Planning for Stability Operations
4-56. Together, the stability sectors and the five primary stability tasks provide a framework for identifying the individual tasks that exert the greatest influence on the operational environment where stability operations are the major focus. They help to identify the breadth and depth of relevant civil-military tasks and emphasize the relationships among them. The stability sectors form the basis for the collaborative interagency planning and dialog that leads to developing lines of effort that synchronize the actions of all instruments of national power.
4-57. However, at the brigade level and below, the primary stability tasks and corresponding stability sectors are often too broad to focus effort appropriately; at lower tactical echelons, lines of effort are best designed using core or directed mission-essential task lists. (Chapter 3 includes additional detail on mission-essential stability tasks.) Lines of effort may focus on specific aspects of the local situation, such as the activities of host-nation security forces, local development projects, and essential services restoration. For example, efforts to restore those services are often shaped using lines of effort based on the memory aid, SWEAT-MSO (sewage, water, electricity, academics, trash, medical, safety, and other considerations) while addressing the need to provide emergency food aid and shelter. Figure 4-2 provides the infrastructure reconnaissance and survey model used to integrate and synchronize tactical actions, delineate roles and responsibilities, and focus the civil-military efforts pursuit of related objectives. This integrates efforts to reestablish local civil services with similar, related actions to establish a safe, secure environment. (See FM 3-34.170 for detailed discussion on infrastructure reconnaissance.)
Figure 4-2. Using SWEAT-MSO
4-58. As operations progress, commanders may modify lines of effort after assessing conditions and collaborating with other actors in the operational area. Lines of effort typically remain focused on integrating the effects of military operations with those of other instruments of national power to support a broader, comprehensive approach to stability operations. Each operation, however, differs. Commanders develop and modify lines of effort to keep operations focused on achieving the end state, even as the situation evolves.
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DECISIVE POINTS
4-59. During stability operations, decisive points may be less tangible and more closely associated with important events and conditions, and typically relate to the human dimension of the problem. A decisive point is a geographic place, specific key event, critical factor, or function that, when acted upon, allows commanders to gain a marked advantage over an adversary or contribute materially to achieving success (JP 3-0). Examples include—
Securing national borders.
Repairing a vital water treatment facility.
Obtaining the political support from key tribal leaders for a transitional authority.
Establishing a training academy for national security forces.
Securing a major election site.
Quantifiably reducing crime.
4-60. None of these examples is purely physical. Nonetheless, any may be vital to establishing conditions for transitioning to civil authority. In stability operations, commanders identify the decisive points that most directly influence the end state conditions. Decisive points that enable commanders to seize, retain, or exploit the initiative are crucial. Controlling them is essential to mission accomplishment. Ceding control of a decisive point may exhaust friendly momentum, force early culmination, or expose the force to undue risk. Decisive points shape the design of operations. They help commanders select clearly decisive, attainable objectives that directly contribute to establishing the end state.
4-61. The essential stability tasks offer an efficient means for commanders to identify those tasks most closely associated with decisive points. Success in stability operations depends on the commander’s ability to identify the tasks essential to mission success and to prioritize and sequence the performance of those tasks with available combat power. These tasks include the essential tasks required to establish the end state conditions that define success. These tasks are linked to the end state through decisive points.
Therefore, identifying essential tasks and tying them directly to decisive points and objectives most effectively identifies conditions that define the desired end state. (See chapter 3 for a discussion of the essential stability tasks.)
FORCE TAILORING AND TASK-ORGANIZING
4-62. Force tailoring is the process of determining the right mix of forces and the sequence of their deployment in support of a joint force commander (FM 3-0). During stability operations, it involves selecting the right force structure from available units within a combatant command or from the Army force pool. The selected forces are then sequenced into the operational area as part of force projection.
Joint force commanders request and receive forces for each phase of an operation, both for combat and stability tasks, adjusting the quantity and Service component of forces to match the weight of effort required.
4-63. Army Service component commanders tailor their forces to meet specific land force requirements for stability operations as determined by the joint force commander. They also recommend types of forces for stability operations and a deployment sequence to meet those requirements. Force tailoring is continuous: as new forces rotate into the operational area, forces with excess capabilities return to the supporting combatant and Army Service component commands.
4-64. Task-organizing is the act of designing an operating force, support staff, or logistic package of specific size and composition to meet a unique task or mission. Characteristics to examine when task-organizing the force include, but are not limited to: training, experience, equipage, sustainability, operating environment, enemy threat, and mobility. For Army forces, it includes allocating available assets to subordinate commanders and establishing their command and support relationships (FM 3-0). Task-organizing occurs within a previously tailored force package as commanders organize groups of units for specific stability missions or modify their staff accordingly. It continues as commanders reorganize units for subsequent missions. The ability of Army forces to task-organize gives them extraordinary agility. It lets operational and tactical commanders configure their units to best use available resources. It also allows 4-12
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Army forces to match unit capabilities rapidly to the priority assigned to offensive, defensive, and stability or tasks.
ASSESSMENT
4-65. Assessment is vital to the success of any operation. The commander and staff continuously assess the current situation, gauging progress against the desired end state for the operation. Based on that assessment, the commander directs adjustments as required, ensuring that the operation remains focused toward establishing the conditions that represent the end state. Assessment is a critical activity intended to inform situational understanding. It does this while providing a running comparison of the actual situation in the operational area to the forecasted conditions described in the concept of operations, mission, and commander’s intent. Broadly, assessment is a continuous activity that encompasses three discreet tasks: Gauging the strengths, weaknesses, and vulnerabilities of enemies and adversaries.
Monitoring the situation while measuring the progress of the operation against the desired end state.
Evaluating the progress of the operation against measures of performance and measures of
effectiveness.
4-66. Three measurement tools assist the commander and staff with the assessments function: measures of performance, measures of effectiveness, and indicators. Measures of performance assess proper completion of assigned tasks. Measures of effectiveness assess progress toward changing the state of the operational environment envisioned in the commander’s intent. Indicators are subordinate measures that provide insight into measures of effectiveness and measures of performance.
4-67. A measure of performance is a criterion used to assess friendly actions that is tied to measuring task accomplishment (JP 3-0). At the most basic level, every Soldier assigned a task maintains a formal or informal checklist to track task completion. The items on that checklist are measures of performance. At battalion level and above, command posts monitor measures of performance for assigned tasks. Examples of measures of performance include the construction of a training facility for host-nation security forces or an increased border presence by friendly forces.
4-68. A measure of effectiveness is a criterion used to assess changes in system behavior, capability, or operational environment that is tied to measuring the attainment of an end state, achievement of an objective, or creation of an effect (JP 3-0). They focus on the results or consequences of task execution and provide information that guides decisions to take additional or alternate actions. Examples of measures of effectiveness include reduced insurgent activity, reduced inflation rates, and improvements in agricultural production.
4-69. An indicator is an item of information that provides insight into a measure of effectiveness or measure of performance. Indicators use available information to inform a specific measure of performance or measure of effectiveness. A single indicator can inform multiple measures of performance and measures of effectiveness. Valid indicators are measurable, collectable, and relevant to a specific time. Examples of indicators include bushels of apples sold in a specific market in the past month, number of escalation of force incidents along a given route in the past 90 days, and number of bridges repaired in a province.
4-70. Stability operations are often lengthy endeavors, and progress may be gauged over the course of months or years. Responsiveness is a particularly important consideration for selecting measurement tools in this type of environment. In this context, responsiveness is the speed with which a desired change can be detected by a measurement tool. In practice, responsiveness varies greatly among potential measures of effectiveness. It is critical to select measures of effectiveness and supporting indicators that are as responsive as possible during the conduct of stability operations.
4-71. Continuous assessment is a key to seizing, retaining, and exploiting the initiative. It provides a constant flow of vital information on the current situation that allows the commander and staff to quickly act on unanticipated changes, take prudent risks, and create opportunities for future success. (See appendix D for an overview of interagency conflict assessment.)
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TRANSITIONS
4-72. Transitions mark a change of focus between phases or between the ongoing operation and execution of a branch or sequel. The shift in relative priority between the elements of full spectrum operations—such as from offense to stability—also involves a transition. Transitions require planning and preparation well before their execution. Potential transitions are identified during planning and accounted for throughout execution; assessment ensures that progress toward such transitions is measured and appropriate actions are taken to prepare for and execute them. The force is vulnerable during transitions, and commanders establish clear conditions for their execution. Transitions may create unexpected opportunities; they may also make forces vulnerable to enemy threats or unanticipated changes to the situation.
4-73. An unexpected change in conditions may require commanders to direct an abrupt transition between phases. In such cases, the overall composition of the force remains unchanged despite sudden changes in mission, task organization, and rules of engagement. Typically, task organization evolves to meet changing conditions; however, transition planning must also account for changes in the mission. Commanders attuned to sudden changes can better adapt their forces to dynamic conditions. They continuously assess the situation and task-organize and cycle their forces to retain the initiative. They strive to achieve changes in emphasis without incurring an operational pause.
4-74. Stability operations include transitions of authority and control among military forces, civilian agencies and organizations, and the host nation. Each transition involves inherent risk. That risk is amplified when multiple transitions must be managed simultaneously or when the force must conduct a series of transitions quickly. Planning anticipates these transitions, and careful preparation and diligent execution ensures they occur without incident. Transitions are identified as decisive points on lines of effort; they typically mark a significant shift in effort and signify the gradual return to civilian oversight and control of the host nation.
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Transitional Military Authority
Because of the ideological aspect of the struggle and because the United States acted as a member of a coalition of Allies, U.S. military leaders sometimes had to add to their traditional roles as soldiers those of the statesman and the politician. They were beset by the problems of resolving conflicting national interests and of reconciling political
idealism and military exigency. On another level—in feeding hungry populations, in
tackling intricate financial and economic problems, and in protecting the cultural
heritage of a rich and ancient civilization—they had to exercise skills that are also
normally considered civilian rather than military.
Harry L. Coles and Albert K. Weinberg
Civil Affairs: Soldiers Become Governors
AUTHORITY AND COMMAND RESPONSIBILITY
5-1. Under extreme circumstances, where the host-nation government has failed completely or an enemy regime has been deposed, the intervening authority has a legal and moral responsibility to install a transitional military authority on the behalf of the population. When military forces have invaded and are occupying enemy territory, such an authority is established by the occupying force pursuant to international law, including The Hague and Geneva Conventions. Such authority is limited in scope by international law. In other circumstances, transitional military authority may be established pursuant to a United Nations Security Council resolution or a similar international legal authority, which will also describe the limits of that authority. Furthermore, when occupying enemy territory, authority additional to that provided by traditional sources of international law, such as The Hague and Geneva Conventions, may be provided by United Nations Security Council resolutions or similar authority. Commanders should only take action with regard to transitional military authority after close and careful consultation with the legal advisor.
5-2. Transitional military authorities are installed to act on the behalf of the population and, in the case of occupation of enemy territory, to secure the occupying force. The United Nations Security Council resolution or similar authority may prescribe specific or additional roles of the transitional military authority. In cases other than the occupation of enemy territory, the international community generally will lead this effort through an intergovernmental organization such as the United Nations. The occupation of enemy territory may result in one nation or a coalition of nations providing the transitional military authority.
5-3. A transitional military authority may draw assistance from experienced civilian agencies and organizations. These agencies and organizations have the expertise to establish a system of government that fosters the gradual transition to a legitimate host-nation authority. Sometimes, however, sufficient civilian expertise is not present or conditions of the operational environment do not support introducing such civilian expertise. Military forces may then be required to lead this effort until they stabilize the security situation and can safely transition responsibility for governance to civil authority and control.
5-4. Effective transitional military authority enhances security and facilitates ongoing operations while fulfilling the legal obligations of occupying forces under international law. This authority enhances stability by promoting the safety and security of both military forces and the local populace, reducing active or passive sabotage, and maintaining public order. It helps ongoing operations by building host-nation capability and capacity to perform government functions and relieving maneuver forces of the responsibility of civil administration. Until the military authority can safely transition to civil authority and 6 October 2008
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control, activities of the transitional military authority are performed with civilian personnel assistance and participation. These civilians may come from the host-nation, the United States Government (USG), or other agencies or organizations. This cooperation facilitates the transition while ensuring that all activities complement and reinforce efforts to establish conditions necessary to achieve success.
5-5. A transitional military authority exercises functions of civil administration. These functions include providing for the safety, security, and well-being of the populace; reestablishing and maintaining public order; and restoring essential services. Such functions—and the tasks that support them—evolve from the essential tasks described in the essential stability task matrix and are reflected in the five primary stability tasks. (See chapter 3 for a discussion of essential stability tasks.) Establishing transitional military authority may require military forces to execute tasks typically performed by the host-nation government. These tasks may be provided for under international law, including applicable treaties—such as The Hague and Geneva Conventions—and United Nations Security Council resolutions.
COMMAND RESPONSIBILITY FOR TRANSITIONAL MILITARY AUTHORITY
5-6. The exercise of transitional military authority is a command responsibility, exercised in accordance with international law. To ensure that understanding and cultural awareness inform planning and the conduct of transitional military authority, commanders at all levels maintain open, continuous dialog. They also collaborate among the echelons of command and various agencies, organizations, and institutions that share in efforts to restore legitimate governance to the host nation.
5-7. The authority to implement transitional military authority resides with the President and is exercised through the Secretary of Defense and the joint force commander. Broad policy formulation and initial planning for transitional military authority is conducted under the direction of the Joint Chiefs of Staff.
However, the joint force commander, key staff, and subordinate Service component and allied commanders also participate to a lesser degree.
ESTABLISHING TRANSITIONAL MILITARY AUTHORITY
5-8. A transitional military authority is a temporary military government exercising the functions of civil administration in the absence of a legitimate civil authority. It restores and maintains public order, ensures the safety and security of the local populace, and provides essential civil services. Transitional military authority is not limited to the occupation of enemy territory. During operations outside the United States and its territories, necessity may also require establishing transitional military authority in various situations, including—
An allied or neutral territory liberated from enemy forces.
A technically neutral or allied territory proven to be hostile.
Ungoverned areas.
5-9. The time during which a transitional military authority exercises authority varies based on the requirements of both the military operation and international law. To establish transitional military authority, commanders may require from the host-nation population a level of obedience commensurate with military necessity. Such obedience provides security of military forces, maintenance of law and order, and proper administration of the operational area. Commanders can reward civil obedience by reducing infringement on the individual liberties of the local populace.
5-10. The degree of control exercised by a transitional military authority varies greatly due to several factors, including—
The legal authorities of the military commander under international law.
The relationship that previously existed between the USG and the host-nation government.
Existing attitudes and the level of cooperation of the host nation’s national, regional, and local leaders, and the local populace.
Ongoing and projected military operations.
The presence of hostile or enemy forces.
The level of civil obedience.
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5-11. As conditions in the territory subject to transitional military authority stabilize, the degree of control exercised by a military authority can decrease. Authority and control can transfer either to the legitimate sovereign or to another civil authority.
ORGANIZING FOR TRANSITIONAL MILITARY AUTHORITY
5-12. The joint force commander is responsible for the detailed planning and operations of the transitional military authority under the general guidelines received from the President, Secretary of Defense, and Joint Chiefs of Staff. The structure and organization of the transitional military authority depend on—
International law, including any applicable United Nations Security Council resolutions or similar authorities.
The mission of the military force.
The organization, capabilities, and capacities of deployed forces.
The military and political conditions of the operational area.
The nature, structure, and organization of the existing or former host-nation government.
The physical, political, economic, and cultural geography of the host nation.
EXISTING LAWS, CUSTOMS, AND BOUNDARIES
5-13. The laws of the territory subject to transitional military authority may not be changed, except to the extent permitted by The Hague and Geneva Conventions. Commanders must consult closely and carefully with their legal advisors before attempting to change any local laws.
5-14. In general, the military authority should not impose the customs of another nation on an occupied territory. Implementing changes or reforms inconsistent with local customs may foster active or passive resistance, adding friction to an already complex effort. Commanders and their legal advisors must recognize that laws and customs often vary between political divisions of a country, such as between provinces or municipalities. Commanders need to identify issues related to ethnic and minority groups so policies of the transitional military authority do not inadvertently oppress such groups.
5-15. Local boundaries and political divisions may not be redrawn except to the extent permitted by international law. Unit boundaries should normally reflect these boundaries as closely as possible.
Periodically, however, unit boundaries should shift to avoid inadvertently creating sanctuaries for adversaries. Existing police jurisdictional boundaries and lines should be examined to determine if their location contributes to setting the conditions for successful stability operations. Established precincts, zones, districts, regions, counties, parishes, or other mechanisms that delineate police authority can assist in command and control, decisionmaking, and employment of military forces. Police jurisdictional boundaries may reflect dominant or sensitive cultural realities or fault lines that exist in a community. Some police boundaries may also exist to ensure that police capability is commensurate or appropriate to the criminal conditions of an area.
FORMS OF TRANSITIONAL MILITARY AUTHORITY
5-16. In general, transitional military authorities are either operational or territorial. An operational military authority expands in authority as operations continue. In the territorial form of transitional military authority, a separate organization is established under the direct command of the joint force commander or an authorized subordinate.
Operational Military Authority
5-17. The responsibilities and geographic area over which a transitional military authority exercises civil administration may expand as operations continue. Commanders oversee civil functions of government in their respective operational areas. This includes ensuring the safety, security, and well-being of the local populace, and providing humanitarian assistance. Under operational military authority, the existing chain of command retains the responsibility for authority and is supported by the staff structure at that echelon.
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5-18. Concentrating authority and responsibility in the commander helps ensure that activities related to civil administration are integrated consistently with ongoing operations. These activities include relations between the military force and civilians. By ensuring the integrity of unity of command in an operational area, commanders can mitigate much of the friction associated with operations in and among the local populace. As the situation permits, the responsibility for civil administration transfers to host-nation or other civil authority to help it return to full self-governance. Using host-nation civilian advisory groups helps accelerate this transfer of authority.
5-19. The advantages of operational military authority, however, are tempered by the rate of military activities. Generally, the higher the tempo within the operational area, the less the commander is able to address the requirements of transitional military authority. In areas where the tempo of operations and civil situation are consistently dynamic, civil administration policies may change frequently. Finally, operational headquarters are not always assigned operational areas corresponding to known political subdivisions.
Even after hostilities, conformance of these areas to political boundaries may prove impossible, however desirable.
Territorial Military Authority
5-20. In territorial military authority, a separate organization is established to exercise the functions of civil administration. It may be under the direct command of the joint force commander or an authorized subordinate or may report directly to the Secretary of Defense or the President. The military governor may command subordinate military governors assigned to political subdivisions throughout the territory of the host nation. Generally, the territorial military authority