatcuttiicoen:alEnahsasnecsisnmgendtemforcarmaetwiocrgkovernanceofthesecuritysector: 36
3.3. Goodpractice:SouthAfrica’sDefenceReviewprocess 37
3.4. Goodpractice:Managingrisks:Integratingthedefencesector
intopublicexpenditurework 38
3.5. Goodpractice:Supportingandlinkingregionalnetworks 40
33..67.. WGeooadpopnrasctfiocre:deCvaeplaocpimteynbtu:ilAdicnogmopfrethheenSsoiuvteh,Acformicmaunnipotlyi-cbeasseervdicaepproach 41
inCambodia 42
333...891..0. AGGsoosooiddstpparrnaacccettiifccoeer::DLUiDNnRDkiPinngsAusfpmgpaholarlntiasfrotmrasnd:iaaCnlodomgSpuSerReohnendsefievneceapipsrsouaeschestoSSR.... 444354
3.11. SSRinSierraLeone 46
3.12. Goodpractice:RegionalAssistanceMissiontoSolomonIslands(RAMSI).... 47
3.13. Goodpractice:UsinganentrypointforSSR-Uganda’sStrategicSecurity
Assessment 48
3.14. Goodpractice:South-Southdialoguesonsecuritysystemgovernance
andtransformation 49
3.15. Goodpractice:ParticipatoryframeworksforSSR 49
3.16. RegionalcomprehensivedevelopmentassistancetoAfghanistan:
“TheOgataInitiative” 51
4.1. Methodologyfortheregionalsurveys 67
4A1.1.SouthAfricanWhitePaperonDefence 77
4A1.2.African“SSR” 80
44AA11..34..HCoowmmeoasnyAifsriitctaoncDoenfdeunccteraensedaSrecchuorintySSPRo?licy 8815
4A1.5.Uganda’sSecurityPolicyFramework 86
4A2.1.Uzbekistan’smilitarydoctrine 98
4A2.2.Defencereformasapoliticalprocess 100
4A2.3.Off-budgetmilitaryspending 101
4A2.4.Buildingcivilsocietycapacity 103
4A3.1.Locally-generatedinformationandconfidencebuilding Ill
4A3.2.Crisisofpublicconfidenceinnationalinstitutions 114
4A3.3.EasternCaribbeanRegionalSecuritySystem(RSS) 115
4A3.4.DeclarationofNuevoLeon,Mexico2003 118
4A3.5.Impactofthe“waronterror” 119
4A4.1.Understandingthecommunistlegacy 127
4A4.2.Theroleof“shadow”securitysystems 128
4A4.3.TheNationalSecurityConceptofLatvia(Unofficialtranslation) 130
4A4.4.TheenduringinfluenceoftheKGB 138
4A4.5.Separating“profound”from“cosmetic”reforms 139
Listoffigures
2.1. Securitysystemreformandotherrelatedactivities 20
3.1. Frameworkfordevelopingasecuritysystemgovernancestrategy 36
8 SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005
PARTI
Policy and Good Practice
SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005
POLICYSTATEMENT
PolicyStatement
SecuritySystemReformandGovernance:PolicyandGoodPractice
Securityisfundamentaltopeople’slivelihoods,reducingpovertyandachievingtheMillennium
DevelopmentGoals.Itrelatestopersonalandstatesafety,accesstosocialservicesandpolitical
processes.Itisacoregovernmentresponsibility,necessaryforeconomicandsocialdevelopment
andvitalfortheprotectionofhumanrights.
Securitymatterstothepoorandothervulnerablegroups,especiallywomenandchildren,because
badpolicing,weakjusticeandpenalsystemsandcorruptmilitariesmeanthattheysuffer
disproportionatelyfromcrime,insecurityandfear.Theyareconsequentlylesslikelytobeabletoaccess
governmentservices,investinimprovingtheirownfuturesandescapefrompoverty.
Securityisimportantforimprovedgovernance.Inappropriatesecuritystructuresand
mechanismscancontributetoweakgovernanceandtoinstabilityandviolentconflict,whichimpact
negativelyonpovertyreduction.AstheUNSecretaryGeneralnotesinhisSeptember2003reporton
theMillenniumDeclaration,“Wemustmakeevengreatereffortstopreventtheoutbreakofviolence
wellbeforetensionsandconflictshaveerodedpolitiesandeconomiestothepointofcollapse”.
OECDgovernmentsandtheirdevelopmentactorsaimtohelppartnercountriesestablish
appropriatestructuresandmechanismstomanagechangeandresolvedisputesthroughdemocratic
andpeacefulmeans.Supportforsecuritysystemreform(SSR)formspartofthisassistance.Itseeks
toincreasetheabilityofpartnercountriestomeettherangeofsecurityneedswithintheirsocieties
inamannerconsistentwithdemocraticnormsandsoundprinciplesofgovernanceandtheruleof
law.GivenrestrictionsonOfficialDevelopmentAssistance(ODA),interestedOECDgovernmentsmay
needtodrawonnon-ODAsourcestoassistactivitiesinthisarea.
SSRisakeycomponentofthebroader“humansecurity”agenda,developedwithleadershipfrom
theUnitedNationsDevelopmentProgramme(UNDP)anddescribedinHumanSecurityNow,thereportof
theUNCommissiononHumanSecurity.Thehumansecurityagendaincludes,forexample,issuesof
livelihoodsandsocialorganisationofthepoorthatgobeyondthosecoveredhere.SSRitselfalsoextends
wellbeyondthenarrowerfocusofmoretraditionalsecurityassistanceondefence,intelligenceand
policing.Thesecuritysystemincludesthearmedforces,thepoliceandgendarmerie,intelligence
servicesandsimilarbodies,judicialandpenalinstitutions,aswellastheelectedanddulyappointedcivil
authoritiesresponsibleforcontrolandoversight(e.g.Parliament,theExecutive,andtheDefence
Ministry).
Withthispolicystatementandpaper,DACdonorsintendtohelptheirowngovernments/
organisations,developingcountriesandinternationalorganisationstoreinforceworkonSSR.This
requiresstrategicplanningforimprovedpolicies,practicesandpartnershipsamongstallactors.The
DACalsoreaffirmsitscommitmenttoworkonthesecurityanddevelopmentnexusagreedintheDAC
Guidelinesandpolicystatement:HelpingPreventViolentConflict
SECURITYSYSTEMREFORMANDGOVERNANCE-ISBN92-64-00786-5-©OECD2005 11