Public knowledge and understanding of rights and responsibilities under the law.
2-32. Successful interventions address the most critical gaps in capability and capacity as soon as possible.
Initial response forces that immediately account for vital issues of justice and reconciliation typically maintain the initiative against subversive and criminal elements seeking to fill those gaps. Host-nation involvement in planning, oversight, and monitoring of justice and reconciliation sector reforms is essential.
Generally, intervention in the justice and reconciliation sector encompasses three categories: Initial response activities to institute essential interim justice measures that resolve the most urgent issues of law and order until host-nation processes and institutions are restored.
An established system of reconciliation to address grievances and past atrocities.
Long-term actions to establish a legitimate, accountable host-nation justice system and
supporting infrastructure.
2-33. The justice and reconciliation sector closely relates to the security and governance sectors; activities in one sector often complement or reinforce efforts in another. These relationships are further reinforced by the inseparable nature of the tasks subordinate to each sector, which reflects the dynamic interaction between security and justice. Due to the close relationships among the activities and functions that comprise the security, governance, and justice and reconciliation sectors, failure to act quickly in one sector can lead to the loss of momentum and gains in the other sectors.
HUMANITARIAN ASSISTANCE AND SOCIAL WELL-BEING
2-34. Conflict and disaster significantly stress how well the state can provide for the essential, immediate humanitarian needs of its people. The institutions of security and governance that enable the effective functioning of public services often fail first, leading to widespread internal strife and humanitarian crisis.
In some areas, the intense competition for limited resources may explode into full-blown conflict, possibly leaving pervasive starvation, disease, and death as obvious outward indications of a fragile state in crisis.
(See appendix E for a discussion of humanitarian assistance principles.)
2-35. Any intervention effort is incomplete if it fails to alleviate immediate suffering. Generally, this suffering is understood to include the immediate need for water, food, shelter, emergency health care, and sanitation. However, solutions that focus on ensuring sustainable access to these basic needs are also necessary to prevent the recurrence of systemic failures while assuring the social well-being of the people.
These sustainable solutions establish the foundation for long-term development. They address the root or underlying causes of a conflict that result in issues such as famine, dislocated civilians, refugee flows, and human trafficking. It also ensures the lasting effects of the intervention effort by institutionalizing positive change in society.
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GOVERNANCE AND PARTICIPATION
2-36. Tasks in the governance and participation sector address the need to establish effective, legitimate political and administrative institutions and infrastructure. Governance is the state’s ability to serve the citizens through the rules, processes, and behavior by which interests are articulated, resources are managed, and power is exercised in a society, including the representative participatory decisionmaking processes typically guaranteed under inclusive, constitutional authority. Effective governance involves establishing rules and procedures for political decisionmaking, strengthening public sector management and administrative institutions and practices, providing public services in an effective and transparent manner, and providing civil administration that supports lawful private activity and enterprise. Participation includes procedures that actively, openly involve the local populace in forming their government structures and policies that, in turn, encourage public debate and the generation and exchange of new ideas.
2-37. Efforts to strengthen civil participation foster achieving positive, lasting change in society.
Achieving this change enables the people to influence government decisionmaking and hold public leaders accountable for their actions. Activities that develop social capital help local communities influence policies and institutions at local, regional, and national levels. With this assistance, communities establish processes for problem identification, development of proposals to address critical issues, capability and capacity building, community mobilization, rebuilding social networks, and advocacy. These social capital development activities are founded on three pillars:
Human rights by promoting and protecting social, economic, cultural, political, civil, and other basic human rights.
Equity and equality by advancing equity and equality of opportunity among citizens in terms of gender, social and economic resources, political representation, ethnicity, and race.
Democracy and self-determination by supporting participation and involvement in public forums and self-determination in human development.
2-38. Response efforts that seek to build local governance and participation capacity ensure host-nation responsibility for these processes. Even when civilians are deprived of authority or the right to vote, they must be encouraged to take the lead in rebuilding their own government. This lead is essential to establishing successful, enduring host-nation government institutions. Even when external actors perform certain governance functions temporarily, this process to build host-nation capacity—complemented by a comprehensive technical assistance program—is vital to long-term success.
2-39. Military forces may assume the powers of a sovereign governing authority under two conditions: when military forces intervene in the absence of a functioning government or when military operations prevent a government from administering to the public sector and providing public services. Transitional military authority is an interim solution. It is intended to continue only until the host-nation institutions and infrastructure can resume their functions and responsibilities. (Chapter 5 has a detailed discussion of transitional military authority during stability operations.)
ECONOMIC STABILIZATION AND INFRASTRUCTURE
2-40. Much of the broader success achieved in stability operations begins at the local level as intervening actors engage the populace with modest economic and governance programs. These programs set the building blocks for comprehensive national reform efforts. These efforts aim to build the institutions and processes to ensure the sustained viability of the state. To support the progress of the state from disarray to development, external actors and the host nation—
Establish the policies and regulatory framework that supports basic economic activity and
development.
Secure and protect the natural resources, energy production, and distribution infrastructure of the host nation.
Engage and involve the private sector in reconstruction.
Implement programs that encourage trade and investment with initial emphasis on host-nation and regional investors, followed at a later stage by foreign investors.
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Rebuild or reform essential economic governance institutions.
Reconstruct or build essential economic infrastructure.
2-41. Although conflict and disaster cause significant economic losses and disrupt economic activity, they also create opportunities for economic reform and restructuring. In fragile states, elites who benefit from the existing state of the economic situation can discourage the growth of trade and investment, stifle private sector development, limit opportunities for employment and workforce growth, and weaken or destroy emerging economic institutions. Intervening actors work to legitimize the host nation’s economic activities and institutions. Such legitimate institutions provide an opportunity to stimulate reconstruction and stabilization by facilitating assistance from the international community. This community helps develop comprehensive, integrated humanitarian and economic development programs required to achieve sustained success. Ultimately, such success can reduce the likelihood of a return to violent conflict while restoring valuable economic and social capital to the host nation.
2-42. The economic recovery of the host nation is tied directly to effective governance. Sound economic policy supported by legitimate, effective governance fosters recovery, growth, and investment. Recovery begins at the local level as markets and enterprises are reestablished, the workforce is engaged, and public and private investment is restored. These events help to stabilize the host-nation currency and reduce unemployment, thus providing the tax base necessary to support the recovery of the host nation’s treasury.
In turn, this enables the host-nation government to fund the public institutions and services that provide for the social and economic well-being of the people.
PRIMARY STABILITY TASKS
2-43. Stability operations consist of the five primary tasks shown in figure 2-2. The primary tasks correspond to the five stability sectors adopted by S/CRS. Together, they provide a mechanism for interagency tactical integration, linking the execution of discreet tasks among the instruments of national power. The subordinate tasks performed by military forces under the primary stability tasks directly support broader efforts within the stability sectors executed as part of unified action. (Chapter 3 addresses the relationship between the stability sectors and the primary stability tasks.)
2-44. None of these primary tasks is performed in isolation. When integrated within their complementary stability sectors, they represent a cohesive effort to reestablish the institutions that provide for the civil participation, livelihood, and well-being of the citizens and the state. At the operational level, the primary stability tasks may serve as lines of effort or simply as a guide to action, ensuring broader unity of effort across the stability sectors. (See chapter 4 for a discussion on the use of lines of effort in stability operations.) Each primary task and stability sector contains a number of related subordinate tasks. In any operation, the primary stability tasks, and the subordinate tasks included within each area, are integrated with offensive and defensive tasks under full spectrum operations. (See FM 3-0 for more information on full spectrum operations.)
2-45. The primary stability tasks are fundamental to full spectrum operations and are conducted across the spectrum of conflict, from stable peace to general war. They may be executed before, during, or after conflict. They may be executed to support a legitimate host-nation government, to assist a fragile state, or in the absence of a functioning civil authority. Each situation is unique. Planning and execution must be supported by thorough assessment and analysis to determine the ends, ways, and means appropriate to the conditions of the operational environment.
ESTABLISH CIVIL SECURITY
2-46. Establishing civil security involves providing for the safety of the host nation and its population, including protection from internal and external threats; it is essential to providing a safe and secure environment. Civil security includes a diverse set of activities. These range from enforcing peace agreements to conducting disarmament, demobilization, and reintegration. Until a legitimate civil government can assume responsibility for the security sector, military forces perform the tasks associated with civil security. At the same time, they help develop host-nation security and police forces. Normally, the responsibility for establishing and maintaining civil security belongs to military forces from the onset 6 October 2008
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of operations through transition, when host-nation security and police forces assume this role. (Chapter 4
includes additional detail on the role of transitions in stability operations.)
2-47. Civil security is resource intense; as a primary stability task, establish civil security requires more manpower, materiel, and monetary support than any other task. However, civil security is a necessary precursor to success in the other primary stability tasks. Civil security provides the foundation for unified action across the other stability sectors. Well-established and maintained civil security enables efforts in other areas to achieve lasting results.
2-48. Establishing a safe, secure, and stable environment for the local populace is a key to obtaining their support for the overall stability operation. Such an environment facilitates introducing civilian agencies and organizations whose efforts ensure long-term success. When the people have confidence in the security sector providing for their safety, they cooperate. Military forces need this cooperation to control crime and subversive behavior, defeat insurgents, and limit the effects of adversary actions. For political and economic reform efforts to be successful, people, goods, and livestock must be able to circulate within the region.
2-49. Establishing or reestablishing competent host-nation security forces is fundamental to providing lasting safety and security of the host nation and its population. These forces are developed primarily to counter external threats. However, they may also assist in other key missions including disaster relief, humanitarian assistance, and in special cases countering certain internal military threats. Developing host-nation security forces is integral to successful stability operations and includes organizing, training, equipping, rebuilding, and advising various components of host-nation security forces. (See chapter 6 for a detailed discussion of security force assistance.)
ESTABLISH CIVIL CONTROL
2-50. Establishing civil control is an initial step toward instituting rule of law and stable, effective governance. Although establishing civil security is the first responsibility of military forces in a stability operation, this can only be accomplished by also restoring civil control. Internal threats may manifest themselves as an insurgency, subversive elements within the population, organized crime, or general lawlessness. Each constitutes a significant threat to law and order and therefore to the overall effort to establish a secure, stable peace. Civil control centers on justice reform and the rule of law, supported by efforts to rebuild the host-nation judiciary, police, and corrections systems. It encompasses the key institutions necessary for a functioning justice system, including police, investigative services, prosecutorial arm, and public defense. It includes helping the state select an appropriate body of laws to enforce; usually this is the host nation’s most recent criminal code, purged of blatantly abusive statutes.
2-51. In a fragile state, the justice system may have ceased to function altogether with absent judges and legal professionals, looted or destroyed courts and prisons, damaged or destroyed records, and any surviving vestiges of the justice system stripped of essentials. If transitional military authority is instituted, intervening forces may perform both judicial and correctional functions. A key to promoting the rule of law in these cases is ensuring that military forces themselves abide by the law and are held accountable for any crimes committed. (See chapter 5 for a discussion of rule of law under transitional military authority.) 2-52. To provide for the safety and security of the populace successfully, an effective judiciary branch and a functioning corrections system must complement the state’s security institutions. Together with governance and civil security, civil control is a core element of security sector reform. This reform sets the foundation for broader government and economic reform and successful humanitarian relief and social development. Establishing civil control protects the integrity of the security sector reform program. Civil control tasks prevent corruption that threatens security institutions when they lack the support of judges to apply the law and prisons to incarcerate the convicted.
2-53. Building host-nation capacity for civil control is paramount to establishing the foundation for lasting civil order. Community-oriented police services under civilian control that clearly separate the roles of the police and military are essential to success. As with host-nation security forces, the development of police forces proves integral to providing a safe, secure environment for the local populace. Military forces may first need to restore and then maintain civil order until formed police units trained in stability policing skills 2-10
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are available to perform these functions and begin training host-nation police forces. In some cases, military forces may also be tasked to train, or oversee the training of, host-nation police forces.
2-54. In some cases, host-nation justice system actors may have been part of a corrupt or authoritarian regime, and their continued service in such capacities is inconsistent with institutional reform programs. As with other elements of the civil security and governance sectors, an appropriate authority vets the judiciary, police, and corrections staffs and oversees their activities as part of the security sector reform program.
Conducted in parallel with other reform processes, near-term efforts focus on building host-nation capacity by restoring the components of the justice system. Long-term development aims to institutionalize a rule of law culture within the government and society. Establishing this culture often relies on the delicate balance between retribution and reconciliation in a state recovering from the effects of collapse. Successful development depends on the ability of the host nation to reconcile with its past—determining whom to punish, whom to forgive, whom to exclude, and whom to accept within the new order of the state. (See chapter 6 for a discussion of security sector reform and its relationship to justice reform.) RESTORE ESSENTIAL SERVICES
2-55. Efforts to restore essential services ultimately contribute to achieving a stable democracy, a sustainable economy, and the social well-being of the population. In the aftermath of armed conflict and major disasters, military forces support efforts to establish or restore the most basic civil services: the essential food, water, shelter, and medical support necessary to sustain the population until local civil services are restored. Military forces also protect them until transferring responsibility to a transitional civil authority or the host nation. In addition, these efforts typically include providing or supporting humanitarian assistance, providing shelter and relief for dislocated civilians, and preventing the spread of epidemic disease. The immediate humanitarian needs of the local populace are always a foremost priority.
2-56. However, activities associated with this primary stability task extend beyond simply restoring local civil services and addressing the effects of humanitarian crises. While military forces generally center their efforts on the initial response tasks that provide for the immediate needs of the populace, other civilian agencies and organizations focus on broader humanitarian issues and social well-being. Typically, local and international aid organizations are already providing assistance, although the security situation or obstacles to free movement may limit their access to all populations. By providing a secure environment, military forces enable these organizations to expand their access to the entire populace and ease the overall burden on the force to provide this assistance in isolation.
SUPPORT TO GOVERNANCE
2-57. Military efforts to support governance help to build progress toward achieving effective, legitimate governance. Military support to governance focuses on restoring public administration and resuming public services while fostering long-term efforts to establish a functional, effective system of political governance.
The support provided by military forces helps to shape the environment for extended unified action by other partners. Their efforts eventually enable the host nation to develop an open political process, a free press, a functioning civil society, and legitimate legal and constitutional frameworks.
2-58. Ultimately, the goal in a stability operation is to leave a society at peace with itself and its regional neighbors, sustainable by the host nation without the support of external actors. Governance is the process, systems, institutions, and actors that enable a state to function; effective, legitimate governance ensures that these are transparent, accountable, and involve public participation. Democratization, while often an end state condition in planning, does not ensure these outcomes. In societies already divided along ethnic, tribal, or religious lines, elections may further polarize factions. Generally, representative institutions based on universal suffrage offer the best means of reconstituting a government acceptable to the majority of the citizens. This is the broad intent of developing host-nation governance.
2-59. Although the United States has a secular, representative government that clearly separates church and state, other states have varying degrees of religious participation in their governments. Countries such as Iran and Saudi Arabia have codified versions of Shari’a (Islamic legislation). Shari’a uses the Quran as the foundation for the national constitution. Religion is often a central defining characteristic in some 6 October 2008
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forms of government and cannot be discounted by external actors. Ultimately, the form of government adopted must reflect the host-nation customs and culture rather than those of the intervening actors.
SUPPORT TO ECONOMIC AND INFRASTRUCTURE DEVELOPMENT
2-60. Military tasks executed to support the economic sector are critical to sustainable economic development. The economic viability of a state is among the first elements of society to exhibit stress and ultimately fracture as conflict, disaster, and internal strife overwhelms the government. Signs of economic stress include rapid increases in inflation, uncontrolled escalation of public debt, and a general decline in the state’s ability to provide for the well-being of the people. Economic problems are inextricably tied to governance and security concerns. As one institution begins to fail, others are likely to follow.
2-61. Infrastructure development complements and reinforces efforts to stabilize the economy. It focuses on the society’s physical aspects that enable the state’s economic viability. These physical aspects of infrastructure include construction services, engineering, and physical infrastructure in the following sectors:
Transportation, such as roads, railways, airports, ports, and waterways.
Telecommunications.
Energy, such as natural resources, the electrical power sector, and energy production and
distribution.
Municipal and other public services.
2-62. Accurate, detailed assessment is a key to formulating long-term plans for infrastructure development.
Military forces often possess the capability to conduct detailed reconnaissance of the state’s physical infrastructure and can effectively inform planning efforts. Infrastructure reconnaissance gathers technical information on the status of large-scale public systems, services, and facilities necessary for economic activity. This task facilitates restoring essential services as well as spurring economic and infrastructure development. Infrastructure reconnaissance is accomplished in two stages: infrastructure assessment—
associated with the restoration of essential services—and infrastructure survey—that supports economic and infrastructure development. Infrastructure reconnaissance supports the operations process by providing vital information on the quality of the local infrastructure or problems within it. It also supports how those infrastructure issues impact military operations and the population. (FM 3-34.170 contains doctrine on infrastructure assessment.)
STABILITY OPERATIONS FRAMEWORK
2-63. During stability operations, engagement and intervention activities are better defined in terms of the progress toward stabilizing the operational environment. Using the spectrum that describes fragile states, figure 2-3 illustrates conditions that characterize an operational environment during stability operations.
(See chapter 1 for a discussion of fragile states.) This spectrum also defines the environment according to two quantifiable, complementary scales: decreasing violence and increasing normalization of the state, the fundamental measures of success in conflict transformation. Although fragile states do not recover from conflict or disaster according to a smooth, graduated scale, this spectrum provides a means with which to gauge conditions of an operational environment, formulate an engagement methodology, and measure progress toward success.
Figure 2-3. The fragile states spectrum
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2-64. Military forces can engage at any point along this spectrum. In each case, achieving the end state requires quickly reducing the level of violence while creating conditions that support safely introducing other government agencies and intergovernmental organizations while securing critical humanitarian access for nongovernmental organizations. Military operations focus on stabilizing the environment and transforming conditions of the environment and the state toward normalization. In a failed or failing state, conditions typically require more coercive actions to eliminate threats and reduce violence. As conditions of the environment begin to improve, the constructive capabilities of military forces focus toward building host-nation capacity and encouraging sustained development.
PHASING INTERVENTION
2-65. The failed states spectrum is also a critical tool for understanding and prioritizing the broad range of activities that embody unity of effort in an operational environment characterized by a fragile state. These activities occur within distinct phases—categorized in the S/CRS essential stability task matrix as initial response, transformation, and fostering sustainability—that collectively represent the post-conflict actions necessary to achieve security and reestablish stable, lasting peace. Together, the failed states spectrum and the essential stability task matrix phases provide a basic framework for stability operations. This framework characterizes the operational environment, identifies distinct phases for intervention activities, defines the types and ranges of tasks performed in that environment, and provides a tool with which to measure progress toward the desired end state. (See figure 2-4.)
Figure 2-4. The stability operations framework