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Appendix A
DEPARTMENT OF DEFENSE
A-31. The DOD coordinates with the DOS and other government agencies on many issues including—
Bilateral and multilateral military relationships.
Treaties involving DOD interests.
Technology transfers.
Armaments cooperation and control.
Humanitarian assistance.
Peace operations including those under the auspices of the UN.
A-32. Within an area of responsibility, the geographic combatant commander plans and implements theater and geographic military strategies that require interagency coordination. Coordination between the DOD
and other government agencies may occur with a country team or within a combatant command. In some operations, a special representative of the President or special envoy of the UN Secretary General may be involved. Many USG organizations are regionally focused, such as the DOS in its regional bureaus and the USAID. In individual countries, the ambassador and country team supervise and direct the overall foreign assistance program.
A-33. A campaign plan is based on a joint force commander’s intent and concept of operations. This plan presents a broad vision of the required aim or end state and how operations will be sequenced and synchronized to achieve objectives. A campaign plan is essential for laying out a clear, definable path linking the mission to the desired end state. Such a plan enables commanders to help political leaders visualize operational requirements for achieving objectives. Given the systematic military approach to problem solving, often the combatant commander formally or informally functions as the lead organizer of many operations. (JP 3-08 outlines how to develop and execute a campaign plan in the interagency arena.) A-34. A political advisor is a foreign service officer from the DOS. Usually combatant commanders are augmented with a political advisor. Army component commanders in multinational operations and other operations may also be augmented with a political advisor. The political advisor provides diplomatic considerations and enables informal links with embassies in the area of responsibility to the DOS. The foreign policy advisor supplies information regarding DOS policy goals and objectives relevant to the geographic combatant commander’s theater strategy. Other government agencies also may detail liaison personnel to operational-level staffs when requested to improve interagency coordination.
CENTRAL INTELLIGENCE AGENCY
A-35. The CIA coordinates the intelligence activities of other U.S. departments and agencies. It advises and recommends policy to the NSC on matters regarding intelligence activities of all government departments and agencies. It correlates and evaluates this intelligence and disseminates it in the government. The CIA also conducts special activities approved by the President. Executive Order 12333
directs that “no agency except the CIA (or the Armed Forces of the United States in time of war declared by Congress or during any period covered by a report from the President to the Congress under the War Powers Resolution … may conduct any special activity unless the President determines that another agency is more likely to achieve a particular objective….”
UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT
A-36. USAID is an independent USG agency that answers to the President through the Secretary of State.
It manages U.S. developmental, humanitarian, and civic assistance activities. USAID supervises and gives general direction on all nonmilitary assistance programs under the Foreign Assistance Act of 1961, Agricultural Trade Development and Assistance Act of 1954 (also known as “Food for Peace”), and related legislation. USAID also provides global technical leadership and technical assistance on development issues. It applies to multiple sectors that are critical for reconstruction and stabilization operations. Examples of these sectors include economic development, agriculture, health, democracy and governance, environment, humanitarian response, and conflict management and mitigation. This agency A-6
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Interagency, Intergovernmental, and Nongovernmental Organizations in Stability Operations plans and implements programs to improve economic and social conditions overseas, to help countries improve governance, to build legitimate institutions and manage conflict, and to address global problems.
The agency administers food assistance programs with the Department of Agriculture. Under arrangements made with USAID, U.S. affiliates of international voluntary agencies conduct most bilateral food assistance programs appropriated under Agricultural Trade Development and Assistance Act of 1954.
USAID also administers development assistance programs with the U.S. Millennium Challenge
Corporation. Although USAID is concerned primarily with development and civic assistance, many programs it administers, particularly in weak or fragile states, are security related. The agency representative in the host nation coordinates USAID managed assistance programs with other members of the country team, including the DOD representative. Coordination is also with all other assistance programs managed by USG departments or agencies active in the host nation. The USAID representatives in a host nation help coordinate U.S. foreign assistance with other multilateral, bilateral, and U.S. private assistance programs to that country.
A-37. USAID, through its Office of Foreign Disaster Assistance, leads U.S. humanitarian assistance efforts overseas. The Office of Foreign Disaster Assistance developed the disaster assistance response team to provide rapid response to foreign disasters. This team provides various trained specialists to assist U.S.
embassies and USAID missions with short-term assistance. It is a major component of USG capability in foreign humanitarian crisis or complex emergencies. (See JP 3-08 for more information.)
A-38. The overseas USAID mission is part of the American embassy; it operates under chief of mission authority and guidance. Its size varies widely depending upon the size and complexity of the U.S. foreign assistance program to that host nation. A small USAID mission may consist of a single U.S. representative supported by several locally hired employees. A large mission may have 50 or more U.S. direct hire employees. These employees often receive support from 50 to 125 locally hired host nation, U.S., or third country contract employees. A medium to large USAID mission overseas usually has a USAID mission director, deputy director, program office, and various technical offices. The latter may include economic growth, democracy and governance, health and education, and other support offices. More than 70
developing countries have USAID missions, while over 100 countries have active USAID programs.
USAID implements U.S. foreign assistance through agreements with implementing partners. Implementing partners may be host-nation entities or organizations, other USG departments or agencies,
intergovernmental or nongovernmental organizations, contractors, or private sector entities. While the numbers of USAID staff in a country is usual small, it often has substantial reach and influence through its implementing partners.
INTERGOVERNMENTAL ORGANIZATIONS
A-39. Intergovernmental organizations possess area or global influence. Examples of intergovernmental organizations with global reach include the UN, its agencies, and the World Bank. These organizations have well-defined structures, roles, and responsibilities as well as the resources and expertise to lead and participate in complex operations. Regional examples include North Atlantic Treaty Organization (NATO), the African Union, the Organization of American States, the European Union, and the Organization for Security and Cooperation in Europe. Paragraphs A-40–A-52 discuss formal or informal ties between the United States and some of the larger intergovernmental organizations.
THE UNITED NATIONS
A-40. Coordination with the UN begins at the national level with the DOS, through the U.S. permanent representative to the UN. In some administrations, this individual has cabinet status. The U.S.
representative is assisted at the U.S. mission to the UN by a staff of 100 foreign nationals, military, and civilian personnel. This staff includes a military assistant who coordinates appropriate military interests primarily with the United Nations Office for the Coordination of Humanitarian Affairs (OCHA), the UN
Development Programme, and the United Nations Department for Peacekeeping Operations (UNDPKO).
A-41. The Foreign Assistance Act of 1961, the United Nations Participation Act of 1945, and Executive Order 10206 authorize various types of U.S. military support to the UN, either on a reimbursable or nonreimbursable basis. U.S. military operations to support the UN usually fall within Chapter VI or 6 October 2008
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Chapter VII of the UN Charter. (See JP 3-08 for details regarding the UN Charter and Chapters VI and VII of that charter.)
A-42. The UN Security Council normally authorizes peace operations or conducts humanitarian assistance under the provisions of a resolution or mandate from the UN Security Council or the general assembly. As politicians and diplomats try to reach a compromise, they develop mandates. The compromises often challenge military commanders who translate these mandates into workable mission orders. Additionally, fast-changing events on the ground can quickly render a mandate obsolete. Commanders must quickly inform the chain of command of significant changes in the situation.
A-43. The UN headquarters coordinates peace operations and humanitarian assistance around the world. It maintains a strategic-operational-tactical structure equivalent to the armed forces for implementing UN
Security Council resolutions. The UN organizational structure consists of the headquarters and the operational field elements. Strategic decisionmaking resides with the UN Security Council. The Secretariat provides strategic guidance between resolutions of the UN Security Council as well as exercises a measure of operational authority. Within an operational area, the special representative to the United Nations Secretary General (UNSG) at the integrated mission headquarters—normally based in the host-nation capital—provides operational-level command as well as a link to the tactical level. At the tactical level, the various heads of the sectors into which the host nation has been divided for mission implementation provide tactical counterparts for military commanders operating at that level.
A-44. The OCHA coordinates humanitarian operations. This office makes necessary arrangements for UN
relief organizations to deliver assistance quickly and effectively. The UN emergency relief coordinator appoints humanitarian coordinators for natural disasters and complex emergencies. In complex emergencies, the emergency relief coordinator appoints a field-based humanitarian coordinator. This latter coordinator works under the authority of the special representative to the UNSG. Under certain circumstances, the UNSG may appoint a special representative to direct day-to-day operations. This representative reports to the UNSG directly and advises UNDPKO and OCHA at UN headquarters.
A-45. The OCHA is a part of the UN Secretariat. It coordinates UN assistance in humanitarian crises that exceed the capacity and mandate of any single humanitarian organization. The head of this office, the emergency relief coordinator, chairs the Interagency Standing Committee, thus uniting all major humanitarian actors inside and outside the UN system. This committee works to analyze a given crisis. It also ensures interagency decisionmaking when responding to complex emergencies and developing humanitarian policy. The UN country team led by the humanitarian coordinator coordinates the responses to specific crises at the country level for the UN system.
A-46. The UNDPKO is the operational arm of the UNSG for managing day-to-day peacekeeping
operations. In this capacity, the department acts as the main channel of communications between UN
headquarters and the field when a peacekeeping force is deployed.
A-47. The UN Development Programme is a separate agency that is part of the UN system. As indicated by its name, this agency focuses more on long-term development than emergencies. The in-country program representative is often the UN humanitarian coordinator, responsible to mobilize and manage the local UN
humanitarian resources and provide direction for the field relief effort. If conflict erupts, a special representative to the UNSG—who has greater expertise in emergencies and negotiations—may replace the UN resident coordinator.
A-48. Normally, UN-sponsored operations employ a force under a single commander. The force commander is appointed by the UNSG with the consent of the UN Security Council. This commander reports to the special representative to the UNSG or to the UNSG directly. In any multinational operation, the U.S. commander retains command authority over all assigned U.S. forces. The U.S. chain of command flows from the President through the combatant commander. With presidential authorization, the multinational force commander may exercise operational control over U.S. units in specific operations authorized by the UN Security Council.
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Interagency, Intergovernmental, and Nongovernmental Organizations in Stability Operations THE NORTH ATLANTIC TREATY ORGANIZATION
A-49. NATO is a good example of the interagency process on a regional level. NATO has been challenged by the demands for cooperation that characterize every regional effort and has endured for over 50 years.
U.S. efforts within NATO are led and coordinated by the permanent representative. This representative is appointed by the President and has the rank and status of ambassador extraordinary and chief of mission (see the Rogers Act). Table A-1 lists the 26 members of NATO.
Table A-1. Members of NATO
Belgium Bulgaria Canada Czech
Republic
Denmark Estonia France Germany
Greece Hungary Iceland Italy
Latvia Lithuania
Luxembourg Netherlands
Norway Poland Portugal Romania
Slovakia Slovenia Spain
Turkey
United Kingdom
United States
A-50. Over the years, NATO has undergone changes in organization, orientation, and membership.
Following the Cold War, the alliance was restructured to enable it to participate in peacekeeping and crisis management tasks. The alliance undertakes the tasks in cooperation with countries that are not members of the alliance and with other international organizations. NATO support to UN operations in the former Yugoslavia illustrates this cooperation.
A-51. In Kosovo, Operation Allied Force demonstrated for the first time NATO’s ability to conduct offensive operations to force a noncompliant to assent to the alliance’s collective will. The alliance has been actively involved in planning, preparing, and implementing peace operations, such as protection for humanitarian relief and support for UN monitoring of heavy weapons.
A-52. Beyond day-to-day operations, training exercises, and logistics authorized by statute, extraordinary use of military forces with NATO across the spectrum of conflict requires presidential approval. They may also be subject to congressional review, including those employments authorized and limited by the War Powers Resolution of 1973.
NONGOVERNMENTAL ORGANIZATIONS
A-53. NGOs do not operate within the military or governmental hierarchy or the chain of command.
Therefore, any relationship between the armed forces and an NGO is best characterized as a professional or circumstantial association. Generally, coordination between military forces and NGOs is facilitated through the UN, USAID, or DOS. The military force ordinarily orchestrates this interaction with other agencies and organizations through the activities of a civil-military operations center (CMOC).
A-54. NGOs are frequently present and actively engaged in development activities when U.S. forces arrive.
They often remain long after military forces have departed. Some NGOs are independent, diverse, flexible, grassroots-focused, primary relief providers. Others, however, provide a channel for funds and collaborate with other primary relief NGOs (usually local) to carry out the programs. These organizations often provide support to host-nation populations. NGOs assist over 250 million people annually. The funding received by NGOs comes from a multitude of sources, including governmental, international, and private organizations; that is, the NGOs act as independent implementing partners for funding agencies. Because they can respond quickly and effectively to crises, they can lessen the civil-military resources that commanders would otherwise have to devote to an operation. Despite differences that may exist between military forces and civilian agencies, certain objectives may be similar. Discovering common ground is essential to unity of effort. The commander’s assessment of conditions and resources includes the activities and capabilities of NGOs and their role and mission within the operational area.
A-55. NGOs range from internationally based groups with global reach to local organizations focused on a specific area or state. They include groups with multimillion-dollar budgets and decades of global experience in development and humanitarian relief as well as newly created small organizations dedicated 6 October 2008
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to a particular emergency or disaster. Most NGOs are not relief-oriented but carry out long-term development projects. The professionalism, capability, equipment, resources, and expertise vary greatly from one NGO to another. NGOs participate in diverse activities such as human rights, education, technical projects, relief activities, refugee assistance, public policy, and development programs. The connection between NGOs and the DOD is ad hoc, with no specific statutory link. Generally, military forces work through the UN, USAID, or the DOS to establish contacts with NGOs from the United States. While their focus remains grassroots and their connections informal, NGOs are major actors in many areas where military forces conduct stability operations. Such organizations affect many lives and control significant resources, making NGOs powerful in the relief, reconstruction, and development community. UN and USG agencies often use individual organizations to carry out specific relief functions.
A-56. Military forces are likely to encounter many NGOs in an operational area. In Somalia, there were 78
private organizations contributing relief support, and in the Rwanda crisis, over 100 relief organizations assisted the UN relief. Over 350 such agencies are registered with the USAID. The first line of security for most NGOs is their adherence to strict principles of impartiality, neutrality, and independence. Actions that blur the distinction between relief workers and military forces may be perceived as a threat to these principles. Such perceptions can increase the risk to civilian aid workers, both expatriates and nationals.
However, NGOs may request certain types of military support from forces geographically co-located within an operational area. For example, command-approved chaplain support helps to build unity of effort and enhances relationships among diverse groups.
A-57. Their extensive involvement, local contacts, and experience make NGOs valuable sources of information about local and regional governments and civilian attitudes toward an operation. While some organizations seek the protection of the armed forces or the use of military aircraft to move relief supplies to overseas destinations, others may avoid a close affiliation with military forces, preferring autonomous operations. Their rationale may be fear of compromising their impartiality with the local populace or suspicion that military forces intend to take control of, influence, or even prevent their operations. Staffs should consult these organizations, along with the host-nation government (if applicable), to identify local issues and concerns the proposed public affairs guidance should reflect.
A-58. Public affairs planning includes identifying points of contact in NGOs operating in an affected area.
Generally, the PAO refers media queries regarding NGO operations to an authorized NGO spokesperson.
Military spokespersons should only comment on an NGO based on specific guidance received from that NGO or the UN. The office of the assistant Secretary of Defense (public affairs) or a regional organization (such as NATO) may also provide guidance in cooperation with the in-country headquarters of the organization.
A-59. The President may determine that it is in the national interest to task U.S. forces with missions that bring them into close contact with (if not support of) NGOs. All participants benefit when they closely coordinate their activities. Military forces seek to establish a climate of cooperation with NGOs. Missions to support NGOs are short term, usually necessitated by extraordinary events. In most situations, the NGOs need logistics, communications, and security capabilities. However, in such missions, the role of the armed forces is to enable—not perform—NGO tasks. Often U.S. military assistance has proven to be the critical difference that enabled success of an operation. Commanders understand that mutually beneficial arrangements between the armed forces and NGOs may determine the success of the military operation.
(Appendix B of JP 3-08 describes many agencies that commanders may encounter in an operational area.) OTHER ORGANIZATIONS
A-60. Other organizations that assist people in need include the International Red Cross and Red Crescent Movement, the CMOC, and various liaisons.
THE INTERNATIONAL RED CROSS AND RED CRESCENT MOVEMENT
A-61. The International Red Cross and Red Crescent Movement is a well-known global network of humanitarian actors. It consists of three independent elements: the ICRC, the National Societies, and the Federation. Five citizens of Switzerland founded the ICRC in 1863 as the “International Committee for A-10
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Interagency, Intergovernmental, and Nongovernmental Organizations in Stability Operations Relief of Wounded.” Voluntary contributions by governments provide the majority of ICRC funding, complemented by financing from national Red Cross and Red Crescent Societies and private sources.
A-62. The ICRC mission is, on the basis of the Geneva Conventions and protocols, to protect and assist victims of armed conflict and those affected by internal disturbances or tension. More specifically, this means to—
Visit, interview, and transmit messages to, without witnesses, prisoners of war, and detained or interned civilians.
Provide aid to the populations of occupied territories.
Search for missing persons.
Offer services for establishing hospital zones, localities, and security.
Receive requests for aid from protected persons.
Exercise its right of initiative to pursue the above tasks and to offer its services to the parties of internal disputes.
A-63. In its own country, a national Red Cross (such as the American Red Cross) or Red Crescent Society assists the public authorities in humanitarian matters. It primarily backs up the military medical services during conflict. The International Federation of Red Cross and Red Crescent Societies supports the humanitarian activities carried out by the national societies.
A-64. The ICRC is often described as a NGO, but it is not; it is also not an international or intergovernmental organization. The ICRC is an organization with a hybrid nature. As a private association organized under the Swiss Civil Code, its existence is not in itself mandated by governments. Yet its functions and activities—to provide protection and assistance to victims of conflict—are mandated by the international community of states and are founded in international law.
A-65. The terms neutrality and independence acquire a specific meaning when related to the activities of the ICRC. The ICRC applies almost exclusively to armed conflicts, disturbances, and tensions. It strictly avoids any involvement in hostilities or in controversies of a political, racial, religious, or ideological nature as an imperative for humanitarian action. This strict and specific neutrality that fosters and maintains universal trust also requires the ICRC to act openly and in good faith toward the nations and parties to the conflict. To discharge the mandate conferred by the Geneva Conventions and to take the humanitarian initiatives fundamental to its role as neutral intermediary, the ICRC must remain independent. Therefore, the ICRC adopts a special structure that allows it to resist political, economic, and other pressures and to maintain its credibility in the eyes of the governments and the public that support its activities.
A-66. In terms of civil-military relations, ICRC’s humanitarian activities aim to protect human dignity and lives. ICRC humanitarian activities cannot be subordinated to political or military objectives. The ICRC
must maintain a role independent of such influence or association. While consulting closely with international military missions deployed in the same operational area, it must create and maintain a specific humanitarian space. This space clearly distinguishes humanitarian action and political-military action.
CIVIL-MILITARY OPERATIONS CENTER
A-67. The CMOC is a standing capability formed by all civil affairs units. This capability provides the commander with the core personnel and equipment to form a CMOC organization. The CMOC serves as the U.S. forces’ primary technique to interface among the local populace and institutions, humanitarian organizations, intergovernmental and nongovernmental organizations, multinational military forces, and other civilian agencies of the USG. The supported commander establishes the CMOC. The civil affairs staff officer or the supporting civil affairs unit may direct the CMOC. The size, structure, and location of the CMOC are situation dependent and may be augmented by the commander with other forces (such as military police, engineers, or Army Medical Department). Normally, the supported unit civil affairs staff officer conducts detailed civil affairs operations or civil-military operations analysis and planning and provides staff oversight of the supporting civil affairs unit. The supporting CMOC executes, assesses, and provides feedback relating to the effects of the operation. As a coordination center, the CMOC is neither a unit nor an organization.
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A-68. If there is a host-nation government, it has the presumptive right to establish the mechanisms for civil-military coordination in the form commonly known as a humanitarian operations center. The structure of a humanitarian operations center can be formal or informal.
A-69. The CMOC may be the first, second, or even third coordinating mechanism, depending on the situation. Strong consideration should be given to co-locating CMOC functions with previously existing mechanisms, such a humanitarian operations center, humanitarian assistance coordination center, or a civil-military cooperation center. (See table A-2.) Protection is always a concern for the commander considering where to locate the CMOC; while placing the CMOC “inside the wire” increases protection, it can also interfere with its ability to interact with NGOs and other actors. The commander must consider this difficulty when analyzing the situation according to the mission variables (mission, enemy, terrain and weather, troops and support available, time available, and civil considerations).
Table A-2. Example of coordination centers
Coordinating Center
Description
Humanit