DDR Programme Design

Summary

Each programme design cycle, including the disarmament, demobilization and reintegration (DDR) programme design cycle, has three stages: (1) detailed field assessments; (2) detailed programme development and costing of requirements; and (3) development of an implementation plan. Throughout the programme design cycle, it is of the utmost importance to use a flexible approach. While experiencing each stage of the cycle and moving from one stage to the other, it is important to ensure coordination among all the participants and stakeholders involved, especially national stakeholders. A framework that would probably work for integrated DDR programme design is the post-conflict needs assessment (PCNA), which ensures consistency between United Nations (UN) and national objectives, while considering differing approaches to DDR.

Before the detailed programme design cycle can even begin, a comprehensive field needs assessment should be carried out, focusing on areas such as the country’s social, economic and political context; possible participants, beneficiaries and partners in the DDR programme; the operational environment; and key priority objectives. This assessment helps to establish important aspects such as positive or negative factors that can affect the outcome of the DDR programme, baseline factors for programme design and identification of institutional capacities for carrying out DDR.

During the second stage of the cycle, key considerations include identifying DDR participants and beneficiaries, as well as performance indicators, such as reintegration opportunities, the security situation, size and organization of the armed forces and groups, socio-economic baselines, the availability and distribution of weapons, etc. Also, methodologies for data collection together with analysis of assessment results (quantitative, qualitative, mass surveys, etc.) need to be decided.

When developing DDR programme documents, the central content should be informed by strategic objectives and outcomes, key principles of intervention, preconditions and, most importantly, a strategic vision and approach. For example, in determining an overall strategic approach to DDR, the following questions should be asked: (1) How will multiple components of DDR programme design reflect the realities and needs of the situation? (2) How will eligibility criteria for entry in the DDR programme be determined? (3) How will DDR activities be organized into phases and in what order will they take place within the recommended programme time-frame? (4) Which key issues are vital to the implementation of the programme? Defining the overall approach to DDR defines how the DDR programme will, ultimately, be put into operation.

When developing the results and budgeting framework, an important consideration should be ensuring that the programme that is designed complies with the peacekeeping results-based budgeting framework, and establishing a sequence of stages for the implementation of the programme.

The final stage of the DDR programme design cycle should include developing planning instruments to aid practitioners (UN, non-UN and government) to implement the activities and strategies that have been planned. When formulating the sequence of stages for the implementation of the programme, particular attention should be paid to coordinated management arrangements, a detailed work plan, timing and methods of implementation.

1. Module scope and objectives

This module provides guidance on how to develop a DDR programme. It is therefore the fourth stage of the overall DDR planning cycle, following the assessment of DDR requirements (which forms the basis for the DDR mandate) and the development of a strategic and policy framework for UN support to DDR (which covers key objectives, activities, basic institutional/operational requirements, and links with the joint assessment mission (JAM) and other processes; also see IDDRS 3.10 on Integrated DDR Planning: Processes and Structures).

This module does not deal with the actual content of DDR processes (which is covered in IDDRS Levels 4 and 5), but rather describes the methods, procedures and steps necessary for the development of a programme strategy, results framework and operational plan. Assessments are essential to the success or failure of a programme, and not a mere formality.

2. Terms, definitions and abbreviations

Annex A contains a list of the abbreviations used in this standard. A complete glossary of all the terms, definitions and abbreviations used in the series of integrated DDR standards (IDDRS) is given in IDDRS 1.20.

In the IDDRS series, the word ‘shall’, ‘should’ and ‘may’ are used to indicate the intended degree of compliance with the standards laid down. This use is consistent with the language used in the International Organization for Standardization standards and guidelines:

a) ‘shall’ is used to indicate requirements, methods or specifications that are to be applied in order to conform to the standard.

b) ‘should’ is used to indicate the preferred requirements, methods or specifications.

c) ‘may’ is used to indicate a possible method or course of action.”

3. Introduction

In the past, the quality, consistency and effectiveness of UN support for DDR has sufferred as a result of a number of problems, including a narrowly defined ‘operational/logistic’ approach, inadequate attention to the national and local context, and poor coordination between UN actors and other partners in the delivery of DDR support services.

The IDDRS are intended to solve most of these problems. The application of an integrated approach to DDR should go beyond integrated or joint planning and organizational arrangements, and should be supported by an integrated programme and implementation framework for DDR.

In order to do this, the inputs of various agencies need to be defined, organized and placed in sequence within a framework of objectives, results and outputs that together establish how the UN will support each DDR process. The need for an all-inclusive programme and implementation framework is emphasized by the lengthy time-frame of DDR (which in some cases can go beyond the lifespan of a UN peacekeeping mission, necessitating close cooperation with the UN country team), the multisectoral nature of interventions, the range of sub-processes and stakeholders, and the need to ensure close coordination with national and other DDR-related efforts.

4. The programme design cycle

DDR programme and implementation plans are developed so as to provide further details on the activities and operational requirements necessary to achieve DDR goals and carry out the strategy identified in the initial planning of DDR. In the context of integrated DDR approaches, DDR programmes also provide a common framework for the implementation and management of joint activities among actors in the UN system.

In general, the programme design cycle consists of three main stages:
I: Conducting a detailed field assessment;
II: Preparing the programme document and budget;
III: Developing an implementation plan.

Given that the support provided by the UN for DDR forms one part of a larger multi-stakeholder process, the development of a UN programme and implementation framework should be carried out with national and other counterparts, and, as far as possible, should be combined with the development of a national DDR programme.

There are several frameworks that can be used to coordinate programme development efforts. One of the most appropriate frameworks is the post-conflict needs assessment (PCNA) process, which attempts to define the overall objectives, strategies and activities for a number of different interventions in different sectors, including DDR. The PCNA represents an important mechanism to ensure consistency between UN and national objectives and approaches to DDR, and defines the specific role and contributions of the UN, which can then be fed into the programme development process.

5. Stage I: Conducting a detailed field assessment

5.1 Objectives

A detailed field assessment builds on assessments and planning for DDR that have been carried out in the pre-planning and technical assessment stages of the planning process (also see IDDRS 3.10 on Integrated DDR Planning: Processes and Structures). Contributing to the design of the DDR programme, the detailed field assessment:

deepens understanding of key DDR issues and the broader operating environment;

verifies information gathered during the technical assessment mission;

verifies the assumptions on which planning will be based, and defines the overall approach of DDR;

identifies key priority objectives, issues of concern, and target and performance indicators;

identifies operational DDR options and interventions that are precisely targeted, realistic and sustainable.

5.2. Planning for an assessment

The following should be considered when planning a detailed field assessment for DDR:

Scope: From the start of DDR, practitioners should determine the geographical area that will be covered by the programme, how long the programme will last, and the level of detail and accuracy needed for its smooth running and financing. The scope and depth of this detailed field assessment will depend on the amount of information gathered in previous assessments, such as the technical assessment mission. The current political and military situation in the country concerned and the amount of access possible to areas where combatants are located should also be carefully considered;

Thematic areas of focus: The detailed field assessment should deepen understanding, analysis and assessments conducted in the pre-mission period. It therefore builds on information gathered on the following thematic areas:

political, social and economic context and background;

causes, dynamics and consequences of the armed conflict;

identification of specific groups, potential partners and others involved in the discussion process;

distribution, availability and proliferation of weapons (primarily small arms and light weapons);

institutional capacities of national stakeholders in areas related to DDR;

survey of socio-economic conditions and local capacities to absorb ex-combatants and their dependants;

preconditions and other factors that will influence DDR;

baseline data and performance indicators for programme design, implementation, monitoring and evaluation.

(Also see Annex B of IDDRS 3.10 on Integrated DDR Planning: Processes and Structures.);

Expertise: The next step is to identify the DDR expertise required. Assessment teams should be composed of specialists in all aspects of DDR (see IDDRS Level 5 for more information on the different needs that have to be met during a DDR mission). To ensure coherence with the political process and overall objectives of the peacekeeping mandate, the assessment should be led by a member of the UN DDR unit;

Local participation: Where the political situation allows, national and local participation in the assessment should be emphasized to ensure that local analyses of the situation, the needs and appropriate solutions are reflected and included in the DDR programme. There is a need, however, to be aware of local bias, especially in the tense immediate post-conflict environment;

Building confidence and managing expectations: Where possible, detailed field assessments should be linked with preparatory assistance projects and initiatives (e.g., community development programmes and quick-impact projects) to build confidence in and support for the DDR programme. Care must be taken, however, not to raise unrealistic expectations of the DDR programme;

Design of the field assessment: Before starting the assessment, DDR practitioners should:

identify the research objectives and indicators (what are we assessing?);

identify the sources and methods for data collection (where are we going to obtain our information?);

develop appropriate analytical tools and techniques (how are we going to make sense of our data?);

develop a method for interpreting the findings in a practical way (how are we going to apply the results?);

Being flexible: Thinking about and answering these questions are essential to developing a well-designed approach and work plan that allows for a systematic and well-structured data collection process. Naturally, the approach will change once data collection begins in the field, but this should not in any way reduce its importance as an initial guiding blueprint.

5.3. Implementing the assessment

In order to provide structured and precise data (both qualitative and quantitative) for the development of a DDR programme strategy and the accompanying implementation plan, the assessment should collect data on the basis of clear research objectives and indicators.

Assessment objectives and indicators can be divided into two main categories:

1) an assessment of the operational environment for DDR (see Annex B for a complete framework for the analysis of a DDR operating environment);

2) an assessment of those expected to participate in the DDR programme and of performance indicators (see Annex C for a complete framework for the analysis of DDR participants and beneficiaries, and performance indicators).

5.3.1. Framework for an assessment

An assessment of the DDR operating environment, potential participants, and programme and performance indicators should include the following:

assessment objectives;

indicators;

methodology;

risks and assumptions.

5.3.2. Assessing the operational environment for DDR: Assessment objectives

The following should be taken into account when analysing the operational environment in which DDR will take place:

Identify factors that can positively or negatively affect the outcome of DDR: A number of legal, political, socio-economic, security, regional and international factors can influence the prospects, effectiveness and sustainability of a DDR programme. Using relevant indicators, these factors need to be identified and mapped in order to clearly define the policy and operational environment, identify key preconditions and foundations, and enable effective threat analysis and the development of strategies to reduce risk;

Map baseline indicators to prepare appropriate benchmarks for DDR programme design: DDR programmes have two general aims: to decrease the overall incidence of (or potential for) armed violence; and to improve the socio-economic conditions and productivity in host communities. Defining baseline indicators in both these areas (including, for example, the incidence and type of violence and demographic community profiles) can allow the development of appropriate programme strategies and serve as programme design benchmarks;

Assess institutional capacities to undertake DDR: The extent of UN support to a DDR programme will depend on the level of national institutional and other capacities within the government, civil society and communities. Assessing existing capacity in the areas of disarmament/weapons control, demobilization, reintegration and the ability of communities to absorb ex-combatants and their dependants therefore provides key indicators for establishing the extent and scope of UN support for DDR.

5.3.3. Assessing the operational environment for DDR: Assessment indicators

Analysis of the objectives should be based on a review of following indicators (factors):

5.3.4. Identifying DDR participants and beneficiaries, and performance indicators: Assessment objectives

To establish the appropriate performance indicators when analysing the potential participants in the DDR programme, five factors should be considered:

The size, organization and deployment of participants: The size and nature of the DDR programme will depend, to a large extent, on the number, organization and profile of eligible combatants. Collecting data on both command and control, and combatant profiles (military, socio-economic, demographic, location, sex, age, health, and numbers of non-combatant associates and dependants) provides DDR programme designers with a way to accurately assess overall group size, identify client groups, and design the DDR approach according to the specific organization and profile of the armed forces and groups;

The availability and distribution of weapons: The extent to which a DDR programme is able to effectively reduce the availability of weapons in a post-conflict context is determined to some degree by the accuracy of disarmament/weapons collection targets. In order to set these, it is necessary to estimate the total number of weapons available, as well as their distribution. This information can allow the identification and prioritization of programme participants, help refine incentive schemes to increase the numbers of weapons collected, and be used as a baseline to assess the overall effectiveness of the weapons reduction component of DDR;

The reintegration opportunities for the primary participant group: The sustainable socio-economic reintegration of ex-combatants, women and children associated with armed forces and groups, and dependants, requires the development of economically viable reintegration options and strategies. The development of reintegration schemes should be based on a thorough understanding of conditions in areas of return/resettlement (including local markets for goods and services, infrastructure and economic needs), as well as an assessment of viable reintegration options;

The socio-economic baseline in the country under reconstruction: DDR programmes should contribute to improving the economic conditions in host communities through increased security, and through programmes that boost employment and economic productivity. Measuring key development indicators before and after DDR programme implementation will help to assess the effectiveness of DDR in meeting these goals;

The security situation: Obtaining data on levels of armed violence, impacts on security (direct/indirect), levels and types of victimization, and local perceptions of security helps to establish a baseline against which to measure changes in the security situation and the contribution of DDR to an overall increase in security.

5.3.5. Identifying DDR participants and performance indicators: Assessment indicators

A review of the following indicators should be carried out:

5.3.6. Methodologies for data collection

Once the outlines for the assessment have been developed, the next stage should be to decide on the best methods to collect data, some of which are:

direct observation;

key informant interviews and focus groups;

mass surveys;

market research;

institutional capacity research;

sampling.

The best approach is to be flexible and ‘mix and match’ methodologies. Data should be collected from as broad a sample as possible, and particular efforts should be made to include women, younger people (youth) and children. In an unstable context with unreliable or fragmentary data, multiple sources and techniques can be used, and results derived through triangulation or cross-checking of information.

The sections below describe each one of these methodologies for data collection.

5.3.6.1. Direct observation

Several vital types of information can only be collected by direct observation. This can include sighting weapons (recording type, model, serial number, country of manufacture and condition); examining weapons caches and stockpiles (geographic location, distribution, contents and condition of weapons, physical size, etc.); recording information on military installations and forces (location, size, identity, etc.); investigating weapons markets and other commercial transactions (supply and demand, prices, etc.); and recording the effects of small arms (displaced camps and conditions, destruction of infrastructure, types of wounds caused by small arms, etc.). Direct observation may also be a useful technique to obtain information about ‘hidden’ members of armed groups and forces, such as children, abductees and foreign fighters, whose association with the group may not be formally acknowledged.

5.3.6.2. Key informant interviews and focus groups

Interviews and focus groups are essential to obtain information on, for example, command structures, numbers and types of people associated with the group, weaponry, etc., through direct testimony and group discussions. Vital information, e.g., numbers, types and distribution of weapons, as well as on weapons trafficking, children and abductees being held by armed forces and groups and foreign fighters (which some groups may try to conceal), can often be obtained directly from ex-combatants, local authorities or civilians. Although the information given may not be quantitatively precise or reliable, important qualitative conclusions can be drawn from it. Corroboration by multiple sources is a tried and tested method of ensuring the validity of the data (also see IDDRS 4.10 on Disarmament, IDDRS 5.10 on Women, Gender and DDR, IDDRS 5.20 on Youth and DDR, IDDRS 5.30 on Children and DDR and IDDRS 5.40 on Cross-border Population Movements).

5.3.6.3. Mass-based surveys

Surveys can reveal important information, e.g., on trends in weapons availability, possession and distribution among ex-combatants; or information on the extent and nature of armed violence against civilians. The success or failure of a mass-based survey ultimately depends on several factors, including the willingness of combatants and civilians to disclose sensitive information, access to affected areas, design and administration of the questionnaire (is it easy to understand and administer?), and the extent to which the sample used in the survey is inclusive and representative.

5.3.6.4. Participatory assessments

Participatory assessments, using the tools and methodology of participatory rural assessment (PRA)i, is a useful methodology when the real issues and problems are not known to the researcher, and provides a way to avoid the problem of researcher bias in orientation and analysis. It is a particularly useful methodology when working with illiterate people, and can be adapted for use with different ages and sexes. To date, PRA tools have been used in security-related research, e.g.: for a small arms assessment, to explore subjective perceptions of small arms-related insecurity (e.g., what impacts are most felt by civilians?); to obtain overviews of militia organizations and weapons distribution (through social mapping and history time-line exercises); and to identify community perceptions of matters relating to security sector reform (SSR), e.g., policing.

5.3.6.5. Market research

Two sets of market research should be carried out. The first focuses on gathering information relating to small arms. This could include: information on prices and how these have changed over time; identification of companies and other entities involved in weapons production, procurement and distribution; and details on weapons pipelines. This can provide important data on the nature, size and dynamics of the market or trade in small arms. Price information, particularly when collected at different locations within a country, can give insights into supply and demand dynamics that reveal differences in the extent of small arms proliferation and availability. Market research can also be used as a preventive measure by monitoring small arms prices, where a dramatic spike in prices usually indicates an upsurge in demand.

A second set of market research should focus on gathering information on the local economic and employment situation so as to identify opportunities in the job market for reintegrating combatants (also see IDDRS 4.30 on Social and Economic Reintegration).

5.3.6.6. Institutional capacity assessments

An assessment of the national institutional capacity to manage and implement the different aspects of DDR requires an evaluation of existing institutions and systems, human resources, and capacities. Three issues are of particular importance: the examination of existing capacities, as compared with those that are still needed; the efficiency and effectiveness of existing management structures; and the adequacy of legal and regulatory frameworks. This assessment should provide information on institutional capacities for weapons collection and control, institutional coordination, managing and running demobilization camps, managing information flows, and providing support for reintegration planning and implementation.

5.3.6.7. Sampling

Although not a method for collecting or analysing information, sampling is a useful tool for determining the scope, focus and precision of data collection activities, and should be used together with all of the methods described above. Through sampling, general insight on specific DDR issues can be obtained from civilian populations and subgroups (especially armed forces and groups). The key to obtaining valid assumptions through sampling is to ensure that the population sampled is representative, i.e., has characteristics broadly similar to those of the entire population. The decision whether to use random as opposed to non-random sampling, or stratified as opposed to clustered sampling must be taken after a careful assessment of the context, research needs and amount of diversity in the population that is being studied.

6. Stage II: Preparing the DDR programme document

Designing a comprehensive DDR programme document is a time- and labour-intensive process that usually takes place after a peacekeeping mission has been authorized, and before deployment in the field has started.

The programme document represents a blueprint for how DDR will be put into operation, and by whom. It is different from an implementation plan (which is often more technical), provides time-lines and information on how individual DDR tasks and activities will be carried out, and assigns responsibilities.

The comprehensive DDR assessment will be the main source of primary data on which to draw when defining programme strategies, targets and so on. The programme design process should also be based on pre-existing assessments and strategy development, most importantly the pre-mandate assessment and concept of operations, and should revalidate, refine and build on these key elements:

strategic objectives and outcomes;

key principles of intervention;

preconditions;

strategic vision and approach.

The key components of a DDR programme document are shown in the table below:

6.1. Contextual analysis and rationale

The DDR programme document should be based on an in-depth understanding of the national or local context and the situation in which the programme is to be implemented, as this will shape the objectives, overall strategy and criteria for entry, as follows:

General context and problem: This defines the ‘problem’ of DDR in the specific context in which it will be implemented (levels of violence, provisions in peace accords, lack of alternative livelihoods for ex-combatants, etc.), with a focus on the nature and consequences of the conflict; existing national and local capacities for DDR and SSR; and the broad political, social and economic characteristics of the operating environment;

Rationale and justification: Drawing from the situation analysis, this explains the need for DDR: why the approach suggested is an appropriate and viable response to the identified problem, the antecedents to the problem (i.e., what caused the problem in the first place) and degree of political will for its resolution; and any other factors that provide a compelling argument for undertaking DDR. In addition, the engagement and role of the UN should be specified here;

Overview of armed forces and groups: This section should provide an overview of all armed forces and groups and their key characteristics, e.g., force/group strength, location, organization and structure, political affiliations, type of weaponry, etc. This information should be the basis for developing specifically designed strategies and approaches for the DDR of the armed forces and groups (see Annex D for a sample table of armed forces and groups);

Definition of participants and beneficiaries: Drawing on the comprehensive assessments and profiles of armed groups and forces and levels of violence that are normally included in the framework, this section should identify which armed groups and forces should be prioritized for DDR programmes. This prioritization should be based on their involvement in or potential to cause violence, or otherwise affect security and the peace process. In addition, subgroups that should be given special attention (e.g., special needs groups) should be identified;

Socio-economic profile in areas of return: A general overview of socio-economic conditions in the areas and communities to which ex-combatants will return is important in order to define both the general context of reintegration and specific strategies to ensure effective and sustainable support for it. Such an overview can also provide an indication of how much pre-DDR community recovery and reconstruction assistance will be necessary to improve the communities’ capacity to absorb former combatants and other returning populations, and list potential links to other, either ongoing or planned, reconstruction and development initiatives.

6.2. DDR programme objectives

Because the DDR programme document should contain strategies and requirements for a complex and multi-component process, it should be guided by both an overall goal and a series of smaller objectives that clearly define expected outputs in each subsector. While generic (general) objectives exist, they should be adapted to the realities and needs of each context. The set of general and specific objectives outlined in this section make up the overall framework for the DDR programme.

Example: Objectives of the national DDR programme in the Democratic Republic of the Congo (DRC)

General objective: Contribute to the consolidation of peace, national reconciliation and the socio-economic reconstruction of the country, as well as regional stability.

Specific objectives:

Disarm combatants belonging to the armed groups and forces that will not be integrated into the DRC armed forces or in the police, as foreseen in the DRC peace accords;

Demobilize the military elements and armed groups not eligible for integration into the DRC armed forces;

Reintegrate demobilized elements into social and economic life within the framework of community productive systems.

6.3. Guiding principles

The guiding principles specify those factors, considerations and assumptions that are considered important for a DDR programme’s overall viability, effectiveness and sustainability. These guiding principles must be taken into account when developing the strategic approach and activities. Universal (general) principles (see IDDRS 2.10 on the UN Approach to DDR) can be included, but principles that are specific to the operating context and associated requirements should receive priority. Principles can apply to the entire DDR programme, and need not be limited to operational or thematic issues alone; thus they can include political principles (how DDR relates to political processes), institutional principles (how DDR should be structured institutionally) and operational principles (overall strategy, implementation approach, etc.).

6.4. Preconditions and foundations for DDR

This section defines the issues that must be dealt with or included in the design of the DDR programme in order to ensure its effectiveness and viability. These include preconditions (i.e., those factors that must be dealt with or be in place before DDR implementation starts), as well as foundations (i.e., those aspects or factors that must provide the basis for planning and implementing DDR). In general, preconditions and foundations can be divided into those that are vital for the overall viability of DDR and those that can influence the overall efficiency, effectiveness and relevance of the process (but which are not vital in determining whether DDR is possible or not).

Example: Preconditions and foundations for DDR in Liberia

A government-driven process of post-conflict reconciliation is developed and implemented in order to shape and define the framework for post-conflict rehabilitation and reintegration measures;

A National Transitional Government is established to run the affairs of the country up until 2006, when a democratically elected government will take office;

Comprehensive measures to stem and control the influx and possible recycling of weapons by all armed forces and groups and their regional network of contacts are put in place;

The process of disbandment of armed groups and restructuring of the Liberian security forces is organized and begun;

A comprehensive national recovery programme and a programme for community reconstruction, rehabilitation and reintegration are simultaneously developed and implemented by the government, the United Nations Development Programme (UNDP) and other UN agencies as a strategy of pre-positioning and providing assistance to all war-affected communities, refugees and internally displaced persons (IDPs). This programme will provide the essential drive and broader framework for the post-war recovery effort;

Other complementary political provisions in the peace agreement are initiated and implemented in support of the overall peace process;

A complementary community arms collection programme, supported with legislative process outlawing the possession of arms in Liberia, would be started and enforced following the completion of formal disarmament process.

6.5. Overall strategic approach to DDR

While the objectives, principles and preconditions/foundations establish the overall design and structure of the DDR programme, a description of the overall strategic approach is essential in order to explain how DDR will be implemented. This section is essential in order to:

explain how the multiple components of DDR will be designed to reflect realities and needs, thus ensuring efficiency, effectiveness and sustainability of the overall approach;

explain how the targets for assisting DDR participants and beneficiaries (number of ex-combatants assisted, etc.) will be met;

explain how the various components and activities of DDR will be divided into phases and sequenced (planned over time) within the programme time-frame;

identify issues that are critical to the implementation of the overall programme and provide information on how they will be dealt with.

6.5.1. Defining the approach to DDR

The core components of DDR (demobilization, disarmament and reintegration) can vary significantly in terms of how they are designed, the activities they involve and how they are implemented. In other words, although the end objective may be similar, DDR varies from country to country. Each DDR process must be adapted to the specific realities and requirements of the country or setting in which it is to be carried out. Important issues that will guide this are, for example, the nature and organization of armed forces and groups, the socio-economic context and national capacities. These need to be defined within the overall strategic approach explaining how DDR is to be put into practice, and how its components will be sequenced and implemented (also see IDDRS 2.10 on the UN Approach to DDR).

6.5.1.1. Putting DDR into operation

The specific context in which a DDR programme is to be implemented, the programme requirements and the best way to reach the defined objectives will all affect the way in which a DDR operation is conceptualized. When developing a DDR concept, there is a need to: describe the overall strategic approach; justify why this approach was chosen; describe the activities that the programme will carry out; and lay out the broad operational methods or guidelines for implementing them. In general, there are three strategic approaches that can be taken (also see IDDRS 4.20 on Demobilization):

DDR of conventional armed forces, involving the structured and centralized disarmament and demobilization of formed units in assembly or cantonment areas. This is often linked to their restructuring as part of an SSR process;

DDR of armed groups, involving a decentralized demobilization process in which individuals are identified, registered and processed; incentives are provided for voluntary disarmament; and reintegration assistance schemes are integrated with broader community-based recovery and reconstruction projects;

A ‘mixed’ DDR approach, combining both of the above models, used when participant groups include both armed forces and armed groups;

After a comprehensive assessment of the operational guidelines according to which DDR will be implemented, a model should be created as a basis for planning (see Annexes C and D. Annex E illustrates an approach taken to DDR in the DRC).

In addition to defining how to operationalize the core components of DDR, the overall strategic approach should also describe any other components necessary for an effective and viable DDR process. For the most part, these will be activities that will take throughout the DDR programme and ensure the effectiveness of core DDR components. Some examples are:

awareness-raising and sensitization (in order to increase local understanding of, and participation in, DDR processes);

capacity development for national institutions and communities (in contexts where capacities are weak or non-existent);

weapons control and management (in contexts involving widespread availability of weapons in society);

repatriation and resettlement (in contexts of massive internal and cross-border displacement);

local peace-building and reconciliation (in contexts of deep social/ethnic conflict).

6.5.1.2. Sequencing and phasing of DDR

Once the main components of a DDR programme have been identified, an overall strategy for implementation needs to be drawn up. The overall strategy should usually be developed on the basis of operational objectives and targets broken down by time period or programme phase. This enables practitioners to see in broad terms how DDR will be implemented, plan the allocation of resources and other requirements, and coordinate among themselves.

Example: Sequencing and phasing of DDR operations in Haiti

6.5.2. Strategic elements of a DDR programme

As programme scale and scope, participants and beneficiaries, eligibility criteria, incentive schemes, and monitoring and evaluation all affect programme design, they should be considered when developing a DDR strategy.

6.5.2.1. Scale and scope

The scale of a DDR programme is determined by the number of beneficiaries and the geographical area the programme covers (most often determined by the size of the country or region where the programme is taking place). These figures determine the complexity, size and resource requirements for the programme, and must be estimated at the programme design stage.

The extent to which a DDR programme directly includes activities that formally belong to other sectors determines its scope or extent (i.e., exactly how much it is going to try and achieve). In the past, DDR programmes focused strictly on the core components of disarmament, demobilization and reintegration. Today, most DDR programmes include or take account of activities relating to SSR (such as weapons control and regulation), peace-building and reconciliation, and community recovery and reconstruction (also see IDDRS 2.10 on the UN Approach to DDR and IDDRS 2.20 on Post-conflict Stabilization, Peace-building and Recovery Frameworks).

6.5.2.2. DDR participants

The identification of DDR participants affects the size and scope of a DDR programme. DDR participants are usually prioritized according to their political status or by the actual or potential threat to security and stability that they represent. They can include regular armed forces, irregular armed groups, militias and paramilitary groups, self-defence groups, members of private security companies, armed street gangs, vigilance brigades and so forth.

Among the beneficiaries are communities, who stand to benefit the most from improved security; local and state governments; and State structures, which gain from an improved capacity to regulate law and order. Clearly defining DDR beneficiaries determines both the operational role and the expected impacts of programme implementation.

6.5.2.3. Operational role

Another important factor that determines the scope of a DDR programme is the extent of national capacity and the involvement of national and non-UN bodies in the implementation of DDR activities. In a country with a strong national capacity to implement DDR, the UN’s operational role (i.e. the extent to which it is involved in directly implementing DDR activities) should be focused more on ensuring adequate coordination than on direct implementation activities. In a country with weak national implementing capacity, the UN’s role in implementation should be broader and more operational.

6.5.3.4. Eligibility criteria

Eligibility criteria provide a mechanism for determining who should enter a DDR programme and receive reintegration assistance. This often involves proving combatant status or membership of an armed force or group. It is easier to establish the eligibility of participants to a DDR programme when this involves organized, legal armed forces with members who have an employment contract. When armed groups are involved, however, there will be difficulties in proving combatant status, which increases the risk of admitting non-combatants and increasing the number of people who take part in a DDR programme. In such cases, it is important to have strict and well-defined eligibility criteria, which can help to eliminate the risk of non-combatants gaining access to the programme (also see IDDRS 4.20 on Demobilization).

6.5.3.5. Incentive schemes

When targeting armed groups in a DDR programme, their often-weak command and control structures should be taken into account, and it should not be assumed that combatants will obey their commanders’ orders to enter DDR programmes. Moreover, there may also be risks or stigma attached to obeying such orders (i.e., fear of reprisals), which discourages people from taking part in the programme. In such cases, incentive schemes, e.g., the offering of individual or collective benefits, may be used to overcome the combatants’ concerns and encourage participation. It is important also to note that awareness-raising and public information on the DDR programme can also help towards overcoming combatants’ concerns about entering a DDR programme.

Incentives may be directly linked to the disarmament, demobilization or reintegration components of DDR, although care should be taken to avoid the perception of ‘cash for weapons’ or weapons buy-back programmes when these are linked to the disarmament component. If used, incentives should be taken into consideration in the design of the overall programme strategy.

6.5.3.6. Monitoring and evaluation

The development of baseline data is vital to measuring the overall effectiveness and impact of a DDR programme. Baseline data and indicators are only useful, however, if their collection, distribution, analysis and use are systematically managed. DDR programmes should have a good monitoring and information system that is integrated with the entire DDR programme, allowing for information collected in one component to be available in another, and for easy cross-referencing of information. The early establishment of an information management strategy as part of the overall programme design will ensure that an appropriate monitoring and evaluation system can be developed once the programme is finalized (also see IDDRS 3.50 on Monitoring and Evaluation of DDR Programmes).

6.6. DDR strategies

Once the strategic approach for the DDR programme has been designed, detailed implementation strategies should be developed for each programme component. These may be annexed to the original programme document or developed as separate documents. Each strategy should include the following:

the objective of the component;

the strategic approach and methods adopted for its implementation;

an explanation of how key issues and considerations will be dealt with;

an overview of the implementation process and key activities necessary to achieve the objective.

Issues that should be considered include:

6.7. Ensuring cross-programme links with broader transition and recovery frameworks

In most cases, the development of DDR programmes happens at the same time as the development of programmes in other sectors such as rule of law, SSR, reintegration and recovery, and peace-building. The DDR programmes should be linked, as far as possible, to these other processes so that each process supports and strengthens the others and helps integrate DDR into the broader framework for international assistance. DDR should be viewed as a component of a larger strategy to achieve post-conflict objectives and goals. Other processes to which DDR programme could be linked include JAM/PCNA activities, and the development of a common country assessment/UN development assessment framework and poverty reduction strategy paper (also see IDDRS 2.20 on Post-conflict Stabilization, Peace-building and Recovery Frameworks).

7. Developing the results and budgeting framework

A key part of programme design is the development of a logical framework that clearly defines the hierarchy of outputs, activities and inputs necessary to achieve the objectives and outcomes that are being aimed at. In line with the shift towards results-based programming, such logical frameworks should focus on determining how to achieve the planned outcomes within the time that has been made available. This approach ensures coordination and programme implementation, and provides a framework for monitoring and evaluating performance and impact.

When DDR is conducted in an integrated peacekeeping context, two complementary results-based frameworks should be used: a general results framework containing the main outputs, inputs and activities of the overall DDR programme; and a framework specifically designed for DDR activities that will be funded from mission assessed funds as part of the overall mission planning process. Naturally, the two are complementary and should contain common elements.

7.1. General results framework

The general results framework for a DDR programme should consist of the following elements (but not necessarily all of them) (see also Annex F for a general results framework for DDR that was used in Liberia):

Specific objectives and component outcomes: For each component of a DDR programme (i.e., disarmament, demobilization, reinsertion, reintegration, etc.), the main or longer-term strategic objectives should be clearly defined, together with the outcomes the UN is supporting. These provide a strategic framework for organizing and anchoring relevant activities and outputs;

Baseline data: For each specific objective, the initial starting point should be briefly described. In the absence of hard quantitative baseline data, give a qualitative description of the current situation. Defining the baseline is a critical part of monitoring and evaluating the performance and impact of programmes;

Indicative activities: For each objective, a list of indicative activities should be provided in order to give a sense of the range and kind of activities that need to be implemented so as to achieve the expected outputs and objectives. For the general results framework, these do not need to be complete or highly detailed, but they must be sufficient to provide a sense of the underlying strategy, scope and range of actions that will be implemented;

Intervals: Activities and priority outputs should be have precise time-lines (preferably specific dates). For each of these dates, indicate the expected level of result that should be achieved. This should allow an overview of how each relevant component of the programme is expected to progress over time and what has to be achieved by what date;

Targets and monitoring indicators: For each activity there should be an observable target, objectively verifiable and useful as a monitoring indicator. These indicators will vary depending on the activity, and they do not always have to be quantitative. For example, ‘reduction in perceptions of violence’ is as useful as ‘15 percent of ex-combatants successfully reintegrated’;

Inputs: For each activity or output there should be an indication of inputs and their costs. General cost categories should be used to identify the essential requirements, which can include staff, infrastructure, equipment, operating expenses, service contracts, grants, consultancies, etc.

7.2. Peacekeeping results-based budgeting framework

The results-based budgeting (RBB) framework is the main budgetary planning tool used by the UN Secretariat and peacekeeping missions, and is part of the Secretary-General’s programme of reform and vision of a more results-oriented organization.

An important feature of RBB is the definition of expected results at the beginning of the planning and budget cycle, before the programme is implemented. Thus RBB aims to shift focus from output accounting (i.e., activities) to results-based accountability (i.e., indicators of achievements). RBB is therefore not simply an administrative process, but a strategic planning tool, improving the clarity of programmes, and bringing about a common understanding and better communication between Member States and programme managers to improve results. Results-based management is intended to be a dynamic process, providing feedback throughout the full programme cycle: planning, programming, budgeting, and monitoring and evaluation. Since it was introduced, RBB has continued to evolve in order to better fulfil its role as a strategic planning tool for the UN.

RBB has four main components:

the DDR objective statement, serving as the basis for developing programme activities and identifying benchmarks for success;

indicators of achievement, which measure performance, justify the resource requirements and are linked to outputs;

outputs, listing the activities that will be conducted in order to achieve the objective;

external factors, identifying factors outside of the programme manger’s control that may have an impact on programme performance.

7.2.1. Developing an RBB framework

This section is intended to assist DDR programme managers in the field to develop RBB frameworks for submission to the Department of Peacekeeping Operations, which will serve as the basis for cost estimates. Mission budget officers who are specialized in the development of RBB frameworks should be able to assist with the development of this tool.

7.2.1.1. The DDR objective statement

The DDR objective statement draws its legal foundation from Security Council mission mandates. It is important to note that the DDR objective will not be fully achieved in the lifetime of the peacekeeping mission, although certain activities such as the (limited) physical disarmament of combatants may be completed. Other important aspects of DDR such as reintegration, the establishment of the legal framework, and the technical and logistic capacity to deal with small arms and light weapons often extend beyond the duration of a peacekeeping mission. In this regard, the objective statement must reflect the contribution of the peacekeeping mission to the ‘progress towards’ the DDR objective. An example of a DDR objective statement is as follows:

“Progress towards the disarmament, demobilization and reintegration of members of armed forces and groups, including meeting the specific needs of women and children associated with such groups, as well as weapons control and destruction.”

7.2.1.2. Indicators of achievement

The targeted achievement should include no more than five clear and measurable indicators, and baseline information from which increases/decreases in the baseline variables are measured.

7.2.1.3. Outputs

When developing the DDR outputs for an RBB framework, programmer managers should take the following into account: (1) specific references to the implementation time-frame should be included; (2) DDR technical assistance or advice needs should be further defined to specify what that means in practice and, if possible, quantified (e.g., workshops, training programmes, legislative models, draft work plans); (3) participants in DDR programmes or recipients of the mission’s efforts should be included in the output description; and (4) when describing these outputs, the verb should be placed before the output definition (e.g., ‘Destroyed 9,000 weapons’; ‘Chaired 10 community sensitization meetings’).

7.2.1.4. External factors

When developing the external factors of the DDR RBB framework, programme managers are requested to identify those factors that are outside the control of the DDR unit. These should not repeat the factors that make up the indicators of achievement.

For an example of an RBB framework for DDR in Sudan, see Annex G; also see IDDRS 3.50 on Monitoring and Evaluation of DDR Programmes.

8. Stage III: Developing an implementation plan

Once a programme has been prepared, planning instruments should be developed that will aid practitioners (UN, non-UN and the national government) to implement the planned activities and strategies. An actions or operations plan usually consists of four main elements:

Implementation methods: This consists of a narrative description of how each DDR component will be made operational within the framework of the programme, focusing on the precise sequencing of activities, operational requirements, logistic requirements, links with other mission components, key risks and factors that will reduce these risks. This section can be used by practitioners to guide implementation and operations and provide an overall framework for the other components of the operational and action plan;

Timing: There should be an overview of the time-frame and schedule for implementation of DDR activities for each component of the programme, which provides an overall picture of the phasing and sequencing of programme implementation. This will provide practitioners with a quick overview of the activities, which is important for defining and planning resource requirements and allocations. An example of a time-frame is included in Annex H;

Detailed work plan: A detailed work plan should also be included in the operational plan. It should break all programme activities down into their various tasks, and indicate who is responsible for different operational roles. The main categories of such a work plan should include:

the activities to be implemented;

a detailed description of individual tasks;

the required inputs (human, material, financial);

the actor responsible for funding each task;

the actor responsible for logistic support;

the actor responsible for staffing;

the actor responsible for coordination/supervision;

the actor responsible for implementation;

the expected time-frame for implementation of task.

The work plan should be considered a dynamic document that should be updated periodically and used to guide DDR planners and practitioners on programme implementation on a day-to-day basis. A generic work plan is included in Annex I;

Management arrangements: This section should detail the institutional arrangements established to provide strategic guidance, coordination and implementation of the programme (also see IDDRS 3.10 on Integrated DDR Planning: Processes and Structures and IDDRS 3.50 on Monitoring and Evaluation of DDR Programmes).

Annex A: Terms, Definitions, and Abbreviations

Terms and definitions

Detailed field assessment: A detailed field assessment is essential to identify the nature of the problem a DDR programme is to deal with, as well as to provide key indicators for the development of a detailed DDR strategy and its associated components. Detailed field assessments shall be undertaken to ensure that DDR strategies, programmes and implementation plans reflect realities, are well targeted and sustainable, and to assist with their monitoring and evaluation.

Implementation plan: Also known as an operations or action plan, an implementation plan describes the detailed steps necessary to implement programme activities, together with a division of labour and overall time-frame.

Programme: A generic (general) term for a set of activities designed to achieve a specific objective. In order to ensure that a programme’s results, outputs and overall outcome are reached, activities are often framed by a strategy, key principles and identified targets. Together, these indicate how the activities will be structured and implemented. Programmes also include a description of all aspects necessary to implement the planned activities, including inputs and resources (staff, equipment, funding, etc.), management arrangements, legal frameworks, partnerships and other risk analysis.

Project: Within each programme there may be several projects, each of which is a separately identified undertaking. A project is an intervention that consists of a set of planned, interrelated activities aimed at achieving defined objectives over a fixed time. A project’s activities and objectives are normally given in a project document. This legal agreement binds the signatories to carry out the defined activities and to provide specific resources over a fixed period of time in order to reach agreed objectives.

Annex B: Framework for assessing the operational environment for DDR

Click here to see the chart in a new window.

Annex C: Framework for identifying DDR target and performance indicators

Click here to see the chart in a new window.

Annex D: Sample matrix for profiling armed forces and groups (taken from DRC DDR programme)

Click here to see the chart in a new window.

Annex E: A ‘mixed’ DDR strategy for dealing with armed forces and groups in DRC

Click here to see the chart in a new window.

Annex F: Results framework for Liberia DDRR programme

Click here to see the chart in a new window.

Annex G: Results-based budgeting for DDR in Sudan

Click here to see the chart in a new window.

Annex H: Implementation time-frame for DDR in Haiti

Click here to see the chart in a new window.

Annex I: Generic (typical) DDR work plan template

Click here to see the chart in a new window.