FM 3-07
STABILITY
OPERATIONS
OCTOBER 2008
DISTRIBUTION RESTRICTION:
Approved for public release; distribution is unlimited.
HEADQUARTERS
DEPARTMENT OF THE ARMY
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Foreword
Since the terrorist attacks on the American people seven years ago, we have been engaged in an epic struggle unlike any other in our history. This struggle, what may be the defining ideological conflict of the 21st century, is marked by the rising threat of a violent extremist movement that seeks to create anarchy and instability throughout the international system. Within this system, we also face emerging nations discontented with the status quo, flush with wealth and ambition, and seeking a new global balance of power. Yet the greatest threat to our national security comes not in the form of terrorism or ambitious powers, but from fragile states either unable or unwilling to provide for the most basic needs of their people.
As the Nation continues into this era of uncertainty and persistent conflict, the lines separating war and peace, enemy and friend, have blurred and no longer conform to the clear delineations we once knew.
At the same time, emerging drivers of conflict and instability are combining with rapid cultural, social, and technological change to further complicate our understanding of the global security environment.
Military success alone will not be sufficient to prevail in this environment. To confront the challenges before us, we must strengthen the capacity of the other elements of national power, leveraging the full potential of our interagency partners.
America’s future abroad is unlikely to resemble Afghanistan or Iraq, where we grapple with the burden of nation-building under fire. Instead, we will work through and with the community of nations to defeat insurgency, assist fragile states, and provide vital humanitarian aid to the suffering. Achieving victory will assume new dimensions as we strengthen our ability to generate “soft” power to promote participation in government, spur economic development, and address the root causes of conflict among the disenfranchised populations of the world. At the heart of this effort is a comprehensive approach to stability operations that integrates the tools of statecraft with our military forces, international partners, humanitarian organizations, and the private sector.
The comprehensive approach ensures unity of effort among a very rich and diverse group of actors while fostering the development of new capabilities to shape the operational environment in ways that preclude the requirement for future military intervention. It postures the military to perform a role common throughout history—ensuring the safety and security of the local populace, assisting with reconstruction, and providing basic sustenance and public services. Equally important, it defines the role of military forces in support of the civilian agencies charged with leading these complex endeavors.
Field Manual 3-07, Stability Operations, represents a milestone in Army doctrine. It is a roadmap from conflict to peace, a practical guidebook for adaptive, creative leadership at a critical time in our history.
It institutionalizes the hard-won lessons of the past while charting a path for tomorrow. This manual postures our military forces for the challenges of an uncertain future, an era of persistent conflict where the unflagging bravery of our Soldiers will continue to carry the banner of freedom, hope, and opportunity to the people of the world.
WILLIAM B. CALDWELL, IV
Lieutenant General, U.S. Army
Commander
U.S. Army Combined Arms Center
This publication is available at
Army Knowledge Online (www.us.army.mil) and
General Dennis J. Reimer Training and Doctrine
Digital Library at (www.train.army.mil).
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*FM 3-07
Field Manual
Headquarters
No. 3-07
Department of the Army
Washington, DC, 6 October 2008
Stability Operations
Contents
Page
PREFACE
.............................................................................................................
iv
INTRODUCTION ................................................................................................... vi Chapter 1
THE STRATEGIC CONTEXT ............................................................................ 1-1
The American Experience with Stability ............................................................. 1-1
The Strategic Approach ...................................................................................... 1-2
National Strategy .............................................................................................. 1-10
National and Defense Policies ......................................................................... 1-13
Strategy for Stability Operations ....................................................................... 1-16
Chapter 2
STABILITY IN FULL SPECTRUM OPERATIONS ............................................ 2-1
Full Spectrum Operations ................................................................................... 2-1
Department of State Post-Conflict Reconstruction Essential Tasks .................. 2-5
Primary Stability Tasks ....................................................................................... 2-9
Stability Operations Framework ....................................................................... 2-12
Chapter 3
ESSENTIAL STABILITY TASKS ...................................................................... 3-1
Identifying Essential Tasks ................................................................................. 3-1
Primary Stability Tasks ....................................................................................... 3-2
The Role of Civil Affairs in Stability Operations ................................................ 3-21
Mission-Essential Tasks in Stability Operations ............................................... 3-22
Chapter 4
PLANNING FOR STABILITY OPERATIONS ................................................... 4-1
Planning Fundamentals ...................................................................................... 4-1
Planning Foundations ......................................................................................... 4-4
Designing Stability Operations ........................................................................... 4-6
Chapter 5
TRANSITIONAL MILITARY AUTHORITY ........................................................ 5-1
Authority and Command Responsibility ............................................................. 5-1
Organizing for Transitional Military Authority ..................................................... 5-3
Guidelines for Transitional Military Authority ...................................................... 5-5
Courts and Claims .............................................................................................. 5-9
Distribution Restriction: Approved for public release; distribution is unlimited.
*This publication supersedes FM 3-07, 20 February 2003.
i
Contents
Chapter 6
SECURITY SECTOR REFORM ......................................................................... 6-1
Background ......................................................................................................... 6-1
Integrated Security Sector Reform ..................................................................... 6-2
Security Sector Reform Planning ........................................................................ 6-5
Comprehensive Security Sector Reform .......................................................... 6-10
Disarmament, Demobilization, and Reintegration ............................................ 6-19
Appendix A
INTERAGENCY, INTERGOVERNMENTAL, AND NONGOVERNMENTAL
ORGANIZATIONS IN STABILITY OPERATIONS ........................................... A-1
Appendix B
INTERAGENCY MANAGEMENT SYSTEM ...................................................... B-1
Appendix C
USAID PRINCIPLES FOR RECONSTRUCTION AND DEVELOPMENT ........ C-1
Appendix D
INTERAGENCY CONFLICT ASSESSMENT OVERVIEW ............................... D-1
Appendix E
HUMANITARIAN RESPONSE PRINCIPLES ................................................... E-1
Appendix F
PROVINCIAL RECONSTRUCTION TEAMS ..................................................... F-1
Appendix G
SUMMARY OF CHANGES ............................................................................... G-1
SOURCE
NOTES ......................................................................... Source Notes-1
GLOSSARY
.......................................................................................... Glossary-1
REFERENCES
.................................................................................. References-1
INDEX
.........................................................................................................
Index-1
Figures
Figure 1-1. Comprehensive approach to stability operations ................................................ 1-5
Figure 1-2. The fragile states framework ............................................................................. 1-10
Figure 1-3. Strategy and policy references for stability operations ..................................... 1-11
Figure 2-1. Full spectrum operations ..................................................................................... 2-1
Figure 2-2. An integrated approach to stability operations .................................................... 2-5
Figure 2-3. The fragile states spectrum ............................................................................... 2-12
Figure 2-4. The stability operations framework.................................................................... 2-13
Figure 3-1. Relating information engagement to the primary stability tasks ........................ 3-20
Figure 4-1. Example of stability lines of effort ...................................................................... 4-10
Figure 4-2. Using SWEAT-MSO .......................................................................................... 4-11
Figure 6-1. Elements of the security sector ........................................................................... 6-3
Figure A-1. Country team members ...................................................................................... A-2
Figure A-2. Notional civil-military operations center (battalion and above) ......................... A-13
Figure A-3. Coordination within the CMOC ......................................................................... A-14
Figure D-1. Conflict diagnosis ................................................................................................ D-4
Figure D-2. Dynamics of instability ........................................................................................ D-8
Figure D-3. Analyzing causes of instability .......................................................................... D-11
Figure F-1. Example of provincial reconstruction team organization .................................... F-3
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Contents
Tables
Table A-1. Members of NATO ................................................................................................A-9
Table A-2. Example of coordination centers ....................................................................... A-12
Table D-1. Tactical stability matrix ...................................................................................... D-12
Table E-1. The International Red Cross and Red Crescent Movement and
Nongovernmental Organization Code of Conduct in Disaster Relief .................E-5
Table G-1. New Army terms .................................................................................................. G-3
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Preface
Field Manual (FM) 3-07 is the Army’s keystone doctrinal publication for stability operations. FM 3-07 presents overarching doctrinal guidance and direction for conducting stability operations, setting the foundation for developing other fundamentals and tactics, techniques, and procedures detailed in subordinate field manuals. It also provides operational guidance for commanders and trainers at all echelons and forms the foundation for Army Training System curricula.
The six chapters that make up this edition of Stability Operations constitute the Army’s approach to the conduct of full spectrum operations in any environment across the spectrum of conflict. This doctrine focuses on achieving unity of effort through a comprehensive approach to stability operations, but remains consistent with, and supports the execution of, a broader “whole of government” approach as defined by the United States Government (USG). The core of this doctrine includes the following:
• Chapter 1 describes the strategic context that frames the Army’s comprehensive approach to stability operations. It includes discussion of the strategic environment, USG strategy and policy, and interagency efforts to define an integrated approach to stability operations that leverages the collective efforts of a wide array of actors toward a commonly understood and recognized end state.
• Chapter 2 links full spectrum operations to broader efforts aiming to achieve stability, emphasizing the simultaneous nature of offensive, defensive, and stability tasks. It describes the phasing paradigm that defines stability operations activities conducted before, during, and after combat operations. Finally, the chapter links the primary stability tasks with broader interagency stability sectors to provide the foundation for civil-military integration at the tactical level.
• Chapter 3 addresses the essential stability tasks that comprise military stability operations. It provides a detailed discussion of each of the five primary stability tasks, and describes the subordinate tasks that constitute the range of activities in stability operations. It includes doctrine that describes the role of civil affairs forces in stability operations as the commander’s conduit for civil-military integration. Finally, it describes development of mission-essential and directed task list development to support stability operations.
• Chapter 4 discusses the fundamental principles of the detailed component of planning, focused on the stability element of full spectrum operations. It builds on the precepts established in FMs 3-0 and 5-0, providing a systemic approach to planning and assessing stability operations.
• Chapter 5 addresses transitional military authority and provides doctrine concerning command responsibility, establishment, and organization of military government to support stability operations. It includes principles for establishing judicial structures to enable transitional military authority.
• Chapter 6 provides the doctrinal foundation for security sector reform, and introduces security force assistance as the capacity-building activity that encompasses organizing, training,
equipping, rebuilding, and advising host-nation security forces. It also sets disarmament, demobilization, and reintegration as a fundamental element of security sector reform.
Seven appendixes complement the body of the manual.
Army doctrine is consistent and compatible with joint doctrine. FM 3-07 links stability operations doctrine to joint operations doctrine as expressed in joint doctrinal publications, specifically, Joint Publication (JP) 3-0 and JP 5-0. FM 3-07 expands on the fundamental principles of operations expressed in FM 3-0 and links those principles to a comprehensive approach to stability operations within the framework of full spectrum operations. FM 3-07 also uses text and concepts developed in conjunction with North Atlantic Treaty Organization partners.
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Preface
The principal audience for FM 3-07 is the middle and senior leadership of the Army, officers in the rank of major and above, who command Army forces or serve on the staffs that support those commanders. It is just as applicable to the civilian leadership of the Army. This manual is also intended to serve as a resource for the other government agencies, intergovernmental organizations, agencies of other governments, international organizations, nongovernmental organizations, and private sector entities who seek to develop a better understanding of the role of the military in broader reconstruction and stabilization efforts.
FM 3-07 uses joint terms where applicable. Most terms with joint or Army definitions are in both the glossary and the text. Text references: Definitions for which FM 3-07 is the proponent publication are in boldfaced text.
Glossary references: Terms for which FM 3-07 is the proponent (authority) publication include an asterisk in the glossary entry. These terms and their definitions will be included in the next revision of FM 1-02. For other definitions within the text, the term is italicized and the reference number of the proponent publication follows the definition.
The term “adversaries” includes both enemies and adversaries when used in the context of joint definitions.
FM 3-07 applies to the Active Army, the Army National Guard/Army National Guard of the United States, and U.S. Army Reserve unless otherwise stated.
This manual contains copyrighted material.
Headquarters, U.S. Army Training and Doctrine Command, is the proponent for this publication. The preparing agency is the Combined Arms Doctrine Directorate, U.S. Army Combined Arms Center. Send written comments and recommendations on a DA Form 2028 (Recommended Changes to Publications and Blank Forms) by mail to Commander, U.S. Army Combined Arms Center and Fort Leavenworth, ATTN: ATZL-CD
(FM 3-07), 201 Reynolds Avenue, Fort Leavenworth, KS 66027-2337; by e-mail to leav-cadd-web-cadd@conus.army.mil; or submit an electronic DA Form 2028.
ACKNOWLEDGMENTS
The copyright owners listed here have granted permission to reproduce material from their works. When published, other sources of quotations will be listed in the source notes.
Losing the Golden Hour: An Insider’s View of Iraq’s Reconstruction, by James Stephenson. Reproduced with permission of Potomac Books, Incorporated. Copyright © 2007.
“The Nine Principles of Reconstruction and Development,” by Andrew S. Natsios. Reproduced with permission of Parameters. Copyright © 2005.
State-Building: Governance and World Order in the 21st Century, by Francis Fukuyama. Reproduced with permission of Cornell University Press. Copyright © 2004.
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Introduction
Today, the Nation remains engaged in an era of persistent conflict against enemies intent on limiting American access and influence throughout the world. This is a fundamental clash of ideologies and cultures, waged across societal abysses separating rich ethnic and religious traditions and profound differences in perspective. The Nation is embarking on a journey into an uncertain future where these precipitous divides threaten to expand as a result of increased global competition for natural resources, teeming urban populations with rising popular expectations, unrestrained technological diffusion, and a global economy struggling to meet the mounting demands from emerging markets and third world countries.
The character of this conflict is unlike any other in recent American history, where military forces operating among the people of world will decide the major battles and engagements. The greatest threats to our national security will not come from emerging ambitious states but from nations unable or unwilling to meet the basic needs and aspirations of their people. Here, the margin of victory will be measured in far different terms from the wars of our past. However, time may be the ultimate arbiter of success: time to bring safety and security to an embattled populace; time to provide for the essential, immediate humanitarian needs of the people; time to restore basic public order and a semblance of normalcy to life; and time to rebuild the institutions of government and market economy that provide the foundations for enduring peace and stability. This is the essence of stability operations.
Joint doctrine provides a definition for stability operations that captures the role of military forces to support broader governmental efforts:
[Stability operations encompass] various military missions, tasks, and activities
conducted outside the United States in coordination with other instruments of national power to maintain or reestablish a safe and secure environment, provide essential
governmental services, emergency infrastructure reconstruction, and humanitarian relief (JP 3-0).
This manual proceeds from that definition to establish the broad context in which military forces assume that role before, during, and after combat operations, across the spectrum of conflict. In doing so, the manual focuses the efforts of military forces appropriately in support of the other instruments of national and international power; thus, the manual defines a comprehensive approach to stability operations in a complex and uncertain future. For Army forces, those efforts are fundamental to full spectrum operations.
The essential nature of stability operations in this era of persistent conflict became increasingly clear following combat operations in Afghanistan and Iraq. Recognizing this shift in focus, the Department of Defense (DOD) implemented DODD 3000.05 in November 2005. The directive emphasized that stability operations were no longer secondary to combat operations, stating:
Stability operations are a core U.S. military mission that the Department of Defense
shall be prepared to conduct and support. They shall be given priority comparable to
combat operations and be explicitly addressed and integrated across all DOD activities including doctrine, organizations, training, education, exercises, materiel, leadership, personnel, facilities, and planning.
The directive further stressed that stability operations were likely more important to the lasting success of military operations than traditional combat operations. Thus, the directive elevated stability operations to a status equal to that of the offense and defense. That fundamental change in emphasis sets the foundation for this doctrine.
This manual addresses military stability operations in the broader context of United States Government reconstruction and stabilization efforts. It describes the role of military forces in supporting those broader efforts by leveraging the coercive and constructive capabilities of the force to establish a safe and secure vi
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Introduction
environment; facilitate reconciliation among local or regional adversaries; establish political, legal, social, and economic institutions; and help transition responsibility to a legitimate civil authority operating under the rule of law. This transition is fundamental to the shift in focus toward long-term developmental activities where military forces support broader efforts in pursuit of national and international objectives. Success in these endeavors typically requires a long-term commitment by external actors and is ultimately determined by the support and participation of the host-nation population.
However, this manual also provides doctrine on how those capabilities are leveraged to support a partner nation as part of peacetime military engagement. Those activities, executed in a relatively benign security environment as an element of a combatant commander’s theater security cooperation plans, share many of the same broad goals as stability operations conducted after a conflict or disaster. Such activities aim to build partner capacity, strengthen legitimate governance, maintain rule of law, foster economic growth, and help to forge a strong sense of national unity. Ideally, these are addressed before, rather than after, conflict. Conducted within the context of peacetime military engagement, they are essential to sustaining the long-term viability of host nations and provide the foundation for multinational cooperation