Comprehensive Approach to Building Partnerships PREDECISIONAL DRAFT Comprehensive Approach to Building Partnerships for Steady-State Assessment and Planning As of 14 March 2011 PREDECISIONAL DRAFT

Steady-State Activities PREDECISIONAL DRAFT Refers to cumulative day-to-day activities outside of major surge operations Encompass shaping activities (including Phase 0 elements of contingency plans) Designed to Build effective, legitimate, interoperable, and self-sustaining partners consistent with US foreign policy objectives Promote acceptable international behavior by potential adversaries Sustain peace & security under conditions that promote US interests Set conditions for military success if a contingency cannot be prevented Leverage capabilities of partners to help achieve end states Strengthen alliances and partnerships The first requirement is to put the challenge and solution into context. It is important to understand the environment addressed by the challenge. The environment is “steady-state.” What is that? There is no agreed definition within the US Government or even within DOD. You will not find a definition for steady-state in Joint Publication 1-02, “The DOD Dictionary of Military and Associated Terms,” or DOS and USAID documents listing terms. The term is defined in the first bullet of this slide from the CJCSI 3210.06, “Irregular Warfare,” glossary (10 June 2010). The instruction notes that it comes from the Guidance for the Development of the Force which is no longer published. Steady-state is not defined in DODD 3000.07, “Irregular Warfare,” (1 Dec 2008), the 2010 QDR (26 Jan 2010), the GEF, or any other DOD document although the term is used in many DOD publications in ways that mean “long-term,” “deterrence and other peacetime shaping activities,” and “supporting civil authorities.” DODD 3000.07 does state that IW can include a variety of steady-state DOD activities and operations (counterterrorism, unconventional warfare, foreign internal defense, counterinsurgency, and stability operations) that involve establishing order in a fragile state. The definition of the kinds of activities that are performed in steady-state environment does appear in the draft GEF 2010 FM 3-07, “Stability Operations,” does not define steady-state because it focuses on “stability operations” as “an overarching term encompassing various military missions, tasks, and activities conducted outside the US in coordination with other instruments of national power to maintain or reestablish a safe and secure environment, provide essential government services, emergency infrastructure reconstruction, and humanitarian relief (JP 3-0).” Stability operations in this context are not about building capacity and capability in conjunction with host country goals and objectives. The fact that there is no agreed definition within DOD or the USG is important because by meaning something different to everyone working the challenge, everyone believes the challenge should be bounded differently. By this definition only appearing in a CJCSI on “Irregular Warfare” some DOD policymakers put it in the joint planning context of the definition of irregular warfare “a violent struggle among states and non-state actors for legitimacy and influence over the relevant population(s). Irregular warfare favors indirect and asymmetric approaches, though it may employ the full range of military and other capacities, in order to erode an adversary’s power, influence, and will.” In the context of this briefing and the two documents we will describe as the CABP solution, steady-state takes on more of the meaning of stability operations as “an overarching term encompassing various military missions, tasks, and activities conducted outside the US in coordination with other instruments of national power to maintain or reestablish a safe and security environment, provide essential governmental services, emergency infrastructure reconstruction, and humanitarian relief” (DODD 3000.07) but steady-state activities occur prior to the need to reestablish, reconstruct, or relief in a post-crisis/conflict environment. In this way it is more in line with DODI 5000.68, “Security Force Assistance” and the related commander’s handbook from the Joint Center for International Security Force Assistance; “JP 3-22, “Foreign Internal Defense”; and JP 3-57, “Civil-Military Operations.” All involve unified action to support the host nation efforts to build capability and capacity to protect a populace from instability. “Steady-state operations are oriented toward conducting normal foreign relations activities not currently affected by crisis or serious conflict.” -- Ambassador (ret.) Edward Marks PREDECISIONAL DRAFT

Comprehensive Approach PREDECISIONAL DRAFT An approach that integrates the cooperative efforts of the departments and agencies of the US Government, intergovernmental & nongovernmental organizations, multinational partners, and private sector entities to achieve unity of effort toward a shared goal “Development contributes to stability. It contributes to better governance. And if you are able to do those things and you’re able to do them in a focused and sustainable way, then it may be unnecessary for us to send soldiers…. But development and security are inextricably linked. You can’t have development without security, and you can’t have security without development.” -- Robert M. Gates Secretary of Defense You will also hear the term “comprehensive approach” related to steady-state throughout this briefing. The definition appears on this slide. This is also not an agreed US Government definition or one that is used throughout the Department of Defense. There is no official definition for “comprehensive approach” in JP 1-02. This definition appears in CJCSI 3210.06,”Irregular Warfare,” and FM 3-07, “Stability Operations,” only for the purposes of those two publications. CJCSI 3210.06 refers to FM 3-07 as the source for this definition. In FM 3-07, the Army authors highlight that this publication is the proponent (authority) manual for this term. The same problem with context arises if one only thinks of comprehensive approach in terms of irregular warfare – it should not be considered solely in irregular warfare confines but encompasses a much broader means of integrating efforts across all levels of activities to achieve unity of effort toward a shared goal. The quote at the bottom of the slide comes from the US Global Leadership Coalition Annual Conference 2010 (28 Sep 2010) where SecDef Gates joined the Secretary of State Clinton, Secretary of the Treasury Geithner, USAID Administrator Dr Shah, and CEO of the Millennium Challenge Corporation Yohannes to discuss the US Global Development Policy and American power. PREDECISIONAL DRAFT

Challenge – Focus on Host Country PREDECISIONAL DRAFT The primary responsibility for establishing and maintaining stability in any country remains with the host country government, its civil society, and its population -- they own the problem Successful steady-state programs require host country buy-in with the goal being a self-sustaining host country security system responsive to its people This slide is self-explanatory. The CABP team believes that the focus of planning and implementation should be the host country goals and objectives and respect for international norms of sovereignty (spelled out in the initial White Paper). The Comprehensive Approach, and by extension the assessment and planning processes of DOD and its partners, must focus on the host country within the context of USG interests Post Intervention (Phase VI) PREDECISIONAL DRAFT

Solution – Move Toward Greater Integration PREDECISIONAL DRAFT Solution – Move Toward Greater Integration Develop & offer tools that provide consistent, repeatable procedures so that DOD planners can effectively plan and collaborate in a comprehensive manner with non-DOD counterparts. Consider: - National Security Strategy: Integrate Defense, Diplomacy, & Development (3D) components - DOS is USG lead for foreign policy & diplomacy - USAID focuses on country-level development - DOD focuses on defense sector National Security Strategy Theater (Region) DOD DOS & USAID NSC IPCs OMB DOJ DHS DOT DOC CIA Congress Liaison UN World Bank IOs NGOs Regional Orgs Neighbor States Coalition Partners The CABP-produced Country Cooperation Plan Development Handbook and Comprehensive Steady-State Assessment and Planning Reference Guide provide much needed guidance. The two documents highlight the distinct roles and responsibilities of Department of State, USAID, and DOD. They explain the top-down driven planning & resource process of DOD versus the bottom-up processes used by DOS and USAID. They also describe other partners that should be involved outside of the 3D’s in a comprehensive approach. The CCMDs’ Theater Campaign Plans (TCP) focus on theater requirements and may be supplemented with regionally-focused campaign plans. Country-focused strategies are developed in the Country Campaign Plans that are annexes supporting the TCPs and regional plans. TCPs concentrate on contingency planning -- conventional Phase 0 (e.g., “Shaping”) emphasis is on being prepared to implement a campaign for emerging crises, not supporting DOS and USAID efforts for developing host country institutions to prevent instability and possibly handle it without US intervention if instability does occur.   DOS and USAID build country plans which are incorporated into regional plans that support resource requirements at the headquarters level – a bottom-up approach. The US Embassy’s Mission Strategic Resource Plan (MSRP) is increasingly important and has a 5-10 year perspective, yet its strategy focuses on a two year period. USAID develops a Country Assistance Strategy (CAS) with a five-year scope, that is integrated into the MSRP. USAID is also developing a Country Development Cooperation Strategy (CDCS) as a new planning methodology already incorporated at many of its Missions. The inclusion of stabilization elements into these plans remains sensitive because DOS and USAID are cautious with respect to foreign institutional government wariness of USG interference. Despite concerns over the perspective of USG interference in the internal issues of a host country, currently DOD relies on DODI 3000.05, Stability Operations, to define stability operations as a core military mission that DOD forces shall be prepared to conduct in combat and non-combat environments in coordination with other instruments of national power. USG military missions may support establishing civil security and civil control, restoring or providing essential services, repairing critical infrastructure, and/or providing humanitarian assistance. A major factor of instability in foreign nations remains the activities by militias, insurgents, illicit power groups, home-grown and trans-national terrorist groups, but even the indigenous militaries and police can be part of the problem. This factor may feed the other forms of instability (i.e., poverty, hunger, disease, human trafficking, etc.). The manner in which indigenous authorities manage the security sector is critical to maintaining stability. The military role in assisting a nation’s indigenous institutions build their security sector management capability should be an integral part of USG country strategy. The primary responsibility for establishing and maintaining stability in any country remains with the indigenous government, its civil society and its population. Country PREDECISIONAL DRAFT

Solution – Focus on Country-Level Planning PREDECISIONAL DRAFT Security Cooperation programs provide the capacity and capability building activities that link DOD and non-DOD planners   USG national security goal is to develop host country institutions Planning timeline extends beyond life of resourced activities Qualitative & quantitative metrics to assess foreign assistance Synchronize military objectives with other organizations Recognize, understand non-DOD partners goals & objectives Support shared goals, common outcomes, & obligations The CABP project solution involves coordinating, cooperating, and collaborating in country-level assessment and planning. Contributes to achieving USG national security goals and objectives for developing strategic host country institutions Responds to need for planning timeline for “strategic end-states” to extend far beyond the life of resourced activities Provides CCMD qualitative & quantitative metrics consistent with non-DOD agencies supporting foreign assistance responsibilities Expands JOPP operational design beyond integrating CCMD military actions to synchronizing military objectives with other DOD & non-DOD organizations – including the host country Supports concept of shared goals, common responsibility for outcomes, distinct accountabilities, and reciprocal obligations Most importantly, focus on the host country’s goals and objectives that align with US interests PREDECISIONAL DRAFT

Challenge –Getting to Integration PREDECISIONAL DRAFT Competition Coordination Cooperation Collaboration Integration NSS Goal “We do tasks together” JFC Challenge “We work together on our respective tasks” Where we are “We help each other do our respective tasks” This chart depicts 5 levels of engagement in arriving at a comprehensive approach to assessment and planning. The concept for the slide is modified from a briefing on this subject by Dr Cathy Downes at the National Defense University. All but “competition” are addressed in the two solution documents produced by the CABP team. All overlap as depicted on this slide and all may occur simultaneously but the National Security Strategy goal is integration. Each box depicts a level of effort to share assessment, planning, resourcing, forces, and information so that the overall support to the host country is synchronized and harmonized. Many of these terms are used throughout DOD publications but not specifically defined. On the slide, we provide the context of the definition. They are defined in the two publications produced as the solution to these challenges as: Coordinate means to bring into a common action, movement, or condition (Merriam-Webster) Cooperate means to act or work with another or others (Merriam-Webster) Collaborate means to cooperate with an agency or instrumentality with which one is not immediately connected (Merriam-Webster) Integrate means to form, coordinate, or blend into a functioning or unified whole (Merriam-Webster) Synchronize is defined in our documents as meaning to represent or arrange events/activities to happen at the same time (Merriam-Webster) Harmonize is defined in our documents as meaning interoperable and standardized (DODI 2010.06, Material Interoperability and Standardization with Allies and Coalition Partners, and DODD 8000.01, Management of the Department of Defense Information Enterprise). We believe that the current level of engagement between combatant commands and potential partners in a comprehensive approach during peacetime is somewhere on a scale from competition to coordination. The Joint Force Commander Challenge is to achieve better coordination and collaboration – not integration as identified by the National Security Strategy. The CABP project sought to address the JFC Challenge. You will see this slide again later in this briefing to show what the CABP project was able to address and our recommended way ahead. “We know what each other is doing” Concept for this slide from presentation by Dr Cathy Downes, NDU, National Security Professionals Symposium, August 4-5, 2010 “I’ll do it my way” No integrated peacetime country planning process exists PREDECISIONAL DRAFT

Solution – Focus on Steady-State Plans PREDECISIONAL DRAFT Solution – Focus on Steady-State Plans “Helping other countries better provide for their own security will be a key and enduring test of US global leadership and a critical part of protecting US security, as well. Improving the way the US government executes this vital mission must be an important national priority.” -- Secretary Robert M. Gates, Foreign Affairs, May/June 2010 DOS DOD USAID Host Country Bureau Strategic Resource Plan Campaign Plan Theater Cooperation Development Strategy Country Mission Strategic & Resource Plan + Plan This slide depicts very basically the individual departments and agency documents that support steady-state planning. The DOS and USAID planning and resourcing documents and processes are integrated at the local and headquarters levels. Many of the CCMD’s work with the Embassies through the Security Cooperation Officers (SCOs) on country planning at the embassies and at the command – however, no standard process exists for sharing documents. The link where planning exists already is at the country level. Much as the CDCS integrates with the MSRP, we believe a CCMD-produced country-specific cooperation plan (CCP) should integrate with the MSRP. However, initially synchronization of the planning efforts may be the only option to begin such integration. CABP solution is “Focus on Country Cooperation Plan synchronization with the Mission Strategic & Resource Plan” PREDECISIONAL DRAFT

CCP Development Handbook PREDECISIONAL DRAFT Written for the CCP planner Provides a common process to develop CCPs in coordination with USG interagency counterparts and other key actors with programs in, or that affect, the host country Supplements existing doctrine for planning and coordination with non-DOD organizations Provides fundamental concepts and planning guidance for the development of CCPs that provide operational guidance to the CCMD implementing components Designed to be used in conjunction with CSSAP Reference Guide Meanwhile, the CCP Development Handbook is designed specifically for the CCP planner. It is focused on Country Cooperation Plan planning. The CCP Handbook enables planners to plan – not in isolation with only limited CCMD objectives in mind, but with the broad strategic goals of the USG in view. The Handbook focuses on the defining principles that make for success in building partnership. The focus of the guides is the host country partner. Its interests, goals, and sovereignty are essential premises of steady-state planning. Institution-building is the long-term objective of security cooperation. Self-sustaining defense and security institutions accountable to elected governments enable partners to achieve their governance and development goals as well as maintain and enhance stability. Cooperation and collaboration are the beginnings of effective partnership. The Handbook points the way to ongoing interaction within the USG and beyond. Assists the planner to produce a country-focused steady-state plan in a consistent, repeatable process according to policy & guidance PREDECISIONAL DRAFT

Using the CCP Development Handbook PREDECISIONAL DRAFT Theater (CCMDs) - Identifies fundamental guidance, planning considerations, techniques & procedures for country planning of steady-state programs and activities in a comprehensive approach - Reinforces CCMD joint planning & coordination with non-DOD organizations used for contingencies, reconstruction and stability Country (Country Team) - Provides CCMD planning, assessment, and coordination policies, lexicon, processes & perspectives regarding country planning in a comprehensive approach - Identifies the SCO as the focal point for CCMD coordination within the Country Team PREDECISIONAL DRAFT

PREDECISIONAL DRAFT CSSAP Reference Guide Consistent with current DOD policy and joint doctrine … Describes key actors and processes at the national, regional, and country level for planning and implementing foreign assistance Identifies sources for more in-depth understanding Offers a process for planning steady-state activities in a comprehensive approach Assists the planner in determining the most effective ways to engage What are the Handbook and Desk Reference? More than “how to” manuals, the Handbook and Desk Reference offer a start-to-finish orientation to steady-state planning to build partnership. The documents give a bird’s eye view of the special challenges for military planners approaching the mission of security cooperation in a comprehensive approach context. They introduce military planners to their key counterparts in DOD and beyond. They provide brief profiles of other stakeholder organizations engaged in steady-state activities both inside and outside the USG. They describe existing processes that guide agency-specific planning and resources available to DOS, DOD, and USAID for building partnerships with foreign governments. The Reference Guide is not an encyclopedia of sources of information. Instead, it serves to enable planners to identify for themselves and with counterparts (a) the operational environment of the host country partner; (b) the range of stakeholders engaged in a host-country; (c) the respective goals and interests of all the involved partners, first and foremost the host country partner. Planning fundamentals familiar to military planners inform the process laid out in the Reference Guide. Joint planning concepts are used whenever possible. Frameworks and methods used by civilian agency planners are described for CCMD use when needed or when military planning concepts may be inappropriate. The Reference Guide enables planners to plan – not in isolation with only limited CCMD objectives in mind, but with the broad strategic goals of the USG in view. Reference Guide is designed to introduce, educate, & train steady-state coordination/cooperation perspectives PREDECISIONAL DRAFT

Using the CSSAP Reference Guide PREDECISIONAL DRAFT Using the CSSAP Reference Guide National level (OSD, DOS, USAID) - Establishes a baseline as departments & agencies develop new integrated approach to processes & policies - Provides OSD/JS with CCMD & country team perspectives on cooperation and coordination; enables improved DC-level guidance - Provides education and training on steady-state and comprehensive approach concepts Theater level (CCMDs) - Provides CCMD Planners with the current, standardized national level guidance & policy development process - Describes repeatable country-focused planning processes / template Country level (Country Team) - Highlights the SCO as the key participant in steady-state coordination, cooperation, collaboration & integration - Provides insight for the remainder of Country Team into current DOD planning, assessment, and coordination policies, processes & perspectives How is the Reference Guide to be used? The Users of the Reference Guide The Reference Guide is addressed to planners, implementers, and educator/trainers throughout the DOD community. It does not prescribe processes for other agencies. At the national level, the Reference Guide can serve as a policy and guidance tool for implementing the National Security Strategy on a DOD program to implement the comprehensive approach to steady-state planning and implementation. The principal customer is the CCMD planner tasked to draft a country plan. Combatant Commanders can look to the Reference Guide to set standards for the execution of the TCP strategy where it ultimately achieves concrete realization – at the country-level. The guide enhances Commanders’ confidence that TCP objectives will support whole-of-government USG objectives. Component Commands will find the rationale for their contributions laid out in the Reference Guide. All in the DOD community dealing with the issues of security assistance will find the strategic framework for assistance allocations set out in the guides. Within the country team, the SCO is a key player in the steady-state partnership environment. SCOs will find the Reference Guide of great utility in understanding their critical role in planning, implementing, and evaluating partnerships. They can also share it with the Country Team so that members can understand current DOD concepts, processes and perspectives for steady-state planning. In keeping with the new DOD training guidance, the custodians of DOD may want to consider the Reference Guide as a vehicle for education and training done in collaboration with the broad interagency community involved in building partnerships. Reference Guide introduces, educates & trains standard, repeatable DOD coordination & cooperation perspectives PREDECISIONAL DRAFT

PREDECISIONAL DRAFT Questions ? PREDECISIONAL DRAFT