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Editors
Effective
Civil-Military
Interaction in
Peace Operations
Theory and Practice
Effective Civil-Military Interaction in Peace
Operations
Gerard Lucius Sebastiaan Rietjens
Editors
Effective Civil-Military
Interaction in Peace
Operations
Theory and Practice
Editors
Gerard Lucius Sebastiaan Rietjens
Netherlands Ministry of Foreign Affairs Netherlands Defense Academy
The Hague, The Netherlands Breda, The Netherlands
v
vi Foreword by James G. Stavridis
one department, no matter how large, can solve all problems on its own. We should
work to foster cooperation between the different government agencies of each of the
nations. It will help us find cleverer solutions and to speak to other partners with one
voice.
Third, we need effective private-public cooperation. For example, if we want to
overcome literacy problems which we know helps in the achievement of better
security we have to have non-governmental organisations participate. And there
are countless other issues that present themselves to a deployed force, many of the
issues that the military are not necessarily willing or able to address themselves. Or
there may be demands of neutrality, impartiality and independence that the military
find difficult to meet, as in medical support, humanitarian operations and disaster
relief. Without resolving this myriad of challenges, the modern, multifaceted mis-
sion will not fulfill its mandate and become a success. It takes non-military partners,
governmental and non-governmental, to achieve that.
Lastly, all of these needs to be done in an atmosphere of effective strategic com-
munications: we have to tell the story, win the narrative and succeed in creating a
sense of momentum towards conflict resolution.
If we do these things well, we can succeed as we have, generally speaking, in
places like the Balkans and Colombia. If we fail, as we have in Iraq and Libya, we
will not be able to create the desired effects. Civil-military relations are thus at the
very core of successful operations!
At the center of the concept stands the communication between military and
civilian actors. This book dissects the concept by, first of all, explaining what we
mean by civil-military interaction or CMI and subsequently the civilian people and
organizations that are involved in it. It then provides insights for the planning and
preparation phases of operations, to move on to a set of chapters on civil-military
interaction in specific fields, including engineering, manoeuvre, medical and what
CMI is possibly best known for: Civil-military cooperation, or CIMIC, projects.
You will also find chapters on cultural differences, corruption, human rights and
humanitarian law. One chapter focuses on the type of leaders that effective CMI
requires and another one provides a gender perspective to the subject.
As an academic and military leader, I have always stressed the importance of
rigorous research to ultimately achieve more effective operations. Two contribu-
tions in this book explicitly address this. One talks about the importance of system-
atically evaluating operations, feeding back lessons learned into new ventures and
another concerns itself with training and education in the field of civil-military
interaction.
By confronting theory with empirical data, the book throughout provides insights
as well as practical tools that politicians, military leaders, development and humani-
tarian workers and the people of the host country can use to work together more
effectively. It is written by an impressive mix of scholars, subject matter experts and
experienced reserve and active duty military officers from a variety of countries
who share the lessons of operations around the globe. Whether you are only being
introduced to CMI, or are a battle-hardened practitioner, this book should be of
value in preparing for the next operation.
Foreword by James G. Stavridis vii
It is my hope that todays and tomorrows military leaders will profit from the
knowledge brought together in this book and its central thesis, that mutual respect
among all actors, military and civilian, is a sine qua non for the interaction that will
define the success of modern peace operations.
This books editors argue that todays complex emergencies demand that interre-
lated political and security questions in fragile states be addressed simultaneously
with economic and developmental challenges. It is an argument I wholeheartedly
support as a minister for Foreign Affairs of a NATO, OSCE and EU member state.
Development policy has, in the past decade or so, come to include security consid-
erations, and security policy specialists recognize the necessity of including devel-
opmental concerns to achieve sustainable solutions for conflict.
Development Policy
The millennium development goals drive has been successful in many ways. The
first MDG was to halve the percentage of people living on an income of less than 1
USD per day. This goal has been achieved; in 1990, 47 % of the worlds population
lived in extreme poverty. In 2015, the number is 22 %. Many countries in Asia,
Latin America and Africa have become middle-income countries and we see a ris-
ing flow of funds from developing countries to Western banks. Spread over the
globe, however, is a group of countries where conflict, crime and a fundamental
lack of perspective for new generations persist.
There is an understanding that long-term development cannot be achieved with-
out durable peace and security. For this reason, development programs nowadays
often include activities in such fields as rule of law, security sector reform, disarma-
ment, demobilization and reintegration, and community security, in addition to
more traditional projects in water and sanitation, healthcare and agriculture.
ix
x Foreword by Bert Koenders
Security Policy
in the country on the one hand, and foreign troops, development agencies and
NGOs on the other, is an essential element of the Comprehensive Approach. If
their interaction is less than optimal, everybodys mission will suffer.
As Special Representative of the Secretary General of the UN in Mali, I headed
the United Nations Multidimensional Integrated and Stabilization Mission in Mali
(MINUMSA). As the title of the mission already indicates the Comprehensive
Approach is being applied to this UN-mission. It entails both political (peace talks),
military and civilian dimensions and the security that the mission should bring will
enable other organizations to provide humanitarian assistance and development.
It is my belief that to implement our shared vision of effective cooperation
between countries, within our own governments, in countries at risk and within
peace operations, we must first show a willingness to engage with each other with-
out prejudice. I hope that this book will contribute to the success of the Comprehensive
Approach by providing military and civilian partners with in-depth knowledge of
each others organizations and the many opportunities for effective interaction.
xiii
xiv Contents
xv
xvi Contributors
Toiko Tnisson Kleppe Office of the United Nations High Commissioner for
Human Rights (OHCHR), United Nations Human Rights Council (UNHRC),
Geneva, Switzerland
Gerard Lucius Netherlands Ministry of Foreign Affairs, The Hague, The
Netherlands
1 (NL) Civil and Military Interaction Command, Apeldoorn, The Netherlands
John Melkon United States Military Academy, West Point, NY, USA
Brian Mennes United States Army, Washington, DC, USA
Christine Mougne OCHA/UN Women, Bangkok, Thailand
Saad Mustafa Former Research Lead at Transparency International, London, UK
Peter Olsthoorn Netherlands Defence Academy, Breda, The Netherlands
Mark Pyman Transparency International, London, UK
Sebastiaan Rietjens Netherlands Defence Academy, Breda, The Netherlands
Jeannette Seppen Netherlands Ministry of Foreign Affairs, The Hague, The
Netherlands
Philip Shetler-Jones Honarary Research Fellow, University of Sheffield, UK
Joseph Soeters Netherlands Defence Academy, Breda, The Netherlands
University of Tilburg, Tilburg, The Netherlands
Kelisiana Thynne International Committee of the Red Cross, Kuala Lumpur,
Malaysia
Willem Vogelsang University of Leiden, Leiden, The Netherlands
Garland H. Williams Academic Dean, College of Security and Criminal Justice,
University of Phoenix, Tempe, AZ, USA
About the Editors
xvii
xviii About the Editors
xix
xx About the Contributors
S. Rietjens (*)
Netherlands Defence Academy, Breda, The Netherlands
e-mail: basrietjens@gmail.com
G. Lucius
Netherlands Ministry of Foreign Affairs, The Hague, The Netherlands
1 (NL) Civil and Military Interaction Command, Apeldoorn, The Netherlands
disasters (e.g. Fukushima, Japan, 2011) or oil spills (e.g. platform of British
Petroleum in the Gulf of Mexico, 2010) are not being studied. Finally, the book does
not deal with private military firms (e.g. Singer 2005). These organizations have
become numerous1 which has led to several unforeseen consequences for the armed
forces. For an excellent overview of the role of private military firms and the conse-
quences these have led to, we refer to Heinecken (2013).
1.2 Predecessors
1
At the height of operations in Iraq there were an estimated 190,000 employees of PMFs working
for the American Ministry of Defence alone (Heinecken 2013).
1 Getting Better at Civil-Military Interaction 5
The book consists of 19 chapters, each describing the state of affairs in a particular
area of civil-military interaction, including aspects that hinder the effectiveness of
the civil-military interface. Most of the chapters contain one or more brief case stud-
ies illustrating how, in different operations since the 1990s, interaction in the field
took shape. The case studies describe the apparent success factors as well as the
practices that led to failure and frustration. Connecting the theory with the practice
in their area, authors conclude with suggestions for improvement in the civil-
military interface.
The chapters are organized in 5 clusters. The first cluster sets the stage. In Chap. 2,
Cedric de Coning outlines the rationale, possibilities and limitations of civil-military
interaction. He provides a model containing 24 different types of civil-military
interaction, thereby illustrating the breadth and width of the domain. The next two
chapters describe the civilian actors that foreign military are likely to interact with
in operations, including their typical backgrounds and professional mandates. These
include IOs, NGOs and local civil society groups (for this see Chap. 3 by Georg
Frerks), as well as civilian representatives of Ministries such as Foreign Affairs,
Development Cooperation and Justice (see Chap. 4 by Jeanette Seppen and Gerard
Lucius for a detailed account on this).
The remainder of the book broadly follows the regular project cycle of prepara-
tion, execution and evaluation.
Preparation Phase
Execution Phase
Evaluation Phase
The fifth and final cluster contains two chapters. Chapter 18 by Peter Essens and
Thom de Vries focuses on evaluations, arguing for a more systematic look at past
operations and a stronger feedback loop to todays and tomorrows military efforts.
In the final chapter, the editors identify the recurring patterns in the practice of
civil-military interaction. They conclude that in all phases of preparation, execution
and evaluation, research and experience point to important conceptual and practical
difficulties. So much so, that the validity of theory as well as policies and doctrines
in this field have to be called into question. A more adequate theory is needed, and
suggestions are provided to develop it. It is proposed that more work be done in
compiling and comparing empirical datasets and case studies. More generally, the
chapter argues, a more evidence-based approach is needed, in which results from
systematic research are combined with the individual expertise and experiences of
practitioners. In this effort multiple academic disciplines have a role to play.
Importantly, it seems time to challenge the seemingly compelling logic of all stake-
holders working towards a single set of goals. It may need to be replaced by a
8 S. Rietjens and G. Lucius
1.4 Readership
This book is especially geared towards the needs of the military involved in peace
operations. Whether working in intelligence, logistics, engineering, operations,
planning, personnel or as a Commanding Officer, readers will find information tai-
lored to their specific needs. As such, the book is particularly suited to study while
preparing for new missions or reflecting on passed ones. Politicians responsible for
the militarys deployment may also find the book helpful as it provides valuable
lessons on effective civil-military interaction.
For civilian practitioners, whether representatives of IO and NGO or working in
government administration, the book provides insights on the militarys modus
operandi and the various issues they face when interacting with civil actors in peace
operations.
Finally, due to the combination of theory and practice, we feel the book will be
suited for academic education as well as vocational training and will prove to be a
source of inspiration for further research.
References
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effort for stability (pp. 525). Aldershot: Ashgate.
de Coning, C., & Friis, K. (2011). Coherence and coordination the limits of the comprehensive
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Chapter 2
Civil-Military Interaction: Rationale,
Possibilities and Limitations
Cedric de Coning
C. de Coning (*)
Norwegian Institute of International Affairs (NUPI), Oslo, Norway
e-mail: cdc@nupi.no
This kind of statement is indicative of the degree to which the policy community
agrees that there is a cause-and-effect relationship between coherence and effective-
ness. The UN Secretary-Generals High-Level Panel on UN System-wide Coherence
(UN 2006b: 32), explains this causal link as follows: Through consolidation,
priority-setting and the elimination of duplication, a reconfigured development sys-
tem will improve performance and increase cost effectiveness. The Panel sum-
marises the coherence challenge as follows. It describes the UNs work:
as often fragmented and weak. Inefficient and ineffective governance and unpredictable
funding have contributed to policy incoherence, duplication and operational ineffectiveness
across the system. Cooperation between organizations has been hindered by competition
for funding, mission creep and by out-dated business practices (UN 2006b: 1).
The theory of change that the UN Panel applies thus holds that improvements in
organisational efficiency will translate in greater operational effectiveness. For
2 Civil-Military Interaction: Rationale, Possibilities and Limitations 13
efforts and our endeavours with regard to civil reconstruction. Similarly, ex-British
Prime Minister Gordon Brown, referring to Afghanistan, has argued that what is
needed is a comprehensive approach including better governance, economic devel-
opment such as a single financing mechanism, and when necessary appropriate
military pressure (Brown 2009).
All these policy statements and documents thus share a common argument,
namely that overcoming the fragmented nature of past interventions by pursuing
coherent civil-military interaction among the political, development, governance,
economic and security dimensions of international interventions is one of the most
promising ways in which the effectiveness and sustainability of international peace
operations can be improved (Stedman et al. 2002: 89).
This assumption is also shared by the leading evaluation reports (Cutillo 2006;
Dahrendorf 2003; Donini 2002) and research studies (Dobbins et al. 2005; Paris
2004, and Stedman et al. 2002) that have analysed the record of post-Cold War
peace operations. These studies and reports have all identified significant problems
with coherence and coordination, and they have argued that this has contributed to
the poor rate of sustainability of these operations (Paris and Sisk 2009: 53).
For example, the Joint Utstein Study of peacebuilding, that analysed 336 peace-
building projects implemented by Germany, the Netherlands, the United Kingdom
and Norway has identified a lack of coherence at the strategic level, what it terms a
strategic deficit, as the most significant obstacle to sustainable peacebuilding (Smith
2004: 16). The Utstein study found that more than 55 % of the programmes it evalu-
ated did not show any link to a larger country strategy.
These panels, conferences, studies and reports thus share a broad consensus that
inconsistent policies and fragmented programmes entail a higher risk of duplica-
tion, inefficient spending, a lower quality of service, difficulty in meeting goals and,
thus ultimately, of a reduced capacity for delivery (OECD 2003). They thus agree
that incoherent civil-military interaction results in inefficient and ineffective peace
operations.
In this section I have shown that there is a widely held view in the international
peace operations policy community that there is a causal link between coherent
civil-military interaction and improved operational effectiveness. The argument is
that more coherence leads to more effectiveness, and this has resulted in pushing the
issue of civil-military interaction to the front of the international peace operations
agenda. In the next section I will try to further refine our understanding of coherence
by offering a typology of civil-military interaction that distinguishes between four
spheres of interaction where policy coherence matters.
dimensions in another, and this causes confusion. In this section I propose a typol-
ogy that distinguishes between four spheres of coherence, namely: agency coher-
ence, whole-of-government/organization coherence, international coherence and
international/local coherence. The aim of the typology is to assist us with maintain-
ing a meaningful distinction between the agents, the dimensions and the levels of
civil-military interaction.
Agency Coherence
International Coherence
International/Local Coherence
The most important factor that determines the degree of coherence that any
civil-military interaction can aim to achieve is the context within which it operates
(de Coning 2012). De Coning and Friis (2011) have proposed a typology of
relationships that represent differing degrees of coherent civil-military interactions,
depending on the context within which these relationships emerge. Pursuing a
comprehensive approach need not imply that all the actors involved must have the
same degree of coherence towards each other, or towards an agreed common strategy.
Although the context is crucial to shaping the climate within which relationships
function, there are also many other factors that determine relationships such as
perceived roles and responsibilities, legitimacy, credibility and mandates. De
Coning and Friis (2011) has suggested that the types of relationships that influence
the degree of coherence that can potentially be achieved can be represented on a
scale ranging from unity to competition:
Agents are United: Agents voluntarily agree to establish a unified structure and
undertake joint action directed by a joint leadership and command arrangement,
e.g. a multi-national coalition of the willing. This level of coherent action will
typically require an agreed strategic vision and specific aims and objectives
formulated in an official mandate and/or campaign plan. In the military context
this is often termed unity of purpose. Unity of purpose is a prerequisite for
2 Civil-Military Interaction: Rationale, Possibilities and Limitations 19
unity of effort. This level of coherence will require a unified organizational structure
with a high degree of discipline and clear command and control arrangements
that determine and direct joint assessments, joint planning, joint implementation
and joint monitoring and evaluation. However, in the real world, such level of
coherence is rare between independent agents. It is thus likely to occur only in
certain unique circumstances and cannot be sustained for long. Examples include
the US-led multi-national coalition that undertook the 1991 Gulf War (Operation
Desert Storm) and the Australian-led multinational coalition INTERFET that
stabilized East Timor in 1999. In both these examples there was a strong lead-
nation role that the other contributors welcomed and around which they could
converge. In the military, and perhaps most other peace operations contexts, a
unified effort is thus likely to require one clear center of gravity around which
other agents can situate themselves.
Agents are Integrated: Agents agree to seek ways to integrate their approaches and
activities, but without giving up their individual identities or their right to take
independent decisions about the allocation of resources. In other words, the indi-
vidual agencies come together to undertake joint assessments, joint planning,
and even some degree of joint implementation and monitoring and implementa-
tion, but they implement separately, each using their own resources and own
organizational means. The UNs Integrated Approach would be a clear example,
with the UN Mission in Liberia (UNMIL) perhaps representing an example at
the successful end of the scale.
Agents Cooperate: Agents with complementary and/or overlapping mandates and
objectives may choose to cooperate, including at times joint or collaborative
action. They retain their organizational independence, but are willing to go rather
far in organizing activities together with others, although such arrangements are
typically temporary, context-specific and may need to be renegotiated on a case-
by-case basis. The collaboration between the EU and the UN in Chad and the
Central African Republic (CAR) may exemplify this kind of opportunistic, prag-
matic and ad-hoc cooperation.
Agents Coordinate: This would describe an activity aimed at sharing information
and acting on that information with a view to avoiding conflict, duplication or
overlap, so as to ensure a more coherent overall undertaking. It takes place
between independent actors with different mandates, or between those who
require strong organizational independence but who nonetheless share some
similar interests or strategic vision, and thus see the need for a degree of coordi-
nation with others. Typically, there will often be a network of coordination mech-
anisms some more densely connected than others, some operating in hierarchies
at various levels between the same actors, whilst others are only loosely con-
nected. An example of a standing arrangement in this category would be the UN
humanitarian coordination system; it is pre-arranged and agreed, but allows for
maximum independence and voluntary participation. An ad hoc arrangement
would be the coordination between military and humanitarian actors in a natural
disaster like an earthquake or a major flood. The difference between coordination
and cooperation is that, in the latter category, coordination results in joint action,
20 C. de Coning
Table 1 Civil-military interaction matrix that compares levels of coherence and types of
relationships
Whole-of-
Intra-agency government Inter-agency Internal-External
Actors are Various Various Canadian Members of the International
united sections of the government coalition Operation agencies and
Swedish agencies Desert Storm, 1991 national IEC work
Foreign Gulf War together to organize
Ministry elections in DRC in
2006
Actors are Various UK Stabilisation UN Peacekeeping Liberia 2009:
integrated components of Unit, or Canadian mission and UN International
a UN Stabilization and Country Team in, agencies and local
Peacekeeping Reconstruction e.g. Liberia, 2009 actors agree to use
mission Task Force PRS as common
(START) framework and
action plan
Actors DPKO and Civilian and Afghanistan EULEX and the
cooperate OCHA (both military pillars of Bonn-process Kosovo
UN Secretariat) USA PRT in 2003; government, 2009
work together Afghanistan, UN-EU cooperation
on UN 2009 in Chad, 2008
Protection of
Civilians
guidelines
Actors DPKO and Civilian and Humanitarian UN and Sudanese
coordinate OCHA in the military pillars of cluster approach to Independent
field Norwegian PRT coordination; Electoral
in Afghanistan, Kosovo UNMIK Commission in
2009 pillars; April 2010
Bosnia Peace elections
Implementation
Council (PIC)
Actors Various parts DFID and MOD Humanitarian UNAMID and
coexist of EU in Chad fail to agree on community and Government of
in 2008 common MONUC in Sudan in Darfur,
evaluation criteria Eastern DRC, 2009 2008
for UK PRT in
Afghanistan,
2008
Actors Various US State Humanitarian Taliban and ISAF/
compete sections of a Department, US agencies and UNAMA;
ministry Department of UNMIL disagree Government of
compete for Defense and CIA on movement of Chad and
funding in Afghanistan, IDPs from MINURCAT, 2010
2007 Monrovia, 2005
Source: de Coning and Friis (2011)
22 C. de Coning
roles and responsibilities agents may have, even if they are in the same agency or
organization. In the next section the focus is on the limits of coherence. An analysis
of the limits of coherence will help us to further delineate the space for civil-military
interaction that can realistically be expected within a peace operations context.
This section is focussed on improving our understanding of the factors that limit,
inhibit or constrain our ability to achieve coherent civil-military interaction. For
instance, some civil and military agents may have inherently contradictory values,
principles and mandates and these typically manifest in fundamentally different
theories of change, and result in disagreements with regard to, for instance, prioriti-
sation and how to measure progress. Another constrain is that the tension between
impact and output, between what is good for the system as a whole as measured
over the long term, and what is in the best interest of an individual agency as mea-
sured in the short to medium term, consistently undermines coherence. There are
also tensions in peace processes because of the inherent power imbalance between
international and local agents. These factors are inherent in all civil-military interac-
tions and depending on the specific situation will constrain or limit the scope for
coherence. By saying they are inherent I mean that there are structural or built-in
constrains that cant be resolved, only managed. How we manage them can make a
big difference, but it is important to differentiate between managing an acknowl-
edged difference in, for instance, values, mandate or principles, and trying for forge
coherence on the assumption that all the agents are pursuing a common objective.
However, in this section I want to focus on the context within which civil-military
interactions take place, and especially the degree to which instability in the system
determine the possible scope for coherence. Coherence is not about seeking consen-
sus or harmony as an end-in-and-of-itself. Coherence, rather, should be about seek-
ing the optimal level of cooperation among agents in a given context. In situations
where violent conflict is likely to disrupt the peace process, the actors engaged in
peace operations, as well as those international and local agents they interact with
in the rest of the conflict system, feel the need to have an independent capacity to
respond to a wide range of possible futures. The more violent a situation, the more
turbulent or dynamic it is likely to be. As a result, the agents feel the need to have a
high degree of freedom and independence, so that they are able to respond quickly
to changes in the system, without first having to seek consensus within a group on
which actions to take. This may not apply to all agents, but there are typically
enough agents in unstable contexts that require a high degree of independence, to
result in a situation in which there is less room for coherence. Less than if the situ-
ation was not violent or more stable, for instance in situations where the risk of a
relapse into violent conflict is low, such as in Liberia or Sierra Leone once the peace
processes in these countries were sufficiently consolidated.
2 Civil-Military Interaction: Rationale, Possibilities and Limitations 23
initiatives undertaken by the various civil and military agents in a complex peace
operation are thus interdependent.
When this linkage between individual agency effort and the successful imple-
mentation of the overarching objective is understood, coordination will be recog-
nized as a crucial tool to achieve operational coherence. In this context coordination
is transformed from being perceived as an action that threatens the independence of
an individual agent or agency, to a process that ensures operational coherence.
Coordination is the process that ensures that an individual agency is connected to
the larger operational system of which it is a part and without which it cannot
succeed (on its own).
A key feature of a complex systems is that there is a relationship between the
level of coherence and the quality and flow of information in the system. There is no
known optimal ratio, but complex social systems emerge when a critical mass of
interacting elements form a network. The network is maintained through the
exchange of information. Too little information will cause it to starve and disinte-
grate. In other words, in the peace operations context agents are likely so start coor-
dinating only in their military or civilian silos and not as an integrated mission. On
the other hand too much information may cause an overload and overwhelm the
system. However, most complex systems can manage a large degree of redundancy
in order to remain flexible to changing needs in their environment. An important
function of coordination mechanisms and processes are that they should act as mod-
ulators that identify useful information and direct it to those areas where it is needed
in the system.
Feedback, meaning conveying information about the outcome of any process or
activity to its source, plays a critical role in this process. In essence the flow of infor-
mation needs to produce a feedback effect, i.e. it should convey data that will enable
the various agents to judge their performance against the performance of others and
the operational system as a whole. They need to share best practices and alert each
other to emerging problems, set-backs or delays.
In practice, however, most peace operations are burdened by institutional cultures
and traditional management and command structures that discourage information
flow. They block, hinder or distort the flow of information and thus starve the
operational system from the information it requires to self-organize. This causes the
system to break-up into smaller components. If this tendency is not managed, peace
operations tend to develop information silos that operate, at best, isolated from each
other, or at worst, against each other.
To counter this tendency we need coordination mechanisms and processes that
are designed to create linkages (connections) among the various agencies and pro-
grammes to ensure that the flow of information through the operational system is
facilitated, supported and maintained. The most effective coordination mechanisms
seems to have two things in common: the first is that they devolve the responsibility
to coordinate to each agency, and the second is that they have enabling coordination
mechanisms at various nodes in the system, that help to modulate the flow of infor-
mation in the system.
26 C. de Coning
By not concentrating the responsibility for coordination at the centre, and by not
making it a specialized function, each agency and agents becomes empowered to
take responsibility for their own coordination, and in this way coordination is
distributed across the system. This increases the ability of a complex systems to
self-organize. Self-organization is the ongoing process whereby individual agencies
voluntarily synchronize their plans and operations with each other and with the
operation as a whole. For the self-organization process to work optimally, each
agency must adjust its own actions in response to progress or setbacks experienced
elsewhere in the operational system. As this process unfolds over time, the various
agencies coordinate their plans, policies and operations with others in the same sec-
tors, clusters and dimensions and the overall cumulative and collective effect results
in improved system-wide operational coherence.
The effects of self-organization can be suppressed and inhibited, or it can be
modulated and enhanced in many ways. It would thus make sense to develop
mechanisms and processes that would speed-up the desired feed-back effect. This
can be achieved by creating coordination mechanisms and processes that encour-
age, facilitate and support the flow of information at various positive nodes within
the system. At the same time one needs to identify and remove or adjust operating
procedures, rules and regulations that hinder or block the flow of information.
Positive nodes are points in a network where information is concentrated and by
connecting these nodes between different networks one encourages the flow between
networks and thus within the system itself. This coordination process recognizes the
self-organizing nature of complex systems and facilitates this process by establish-
ing links between various networks in the system. This modulation approach to
coordination differs from the traditional approach to organization, namely establish
a mechanism responsible for coordination close to the centre or core of the opera-
tion. The modulation approach is counter-intuitive to the traditional tendency of the
military to organize everyone and everything into a single structure under unified
command. The key difference is firstly to recognize that the system we are discuss-
ing is not a military organization, but a multiple agent system in which there is
significant independence among the agents in terms of e.g. mandates, funding and
accountability. Secondly, re the nature of coordination in such a system, we need to
understand that coordination does not happen at, or because of a coordination
mechanism(s), but rather that coordination is distributed throughout the system
whenever agents exchange information. The role of coordinating mechanisms are
merely to modulate this process. They should encourage, facilitate and increase the
flow of information. The worst thing a coordination mechanism can do is to become
a gate-keeper that tries to manage or direct the flow of information, because that
kind of role will always result in bottlenecks that will slow-down and decrease the
efficiency of information flow. In other words, in a system that is dependent on
information, and that has a complex network structure, coordination should act as
pump that increases the rate of flow, not as a filter that acts as a constraint. The
agents should ultimately decide what to do with the information. Coordinating
mechanisms, and other agents in the system may add analyses or in other ways
add value to the flow of information, but this should not inhibit or limit the flow of
2 Civil-Military Interaction: Rationale, Possibilities and Limitations 27
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25 June 2008 Policy Committee. New York: United Nations.
Chapter 3
Who Are They? Encountering International
and Local Civilians in Civil-Military
Interaction
Georg Frerks
3.1 Introduction
1
In this article I use the more generic term civil-military interaction when talking in general about
the civil-military relations and the notion of civil-military cooperation when I specifically refer to
NATO practice.
G. Frerks (*)
Utrecht University, Utrecht, The Netherlands
Netherlands Defence Academy, Breda, The Netherlands
e-mail: g.frerks@uu.nl
CMI means different things to different people. It all depends from which position
you talk and argue. This in itself already complicates CMI in practice. Opinions,
perceptions and discourses both at individual and group level play an important role
in the debate and they often overshadow facts or evidence-based data.
Borgomano-Loup devotes a whole section of her report on NATO-NGO relations to
reciprocal accusations and concludes as follows:
Some of these criticisms are linked to specific circumstances or only apply to certain
NGOs. Others arise mainly from different enterprise cultures. Some criticisms are the
result of sheer mistrust or unhappy experiences. Nevertheless, the fundamental clashes
regarding mandates and priorities should not be ignored (2007: 36).
CIMIC is aimed here at acquiring host nation support. The provision of ser-
vices to the local population is done to boost the troops popularity rather than
providing aid to those in need per se. Winning the hearts and minds of the popula-
tion contributes to force protection and force acceptance. Hearts and minds oper-
ations are often highly visible and symbolic. Textbox 3.1 provides a typical example
of such a hearts and minds initiative carried out in 2005 by the Dutch Election
Support Forces in Mazar-i-Sharif, Afghanistan.
CIMIC may also be used for intelligence gathering (info-ops), while psychologi-
cal operations (psy-ops) are carried out to influence the population or to break the
morale of the enemy by the provision of information or disinformation. Sometimes,
CIMIC has extended to veritable development work, where infrastructure and other
services are delivered to the local population in order to increase the acceptability of
military interventions. In all those modalities CIMIC obviously serves to further the
military goals. In Afghanistan, the United States (US) characteristically hoped to
co-opt NGOs as force multipliers (Stapleton 2004). The initiative in this type of
CIMIC is with the military and observers point out that there is little mutuality in
this military conception of CIMIC. Typically, one NGO representative told during
an interview that CIMIC was in essence not civil-military cooperation but rather
civil-military operation, where NGOs were simply manipulated for military gain.
32 G. Frerks
The United Nations does not talk about civil-military cooperation but about civil-
military coordination, abbreviated as UN-CMCoord. It is defined as:
The essential dialogue and interaction between civilian and military actors in humanitarian
emergencies, that are necessary to protect and promote humanitarian principles, avoid com-
petition, minimise inconsistency, and when appropriate, pursue common goals (UN 2003: 5).
There are a number of salient differences with NATOs definition. First of all, the
rationale is to protect and promote humanitarian principles and avoid overlap and incon-
sistency, and perhaps pursue common goals. The Inter-Agency Standing Committee,
which is the primary interagency coordination mechanism for humanitarian assistance
involving UN and non-UN agencies, phrases the UN viewpoint as follows:
All humanitarian action, including civil military coordination for humanitarian purposes in
complex emergencies, must be in accordance with the overriding core principles of human-
ity, neutrality and impartiality. [.] Any civil-military coordination must serve the prime
humanitarian principle of humanity i.e. human suffering must be addressed wherever it is
found (Inter-Agency Standing Committee 2004: 8).
Clearly, the UN agencies do not want to be seen as a sidecar for military action
and the interaction is a more balanced one between equal partners rather than a one-
sided, military-driven affair.
The International Committee of the Red Cross (ICRC) finally talks about Civil
Military Relations, defined as:
Interactions between military and non-military organisations and actors, generally in the
context of a peace operation, or more rarely in a combat operation or during occupation;
operational coordination and interaction between military, local authorities, population,
non-governmental humanitarian, development and civil society organisations and wider
society (Studer 2001).
ever of full cooperation, let alone subordination, of the ICRC and these INGOs in a
military endeavor, as this would be at loggerheads with their humanitarian princi-
ples and Code of Conduct.
In all these debates, it is important to keep in mind the voluntary nature of civil-
military relations. In the absence of an overarching regime, both the military com-
mander and aid agencies have independent decision power. Coordination is thus
driven by mutual interests and steered by a consensus-building model. Mutual inter-
ests may be vested in the complementarity of military and nonmilitary actors, char-
acterized by Lilly as a more accurate description of the relationship than
co-operation which presupposes a desire to integrate approaches to achieve a com-
mon goal (2002: 2).
Apart from these differences at the level of principles, mandates and doctrines,
mutual stereotypical images among soldiers and NGO workers are rife, as demon-
strated in our case studies in Afghanistan and Liberia (Frerks et al. 2006: 5664 and
8796). Many soldiers (and local observers and recipients as well) would, among
others, consider the work of NGOs vague, slow, cumbersome, inefficient and not
transparent. Borgomano-Loup adds that from a military perspective the large amount
of NGOs in crisis areas leads to unpredictability. Since they do not have a single
command, their actions are not monitored and they have not been trained to operate
in dangerous areas, they can pose security problems for military forces. Many NGOs
are, moreover, felt to be ideologically hostile to the military (2007: 36).
NGOs on the other hand, feel that the military lack a nuanced understanding of
local realities, and often act in a top-down, heavy-handed and culturally insensitive
manner. They are also considered largely ineffective and expensive (Frerks 2009).
They have neither been exposed to the realities on the ground nor accumulated long-
term experience as NGOs did, often over many years of hard development and
humanitarian work prior to the military intervention. NGOs are afraid that military
presence leads to a blurring of lines called by Studer (2001: 374) the contagious
effect resulting from association. This would undermine the very essence of
humanitarian action (Studer 2001: 367) and jeopardize the required unimpeded
access by aid agencies to the suffering population. Operational dependence on mili-
tary logistics might have a similar effect. Close association with peacekeepers
would obviously be particularly problematic, if the military mission is not perceived
as impartial. This would lead to an increased insecurity for NGO staff as well as a
disrespect for the humanitarian principles. The Afghan Coordinating Body for
Afghan Relief (ACBAR), moreover, observed that short-term political and military
agendas and the quick rotation of military personnel undermined proven best prac-
tice (Stapleton 2004).
Several studies have been devoted to the differences of organization and culture
that beset civil-military relations. In a review of largely Canadian experiences
Donna Winslow identified five areas of organizational difference and points of ten-
sion: (1) organizational structure and culture; (2) tasks and ways of accomplishing
them; (3) definition of success and time frames; (4) abilities to exert influence and
control information; (5) control of resources (Winslow 2002). Franke (2006: 1318)
also reviews a set of cultural, organizational, operational and normative factors
affecting CIMIC.
34 G. Frerks
Militaries are usually organized as hierarchies, with chains of command and the
giving and receiving of orders. NGOs, in contrast, are organized horizontally with
empowered, independent and self-reliant employees. These differences would amount
to institutional incompatibility. The two groups would also have fundamentally differ-
ent values, e.g. with regard to time, efficiency, ambivalence, violence etc. (Ankersen
2004: 78). Whatever their base in reality, mutual perceptions and stereotypes certainly
risk getting reinforced by the fairly limited contacts and interaction between the two
groups even when they are together in the field, and they continue to influence rela-
tions up to now. In our studies on Afghanistan and Liberia, we have identified 15
common, mutual false assumptions and misconceptions (Frerks et al. 2006: 107).
Due to the complex and multi-layered nature of current conflict, the earlier relative
importance of fairly straightforward military aspects and armament in the explana-
tion of Cold War rivalry has given way to an emphasis on more intricate and dynamic
historical, political, socio-economic and environmental processes in explaining and
approaching conflicts. By consequence, the present challenges are less amenable to
simple remedial action by classical military or diplomatic, state-centered instru-
ments, but require the initiatives of a variety of governmental and non-governmental
actors and organizations at different levels. Since the notion of peace building
became coined by the Agenda for Peace in 1992, the idea that development coopera-
tion could contribute to peace operations became increasingly accepted, though not
completely uncontested. Anyhow, the incorporation of peace building in UN opera-
tions paved the way for what would become known as the second generation of UN
peacekeeping missions. These operations encompassed a broadening of mandate
not only to maintain the military status quo, but also to build durable peace.
Operations started to include demobilization and reintegration of combatants,
humanitarian assistance to returning refugees, the training of police and election
monitoring as well as the promotion of human rights, becoming much more civil in
nature. The second-generation operations were strikingly more intrusive and inter-
ventionist than the classical peacekeeping operations.
Over the years interventionist policies and practices became characterized as
being comprehensive and integrated (Fitz-Gerald 2004; Prime Ministers
Strategy Unit 2005; Ministries of Foreign Affairs, Defense and Economic Affairs
2005). Efforts of the Ministries of Defense, Foreign Affairs and Development
Cooperation were combined in the so-called 3-D approach incorporating diplo-
macy, defense and development simultaneously. This approach implies that eco-
nomic and development aid policies explicitly focus on peace and conflict issues
and are mobilized to contribute to conflict resolution and peace building. They must
focus on conflict and peace and therefore be conflict-sensitive. Within the OECD
this integrative tendency has led to the so-called whole-of-government approach
(OECD 2007). More recent trends include the New Deal for Engagement in Fragile
States (briefly called the New Deal). The New Deal comprises the use of Peace
3 Who Are They? Encountering International and Local Civilians 35
building and State building Goals (PSGs) to enable progress in fragile and conflict-
affected states (IDPS 2011). Similarly as earlier, the realization of the PSGs requires
the use of various instruments in combination.
This shift towards comprehensiveness started in the international donor commu-
nity, but was also followed to a certain degree by the larger INGOs. Due to pressures
of efficiency and scale, but also in response to the changing conflict-scape, several
of those organizations have expanded or merged and now may encompass humani-
tarian, rehabilitation, peace building and reconciliation, development, political
advocacy and human rights tasks. By this process they have evolved into so-called
multi-mandate organizations somewhat comparable to the whole-of-government
approaches in the donor world. It also means that their work is often not anymore
only strictly humanitarian, but involves political aspects or even outright political
activity as well. Development work generally has a more interventionist or intrusive
agenda than pure humanitarian relief aid and aims at effecting qualitative changes
in societies by modifying unjust and inequitable relationships and power differen-
tials. Their poverty-reduction and emancipatory agendas are in effect explicitly
political, even if they are articulated in technical or economic language.
Overlooking the current situation one could posit that comprehensive and inte-
grated approaches have now become widely accepted in policy circles, though it is
still debated among a (decreasing) number of (I)NGOs and civil society organiza-
tions that are fearing that they would simply turn into an extension of official poli-
cies, if not military schemes (Frerks et al. 2006). This would imply that humanitarian
and development aid would become militarized and politicized. Pugh comments in
this regard, for example, that CIMIC is hierarchical and hegemonic and a signifi-
cant challenge to an ethical humanitarian politics, [and] that states and their mili-
tary forces set the agenda of civil-military relations According to Pugh this
draws humanitarian action in a statist and realist framework and closes off a more
value-based, cosmopolitan alternative (Pugh 2001: 353). Also academics have
pointed out the ambiguous relationship between conflict and development (see for
example: Frerks 2007), including the possibility of doing harm (Anderson 1999,
2004). Nevertheless, we see gradually important changes occurring in the classical
viewpoints sketched above, and positions vis--vis CMI now seem to have become
more nuanced as compared to earlier, as further elaborated in the next section.
Throughout the past 15 years, there have been marked changes in the humanitarian
domain. The changing nature of conflict and warfare and the ensuing disrespect for
international humanitarian law and humanitarian principles by warring parties and
2
The most important categories of international NGOs include: Conflict prevention and early
warning organizations, Mediation and conflict resolution organizations, Human rights (monitor-
36 G. Frerks
states, the limitation of and intrusion upon humanitarian space, the abuse of human-
itarian aid and the perceived need to protest and act against gross and systematic
violations of human rights have put the classical system of humanitarian action and
of the associated humanitarian principles under pressure. In the field, the key principles,
namely that there are boundaries to war, noncombatant immunity, rules to follow
and an accountable state and army, no longer hold. Post-cold war trends and the
concomitant growth of the humanitarian aid industry have pushed the aid agencies
onto the political stage and are leading to a renegotiation of humanitarian principles,
where the rigid distinctions between humanitarian and security actors have become
less pronounced. In line with the interwoven nature of the development and security
aspects of contemporary conflicts and the emergence of integrated policies, security
has become part of the humanitarian scene and vice versa (see for the impact of
security on humanitarian aid Frerks 2008).
As a consequence of the changing nature of conflict and associated peace
operations, the original viewpoints of (I)NGOs also started to move from their
earlier isolationist position to a more pragmatic stance. Above I already noted the
existence of multi-mandate (I)NGOs. Agencies today acknowledge that they inevi-
tably become part of the context they operate in. By consequence, their work has,
intentionally or unintentionally, an impact on the conflict and the other way around.
Conflict sensitivity the need to be aware of the context and of conflict-related side-
effects, and the aim to minimize potential negative impacts (do no harm) has
become a widely accepted principle, but as indicated above, actions in the field may
include attempts to more explicitly influence the conflict by focusing aid on addressing
the causes of conflict, and peacemaking, peace building and reconciliation
activities, as recognized in Goodhands term working on conflict (Goodhand
2001). The requirement to operate in a conflict-sensitive manner nearly automatically
moved (I)NGOs in the security and, hence, military domain.
Another issue was that their back-donors in their own countries also demanded
them to start working explicitly on conflict issues. This was also attractive in view
of the new and often generous funding opportunities that came with those new inte-
grated policies. Often these funds were earmarked for activities such as Security
Sector Reform, Disarmament, Demobilization and Reintegration programs and a
variety of peace making and peace building tasks. Examples of such funds include
the British Conflict Prevention Pool and the Dutch Stabilization Fund.
At a more discursive level is was also questioned what the value and relevance of
neutrality really is when facing cruel dictators who are suppressing or exterminating
their own populations? Is choosing sides not more humane than staying neutral and
doing nothing, apart from distributing relief aid? Many observers indeed considered
it bizarre to maintain the traditional notion of neutrality in the face of outrageous
violations of human rights or outright genocide. Many humanitarian agencies felt
they had to speak out, if not actively support interventions, against murderous
regimes such as those led by Slobodan Milosovic, Saddam Hussein, Charles Taylor
ing) and advocacy organizations, Democracy promotion and election monitoring organizations,
Humanitarian aid organizations, Development and Reconstruction organizations.
3 Who Are They? Encountering International and Local Civilians 37
and Mobutu Sese Seko. Many agencies argued that joining forces with political and
military actors to curb human rights perpetrations by such regimes was the only
right thing to do. Most of them also felt that tackling root causes of conflict and
contributing to peace building represented worthy causes even though they consti-
tuted strictly speaking political objectives.
In fact, the principles of independence and neutrality and the overall notion of
non-interference are being revisited in light of the developments as outlined above.
Leader (2002: 2021) discerns three positions with regard to neutrality, namely
neutrality elevated, where not taking sides becomes an absolute principle that
agencies impose upon themselves. This position is usually accompanied by a strong
emphasis on human rights and protection, and the provision of humanitarian life-
saving aid. The second position is neutrality abandoned. As humanitarian action has
such significant political consequences at the present juncture, humanitarians are
obliged to articulate and contribute to political objectives. From this perspective,
humanitarian action needs to be part of a political strategy to manage conflict and
promote peace building, including the use of conditional aid and of coercion
(violence) if required. It would boil down to eradicating the dictators mentioned
above. A third approach is called third-way humanitarianism and tries somehow to
accommodate the two earlier positions. It wants to be involved in constructive social
change without really taking sides, but of course it is clear that this nevertheless
implies a level of political choice. Many donor agencies verge towards the second
or third position in their attempts to do some good, by shifting from relief to devel-
opment, and by promoting conflict resolution, for example by focusing on social
justice and addressing root causes of conflict. All this goes beyond the classical
humanitarian mandate and moves towards a more explicit political stance.
Many observers have welcomed and applauded the roles and contributions of local
civilian actors in conflict contexts, especially in those cases where the structures of
the state either themselves have been a party to the conflict or else have become
debilitated or even completely stopped working due to the devastation wrought by
the conflict. Strengths of local organizations are that they possess local knowledge
that external parties miss. Consequently, NGOs and CBOs are well placed to collect
data for early warning due to their proximity to the local level and their availability
of local knowledge. This can also be used for advocacy towards the government, in
case there is a lack of political will on the side of the government to act and take its
responsibilities. In this way NGOs and CBOs can represent local constituencies and
exert upward pressure. In local political terms, they may represent actors and views
that overcome conventional and elitist domains of power.
But at the same time, the very conflict and resulting state fragility may also
undermine or eliminate local civil society. Displacement, flight, disorder, violence,
human rights violations and the closing of humanitarian and civilian space are
38 G. Frerks
A fourth challenge is the relation and positioning of these CBOs and NGOs to
wider structures and programs. They may easily become isolated islands that fail to
achieve a broader impact or replication. How can such activities be linked to wider
sustainable development initiatives by adopting longer time frames and a certain
unity of effort or coordination structure? Coordination in conflict-affected or crisis
areas is generally a big problem, even among international actors only (see: Paris
40 G. Frerks
2009; Coning and Friis 2011), and working with a multitude of small local actors
only tends to confound this problem.
In the context of CMI and despite some of the problems mentioned above, close
cooperation with local partners is still very attractive for the military. It gives them local
legitimacy contributing to force acceptance and protection, it helps winning hearts and
minds, it provides them access, and a local avenue for info-ops and psy-ops as well as
for the delivery of socio-economic services. Textbox 3.3 shows how the military
observers working for the UN Mission in Liberia (UNMIL) collect their information.
Our research in Liberia and Afghanistan showed that the civil-military debate
has invoked a fair bit of controversy and discussion among both international and
local NGOs, but also has remained rather inconclusive. In our study we distin-
guished three types of (I)NGOs at field level. The principled neutralists try to stay
away from the military, to preserve their humanitarian principles and to prevent
adverse security effects. They fear politicization of aid and subordination to a mili-
tary logic. The pragmatists weigh the pros and cons of co-operation and when the
context allows, they take a more flexible stance. In our field studies this was particu-
larly the case in Liberia and in northern Afghanistan (where the UN and allied
operations were applauded or at least less controversial). Finally, the supporters
consider the whole civil-military debate a secondary matter. They feel the needs of
the people should be the overriding priority. They also opine that dwelling on
sophisticated principles and artificial concepts of neutrality does not contribute to
security, the attainment of peace or effective aid delivery (Frerks et al. 2006: 104
105). They deem this a luxury that only the well-to-do organizations can afford. We
also noted something of a rift between local and international agencies on these
issues. Most international agencies tended to refer to the humanitarian principles
and the ICRC/NGO Code of conduct, while most local Afghan and Liberian orga-
nizations by and large fit under the latter headings of pragmatists and supporters.
3 Who Are They? Encountering International and Local Civilians 41
This does not warrant the conclusion, however, that international agencies repre-
sent the moral high ground, while local NGOs are unprincipled and money-driven.
Firstly, the INGO position is not just a principled one, but also a material one: they
can afford to keep their distance from the military and function in relative auton-
omy. Secondly, many local agencies are not unprincipled, but differently principled.
Unlike INGOs, which they see as thinking poetry and philosophy, they feel
humanitarianism is primarily about helping people as much as you can. Similar
views can be found among some of the field workers of international agencies. Not
surprisingly perhaps, these views resonate among the population. In many cases
(though not all) the people in need care little about who provides them with aid. Not
rarely they tend to be pleased with the military because they provide security, work
fast and generally do what they promise. Hence, NGO attempts to stay away from
the military meet with astonishment rather than appreciation. Collaboration with
peacekeepers and armed protection are considered normal and defensible, as
textbox 3.4 demonstrates.
The most topical developments in the international arena, such as the reform of the
UN and the emergence of integrated approaches have made that security, political
and development instruments are increasingly employed in unison. This is also an
outcome of the changing nature of warfare and adjustments that have been made to
global military interventions. It is closely related to some of the changes in humani-
tarian and development field itself, too. All these trends have led to rather drastically
changing discourses and practices in CMI as well.
42 G. Frerks
In my view, the question is not whether, but how, to redefine and attune military
and development responses to conflict situations and towards each other.
Contemporary integrated approaches and the resulting civil-military interfaces are a
vivid reality and future policy and practice will have to be tuned in with these
realities. Many of the more isolationist discussions on the topic of civil-military
interaction therefore seem to be something of a rear-guard action, especially as in
practice pragmatic forms of collaboration are already being tried and even tend to
become salient especially at the local level. All stakeholders, aid agencies, donors
and the military alike, thus need to remain aware of these contextual developments
and to reflect on the implications for themselves.
In the field we witnessed an expanding assortment of civil-military activities,
ranging from the earlier fairly minimalist use of military-civil defense assets
(MCDAs) (see: UN 2003) via training, advocacy, the exchange of security-related
information, protection and escorts, to the more maximalist joint programming and
execution of programs and projects. Our CMI review in Afghanistan and Liberia
showed that all those variants already existed in practice and that at the lower levels
the immediate needs for aid and support tend to outweigh more principled discus-
sions and viewpoints (Frerks et al. 2006: 3234). The increasing scope of collabora-
tion induces a need to rethink classical humanitarian principles: whether and how to
apply them in current contexts. An open debate between principled neutralists,
humanitarian pragmatists and supporters is needed to overcome hardened stand-
points, accusations and recriminations among (I)NGOs and to find a sense of direc-
tion for practice.
As increased collaboration in the field seems to be the order of the day, it makes
sense that a more strategic understanding between military and civilian partners be
reached prior to deployment, one that permits enough flexibility to those in charge
of local missions. Such multi-level thinking in advance of the mission could resolve
many implementation issues that otherwise would arise in the field.
Finally, many agencies already seem to take a rather pragmatic approach, weighing
up context-specific opportunities and risks. This course of action makes sense, but
in order not to leave it merely to coincidence this approach needs to be further
conceptualized, developed and harmonized in policy and practice. What is also
required is a further reflection on the nature and quality of local partners. How can
their capacities be assessed and strengthened if needed? Are they sufficiently demo-
cratic and representative of local audiences? How can opportunistic or protagonist
organizations be distinguished from the good ones. These issues are of relevance
for proper CMI whatsoever, but have acquired an added urgency due to the dysfunc-
tional aid bonanzas witnessed in a number of post-conflict situations.
If this chapter has shown one thing, it is that that increasing levels of CMI are to
be expected and that it will evolve into new directions. The established, original
viewpoints need to be reconsidered if the future challenges are to be met. A
discussion with an open mind is needed beyond the doctrines and dogmas of the
past at both sides of the civil-military interface.
3 Who Are They? Encountering International and Local Civilians 43
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Knight (Eds.), Building sustainable peace (pp. 7192). Edmonton: University of Alberta Press.
Borgomano-Loup, L. (2007). Improving NATO-NGO relations in crisis response operations
(Forum paper 2). Rome: NATO Defense College, Research Branch.
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Leashing the dogs of war (pp. 553581). Washington, DC: United States Institute of Peace.
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Fitz-Gerald, A. M. (2004). Addressing the security-development nexus: Implications for joined-up
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Chapter 4
Civilians in Military Operations:
Blue on Blue?
In the past decade or so, observers and interlocutors of NATO operations in areas
such as Afghanistan and Iraq have seen an increasing participation of a wide range
of civilians in such operations. This chapter is about who these civilians are and why
they are there. The chapter shares some experiences of civilian practitioners and
ends with a few recommendations on how to improve the inevitable cooperation
between the military and civilians in military operations.
Civilians within military operations include at one end of the spectrum the local and
at times international support staff, including catering and maintenance, while at the
other end, civilians may be leading pre-dominantly military units together with
military officers or even command sub-units. This section addresses three different
groups of civilians, namely (1) civilian staff as service providers, (2) civilian staff as
interpreters and translators and (3) civilian staff in advisory and leadership
positions.
J. Seppen
Netherlands Ministry of Foreign Affairs, The Hague, The Netherlands
G. Lucius (*)
Netherlands Ministry of Foreign Affairs, The Hague, The Netherlands
1 (NL) Civil and Military Interaction Command, Apeldoorn, The Netherlands
e-mail: gerardlucius@gmail.com
Moving further along the spectrum in terms of civilian staff, most of the interpreters
and translators (often local, but also international) engaged by military forces are
either civilians or staff temporarily militarised for the operation. The interpreters
and translators in particular play a crucial role in enabling the military to communi-
cate with the local security forces, in particular where operations are carried out
jointly or in case of training missions. The interpreters are also the key connection
to the local authorities and other interlocutors of the operation, who very often dont
speak English, NATOs working language. The additional contribution of the inter-
preters is that they provide interpretation in the broadest sense of the word, since
they not only know the local language, but are also much more aware of the social
and cultural dimensions of the country in which the operation is deployed. The
civilian interpreters of the military furthermore provide a bridge to the local authori-
ties, who in most cases are civilians, even though some may have a background as
a regular or irregular soldier. In addition, communication with the population of the
area of operation where the international troops are deployed will also require inter-
pretation services. The translators play an essential role in ensuring that for instance
training manuals are available in the local language and that letters and documenta-
tion are accessible to both the international military and their local partners.
For the most part, interpreters and translators will be nationals of the country
where the troops are deployed. They often are, or were before the conflict started,
students at local universities or have a bachelors if not masters degree from a local
university. Very often, interpreters have seen their studies or careers interrupted by
the conflict or have been attracted to the military operation by the relatively good
salaries that are being paid. In working for military operations, local interpreters and
translators take considerable personal risks, in particular when the military opera-
tion is seen as an occupying or enemy force by (a part of) the local population.
Interpreters and translators may also be dual nationals, returning to their countries
of origin which they have often left as refugees and seeking to pay a service to their
countries of origin and of refuge simultaneously. If recruited through a Ministry of
Defence, they are usually outfitted with military uniforms and if through for instance
a Ministry of Foreign Affairs, they wear civilian clothes.
4 Civilians in Military Operations: Blue on Blue? 47
Staffs of military operations often include at least one international political adviser,
commonly known as POLAD. However, in recent years, there has been a significant
increase in the numbers and types of civilian staff, in particular in NATO operations.
Other than political advisers, military operations increasingly include such as devel-
opment advisers, Security Sector Reform advisers, Rule of Law advisers, tribal or
cultural advisers, gender advisers and communication advisers.
Advisers would typically be nationals of the troops contributing countries and
civilian experts in one or the other field. His/her responsibility would be above all to
ensure the inclusion of other than kinetic elements in the planning and decision
making process of the (Deputy) Force Commander. A POLAD would be someone
with a bachelors or masters degree and either with experience in the country,
through a diplomatic or development mission or an international (non-governmental)
organisation and/or experience with comparable environments, and focus on politi-
cal affairs, not only at the provincial or regional level, but also national level. A
POLAD would normally also ensure that the activities of a military operation are
compliant with the policy or policies of the contributing state(s). Development
advisers (DEVADs) in general have a comparable educational and background pro-
file, but focus primarily on development aid projects and programmes and ensure
that these are complementary to or build on (the activities of) the military operation.
Development advisers should also ensure that military operations do not undermine
sustainable development activities initiated by the local government and/or interna-
tional donors. Security Sector Reform (SSR) advisers are mostly former military or
police, who have reinvented themselves as civilians with an expertise. Rule of Law
advisers (ROLADs) focus on projects and programmes that would contribute to the
reconstruction of the judiciary chain and ensure e.g. that the training of the local
military and but in the local police does not happen in a vacuum. Tribal or cultural
advisers are meant to ensure that a military operation does not happen in a cultural
void, gender advisers ensure that the activities of a military operation are e.g. com-
pliant with UNSCR 1325 and gender sensitive (e.g. inclusion of women in the
armed forces or police of country, which also requires that there are separate facili-
ties for the women). Communication advisers are roughly spokespeople of the civil-
ian mission within the military operation.
The NATO operation in Afghanistan has also led to the emergence of a new type
of civilian staff: Civilian Representatives. NATO was the first, and to date only,
organisation to appoint a high-ranking civilian as part of the leadership of a military
operation, the Senior Civilian Representative (SCR), based at the ISAF headquar-
ters in Kabul. This SCR is part of the NATO chain of command and reports to the
NATO Council in Brussels. This in turn has led to the nomination by several NATO
troop-contributing countries of provincial and regional (Senior) Civilian
Representatives. These are mostly diplomats heading a larger civilian team or a
Provincial Reconstruction Team (PRT, overwhelmingly staffed by military) within
a regional or provincial military operation. They are normally at the same time their
48 J. Seppen and G. Lucius
countrys most senior diplomat in the part of the host country they operate in.
Contrary to the military commanders, the regional or provincial (senior) civilian
representatives are neither part of the NATO chain-of-command nor are they subor-
dinate to the NATO SCR at ISAF headquarters in Kabul.
The increase in civilian staff in military operations is very much a NATO phenom-
enon. In UN and EU military operations, for the most part because of parallel politi-
cal or assistance missions, the number of civilian staff is very limited and in general
does not include more than one or two political advisers.
Why are civilians included in military operations in the first place? A distinction
can be made between support civilian staff as service providers, as interpreters and
translators and in advisory and leadership positions. For tasks subordinate to the
military operation, such as catering and maintenance, the answer lies in reasons of
cost-effectiveness (it would cost way too much to fly in and out cleaning staff and
to pay on mission salaries). For language services, the reasons are twofold and are
on the one hand part cost-effectiveness, and on the other hand because an organisa-
tion that may be deployed anywhere in the world cannot afford to permanently keep
interpreters on the payroll for every single language.
Advisers and civilians in leadership positions for their part are engaged for
another reason. They provide an expertise not traditionally available within military
organisations. The adviser will not only act as the (Deputy) Force Commanders or
the (S)CRs guide on the different fields of expertise, but also provide liaison with
(at times only semi-) civilian parties at the various levels of government and outside
of government circles in the host country. Provincial and regional civilian represen-
tatives provide high-level access to the high-level local authorities. The absence of
the uniform in many instances allows political and other advisers as well as civilian
representatives access to people and organisations that would be wary of military
interlocutors. With situations of conflict and post-conflict becoming more complex
and the increasing realisation that such situations cannot be addressed with military,
kinetic, means only, the inclusion of civilian expertise imposes itself.
Textbox 4.1: The Dutch View on the Role of CIMIC vs. Development
Activities
[]CIMIC has as its objective to support the implementation of the operation
by maintaining contact with civil parties. This contact will help improve
acceptance of the presence of military personnel among the local population
and thus contributes to the security of the mission. By this characteristic,
CIMIC is fundamentally distinct from activities aimed primarily at the (re-)
construction of the civil environment. In reality however, CIMIC and recon-
struction activities may overlap or connect. The CIMIC Policy Framework
[] therefore provides room to anticipate reconstruction activities. []
Quoted from: TK 20052006 29 521 nr. 21: Letter by the Minister of
Defence to the Second Chamber of the States General, 29 December 2005.
50 J. Seppen and G. Lucius
1
TK 200502006 27 925 nr. 194 Combating International Terrorism: letter to the Second Chamber
of the States General by the Ministers of Foreign Affairs, of Defence and for Development
Cooperation, 29 December 2005.
4 Civilians in Military Operations: Blue on Blue? 51
interventions, but also to ensure a higher level interlocutor for the civilian counter-
parts and the governor in particular.
Whereas the first civilian representative was co-located with the Provincial
Reconstruction Team, the PRT that was subordinate to the Task Force Commander,
the successor shared an office with the Task Force Commander (as the political
adviser had done all along) and the successor of the successor was the first civilian
leader of the PRT (Mathijssen and Mollema 2008).
To ensure a permanent presence of a Civilian Representative, a Deputy Civilian
Representative was added as well as a Deputy Political Adviser, a second
Development Adviser and an Assistant Cultural Adviser.
The inclusion of the Civilian Representative in the office of the Commander of
the Task Force and the appointment of a civilian Head of the Provincial
Reconstruction Team ensured a closer involvement of civilian staff in TFUs day-to-
day operations and its long-term military, political and development planning.
Regardless of the quality of the working relationship between the military and the
civilians in a military operation or even an integrated mission, the worlds of military
and civilians are often wide apart. Of course, there are always exceptions to the rule,
including civilians with a military background, such as reservists, soldiers with a
civilian profession and militarised civilians. This section will describe some typical
differences in academic and professional backgrounds, task orientation and profes-
sional behaviour between civilians in military operations and their military counter-
parts. By their nature, these generalisations do not do justice to either group. They
may however serve to assist the practitioner in finding her or his way in the relation-
ship with the professionals of the other persuasion.
For the purpose of the comparisons below, we will juxtapose two groups: on the
one hand, people with a non-military professional background who become part of
the staff of a military operation on the basis of their expertise and who perform
essentially civilian tasks, and on the other, people who have followed military train-
ing, pursue a career in the armed forces and are placed in the staff of the military
operation in a military role.
Students choices in early adulthood determine part of the differences later in
life. Training at a military academy or a civilian institution of learning (academic or
higher vocational training) will provide students not only with different tool sets but
also with different outlooks on life. In training and in the working environment,
military are often preparing for high intensity conflict with the risk of death and
injury among their own, the opposition and others. The willingness in extremis to
engage in violent conflict and the readiness to incur casualties distinguishes the
soldier from the civilian at a fundamental level.
52 J. Seppen and G. Lucius
Regrettably, the military command hardly engaged with the team of the SCR and
seemed to have to consider other options to address the situation than kinetic ones,
which were insufficient for a longer-term solution to the challenges in the valley.
Section 4.5 showed one arrangement of civilians and soldiers working together in a
military operation. Improving this cooperation is worth striving for if the civilians
contribution adds value to the effort. But what is their added value?
The most important contribution of civilians to integrated or comprehensive
military operations may simply be that they provide the civilian perspective.
Contemporary military operations are no longer purely kinetic operations and hence
cannot be planned and conducted by military only (Smith 2005). CIMIC or civilian
affairs military are still military, regardless of their background, by the simple fact
that they wear a uniform and since they are part of a military operation have an
obligation to act and operate along military standard operation procedures and often
within a tactical plan. The environment of an average military operation consists
mostly of civilians, both national and international, who are not familiar with such
operational procedures.
For example, for the Netherlands troops in Uruzgan, Afghanistan, the prime
interlocutor was the governor of the province. The governor did not have a military
background, let alone a military outlook. Although he needed the Task Force to gain
control of the province and start providing government services to the people and
the PRT was tasked to support him in that effort, conversations between the PRT
commander and the governor directly were difficult in that they involved people
with very different outlooks, roles and responsibilities.
Task Force Uruzgans civilian staff were mostly trained diplomats who would
take more time to elaborate on any issue and focus on developing a plan to resolve
it that involved the perspectives of the civilian implementers and the intended ben-
eficiaries. Policy people themselves and formally part of the staff of the Netherlands
Embassy in Kabul, they would be able to link developments in the province to policy
debates in Kabul and the roll-out of parts of the National Development Plan to
Uruzgan. The connection with Kabul and The Hague also enabled them to actively
support the Governors own efforts to get more funds, personnel and political atten-
tion for his province, for example by advising to earmark a proportion of the
Dutch development funds for Uruzgan specifically.
Themselves involved in accountability for these funds, the diplomats had a
keener sense of the political situation the Governor had to contend with, including
the crucial need for local support for his plan. In contrast, many military officers felt
under pressure to show visible results within the timeframe of their own deploy-
ment, their organisation favouring speed over thoroughness and ignoring those
options that required resources that it did not control itself.
56 J. Seppen and G. Lucius
The previous section lists a significant number of reasons to include civilians in the
staff of a military unit. As earlier sections have shown however, introducing civilian
expertise in itself does not mean it will be understood or utilised. What can be done
to improve smooth interaction between civilian and military colleagues in the field?
Opportunities for improvement may be limited. Military operations will be mili-
tary operations, and regardless of their aim will be dominated by the military by
their sheer numbers. Civilians often form no part of planning exercises because they
are not invited or when they are, because they are unwilling to provide sufficient
capacity for effective participation. Military staff are unfamiliar or uncomfortable
with the inclusion of civilians in their planning processes and when it is done, the
different policy outlooks, concepts of time and lack of understanding of the value of
the others professional contribution to the success of the mission may make joint
planning a frustrating affair.
In operations with a relatively simple task, the number of civilians in the staff
may be small and interaction simple. For example, the presence of one Political
Adviser within the African Union Mission to Somalia (AMISOM) is probably suf-
ficient, since AMISOM is a very kinetic mission, operating in collaboration with the
4 Civilians in Military Operations: Blue on Blue? 57
political/civilian UN mission that functioned initially out of Nairobi and later, par-
tially, from within Mogadishu.
When the military and the civilians represent two legally distinct organisations,
very close and successful interaction becomes more challenging. ISAFs Afghanistan
operation in theory operates closely with the UN mission in Afghanistan, but in
practice the mission and the operation lead two parallel lives; although NATO
appointed a Senior Civilian Representative partly to improve the connection, the
UN and NATO remain separate organisations at the highest level.
Even within NATO, the civilian and military bodies are distinct and while the
military will take orders from the civilian side, this does not equate truly integrated
civ-mil policy development, planning and implementation.
There would seem to be more opportunities to improve civil-military coopera-
tion within operations if we focus on the bilateral level. Within a country, a whole-
of-government approach can help ensure that the various government departments
involved in preparing and implementing a peace operation work together at all
levels, from government ministers down to the professionals working side by side
in a war-torn country. In other words, the split between the civilians and the military
may be overcome if at the highest level the command is one.
The Netherlands Police Training Mission to Kunduz, Afghanistan, shows a
glimpse of what can be done. The mission was conceived jointly by the following
ministries: Foreign Affairs, Development, Defence as well as Security and Justice.
To a large extent, the few civilians and the many military went through the mission
specific training together, which allowed them to get to know each other and to
understand each other better. The command in Kunduz was a truly joint command,
with the Military Commander and the Civilian Representative in one and the same
office. All had their own tasks, but the responsibility for the running of the mission
was a joint responsibility.
Apart from the influence of personal characteristics on the success of the col-
laborative effort, much will depend on the actual circumstances of the operation. A
mission operating in relatively peaceful circumstances will be very different from
one that has to cope with situations of insecurity, opposition to the mission or the
outbreak of actual hostilities. If the security situation deteriorates, the role of the
military commander may gain in prominence, whereas in a situation of relative
peace, or when redeployment is near, the civilian contingent will come to the fore,
in particular if there are longer term development projects and programmes that will
continue after the military have redeployed.
4.8 Recommendations
Much progress has been made in the cooperation between civilians and military in
the past decade. This is no doubt in large part due to an increase in the number of
large scale missions since 9/11, in particular NATOs in Afghanistan. Lessons have
been learned, both by the military and the civilians. The awareness has grown that
58 J. Seppen and G. Lucius
military cannot do without the civilians and civilians have learned that they cannot
do without the military. Where conflicts themselves are caused by political and
developmental inequalities and injustices, conflict resolution cannot rely on military
means and kinetic approaches alone.
Conflict resolution starts with conflict analysis, that needs to be done thoroughly,
taking account of all conceivable viewpoints and positions. This demands an effec-
tive mix of civilian and military expertise within the group of analysts, including
political scientists, anthropologists, gender specialists and development experts.
Once the political decision to deploy an operation is taken, the planning and
design of the operation should also be done by civilian and military experts together.
Planning meetings must to be joint meetings and not parallel ones. Assuming that
authority to proceed will lie with different authorities (and participants are account-
able to different authorities), decision making procedures will have to be synchro-
nised. Decision making at the top level is preferably joint as well, e.g. at ministerial
level, so as to ensure balanced civilian and military inputs at all levels.
Joint pre-deployment training is crucial, since it allows the military and the civil-
ians to get to know each other and develop a deeper understanding of the others
background, current position and objectives for the planned operation. Building on
those insights, a common operational picture can be developed, that can form the
basis of a common plan that brings together the best of what the various participants
can bring to the table. If civilians and soldiers that are meant to work together only
meet in the actual conflict zone, much time will be lost and much opportunity.
Once deployed, it is important that any operation that has significant, perhaps
predominantly, political and development objectives, is led by soldiers and civilians
together, or in practical terms, by a command group of one military officer and one
civilian representative. These two should have equal access to information from
higher military headquarters and civilian ministries in capitals and should ideally
share an office and if not, at least meet once a day. Sharing of offices of military
commanders and civilian representatives has been proven to have a strong positive
impact on the cooperation, and conversely, physical distance between the military
and civilian leaders of operations has been shown to hamper and harm it.
Examples from many operations show that there are good reasons to incorporate
civilian experts in staffs of deployed military units. Their varied non-military exper-
tise is needed to operate successfully in todays challenging operational environ-
ments. Case studies, including the ones in this chapter, suggest that cooperation
between civilians and soldiers is confronted with many challenges. Some of these
are brought about by the great differences between the groups in educational back-
ground and professional training, task orientation and concepts of time. These views
in turn dictate behaviour once deployed. In deployment, the groups sometimes
choose to either ignore each other or to clash over priorities, rather than to cooperate
productively. It is before deployment that the basis for productive cooperation must
be laid: joint civilian-military conflict analysis, decision making, planning and
pre-deployment training all provide opportunities to develop on a common view of
the task ahead. Once deployed, joint leadership of the operation or at the least,
4 Civilians in Military Operations: Blue on Blue? 59
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Chapter 5
Preparation Starts at Home: Education
and Training for Civil-Military Interaction
This chapter is written from an Australian perspective,1 using examples and the
context of education and training in the Australian Defence Force (ADF).2 As a
result of the Australian experiences of conducting peace operations where military,
civilians and police all play key roles, Australia has started developing policy and
tools to better coordinate civil-military responses. The Australian Civil-Military
Centre (ACMC) was established in 2008 and is tasked to support the development
of national civil-military capabilities to prevent, prepare for and respond more
effectively to conflicts and disasters overseas, including facilitating education and
training programs that develop an effective national civil-military capability.
Since its establishment, the ACMC has contributed to increasing the civilian
component in military training and exercises and contributing to military specific
education on civil-military interaction, in Australia and New Zealand. However, the
task of assessing the need for coordinated civil-military responses is relatively new
1
Australian perspectives are drawn from contemporary experiences over the last decade while
operating in Timor Leste, Banda Aceh (Indonesia) and the Solomon Islands, as well as the more
hostile environments of Iraq and Afghanistan.
2
The authors derive many of the examples in this chapter from their experience working with the
Australian Civil-Military Centre on whole-of-government education, training, lessons, and
research, including data collected and observations made from exercise after actions reviews,
workshops, evaluations and internal reports.
K. Thynne (*)
International Committee of the Red Cross, Kuala Lumpur, Malaysia
e-mail: kelisiana@yahoo.com
G. Cherne
Australian Civil-Military Centre, Queanbeyan, NSW, Australia
e-mail: gmcherne@gmail.com
in Australia and therefore the education and training examples given in this chapter
are constantly under review and consideration.
The Australian Defence Force (ADF) uses a four-step cyclical process to ensure
that both education and training for all ADF personnel is effective and practical.
These four steps are demonstrated in Fig. 5.1 and are useful when applied to all
environments in which ADF personnel will be interacting including civil-military
interaction in peace operations (VCDF 2012: 9). All education and training deliv-
ered must be demanding, relevant, realistic and safe, and aim to replicate the envi-
ronment in which personnel will be operating.
It is important that all military personnel have a full understanding of the learn-
ing outcomes required in order to deliver capability, that the learning outcomes are
constantly updated to reflect ongoing changes in operational capabilities, and that
they take into account the diversity of operational environments in which defense
capabilities may be deployed: joint and inter-agency, coalition and alliance, warf-
ighting and stability, and humanitarian (Australian Department of Defence 2002:
1415). Training and education must be as comprehensive as the approach itself
(Menhinick and Gregory 2011).
Increasingly in Australia, internet-based learning and simulation optimizes the
reach of civil-military education and training. Field and command post exercises in
which all key stakeholders interact are also very important. In a highly charged and
rapidly developing environment, innovative ways of providing training quickly and
effectively are used. The simulations replicate the operating environment in which
the military will find themselves and encourages them to react quickly but effec-
tively to any problems they may encounter.
Self-analysis and reflection are important steps in the training process to con-
sider whether lessons have been learned and to ensure defense capabilities are
improved. The evaluation and the conclusions reached will inform the first step in
the process specifying what learning outcomes are required in order to achieve
5 Preparation Starts at Home: Education and Training for Civil-Military Interaction 63
defense capabilities and constantly updating those outcomes and inputs. Operational
lessons from a range of sources military, civilian, police, NGO, the UN, other
international organizations should be used to inform new capabilities and reflect
changes in doctrine. There has been a notable increase in the level of operational
experience for people attending courses, and it can no longer be assumed that course
instructors have more operational experience than their students. The range of
ideas and different perspectivescannot be replicated by any amount of reading or
study (Menhinick and Gregory 2011: 173).
This chapter identifies why education and training in civil-military interaction
for the military in peace operations is important, how training requirements are met
in the Australian context, and identifies some of the challenges to meeting those
requirements. Despite the Australian context, the examples given should provide
some guidance to other countries and their militaries as to the need for preparation
at home to meet challenges of civil-military interaction in the field.
Peace operations ensue from the immediate aftermath of the conflict (or indeed
while the conflict is still ongoing),3 to the period after the signing of a peace agree-
ment and complete cessation of hostilities. A useful definition of conflict is found in
Prosecutor v Tadic (1995; para 70). As other chapters have discussed, the strategy
used for civil-military interaction can depend on the type of organization and the
level of security in the specific environment and can vary not only from one peace
operation to another, but also within the life span of a particular peace operation.
Nonetheless, peace operations will always require interaction between the military
and civilians (non-government, government or international organization represen-
tatives). Importantly too, transition to a civilian lead will always occur at some point
on the peace operation continuum, so planning for that civil-military coordination is
essential. Part of that planning and indeed the very interaction itself requires the
military to have education and training in how to interact with civilians.
As Fig. 5.2 demonstrates, the level of cooperation and coordination between
civilians and the military changes depending on how close to real peace the environ-
ment has reached. However, no matter where on the cooperation-coexistence con-
tinuum the situation is located, the key issue is for the military to find ways to work
with, coordinate activities, or at a minimum coexist with civilian stakeholders, so as
to not duplicate efforts, waste resources or work against one anothers efforts. At
least, if the continuum swings to coexistence, there should be recognition by the
military as to why civilians on the ground merely want to coexist, and not interact
3
For example, the peace operation in the Democratic Republic of the Congo has peacekeeping and
warfighting as its mandate: see, e.g. UN Security Council Resolution 2098 (2013), 28 March 2013.
64 K. Thynne and G. Cherne
security, stabilization and good governance, and ultimately establishing the condi-
tions or end state needed to facilitate drawdown and exit of the military. In addition
to UN agencies and NGOs it is recognized that a wide range of actors in other gov-
ernment agencies play increasingly important roles in supporting military led peace
operations. These include justice advisers, development advisers, human rights
advisers, among others. Civilians are in lead roles in the governance, rule of law and
reconstruction and development lines of operation, such as civilian-led provincial
reconstruction teams (PRT) in Afghanistan and civilian-led post-conflict reconstruc-
tion teams, as seen in the Australian-led Regional Assistance Mission to the Solomon
Islands (RAMSI) (ACMC 2012: 27). The RAMSI mission ended in 2013 with a well-
planned exit strategy of the military, leaving some civilian and police components for
further development (Australian Government Department of Defence (2013)).
A commander will generally have a CIMIC officer4 whose role is to work with
the civilian population specifically in support of the military mission, and who is
often the conduit of contact for civilian agencies and organizations operating in the
same environment. Specific training is required for CIMIC officers and is discussed
below. However, all military personnel should have a grounding in a whole-of-
government approach to security whether national security or security in another
country to which they are deployed and an inherent understanding that the mili-
tary is a contributor to security, rather than its sole provider, in concert with the host
nation. Australias national security strategy is outlined in a public document
(Australian Government Department of Prime Minister and Cabinet (2013)).
Education
4
The ADF defines CIMIC as The coordination and cooperation, in support of the mission,
between the Force commander and civil actors, including national population and local authorities,
as well as international, national and non-government organisation (NGOs) and agencies. (ACMC
and ACFID 2012). CIMIC in this context should be differentiated from the UN definition of UN
Humanitarian Civil-Military Coordination (UN-CMCoord) which provides the interface between
the military component of a UN peace operation and the political, humanitarian, developmental,
human rights, and rule of law components of the mission (UNOCHA and IASC 2008).
66 K. Thynne and G. Cherne
Training
In Australia, NCOs and ORs rarely receive civil-military education, or rather their
education usually does not include civil-military interaction concepts, as their edu-
cation is focused on developing skills for their careers in the military. This gap is
thought to be remedied by training and exercises which teach the practical skills
required in the field. In general terms, training (the how) versus education (the why)
builds on the broad education received at the operational and strategic levels.
Training in the pre-deployment phase helps military personnel recognize and
prepare for differences in each environment. It is also useful in keeping military
personnel updated on the constantly evolving practices in peace operations.
5 Preparation Starts at Home: Education and Training for Civil-Military Interaction 67
Training exercises are designed to incorporate lessons from the classroom into
the practical environment. Training should therefore include desktop and live role-
play scenarios that enable military, civilian and police counterparts to interact
together through the responses and actions they are likely to encounter in the field
(exercises are discussed below). Training should also be held as close as possible to
pre-deployment so that lessons learned can be put into practice immediately in the
field.
There are two levels of training for civil-military engagement that occur within
the ADF. There is specific CIMIC training for CIMIC officers (recognizing that
CIMIC officers have different deployable capabilities than regular officers who are
all trained in civil-military interaction), and more general education and training for
understanding civil-military interaction that is delivered to the wider ADF.
The aim of CIMIC training is to ensure selected officers can liaise with and assist
in planning for the ADFs interaction with agencies in a whole-of-government con-
text and with coalition partners. The CIMIC staff officer provides a key interface
between the military commander and civilian actors. CIMICs goal is to minimize
civilian interference with military operations while at the same time reducing any
negative impacts of military operations on the populace. This interface is a critical
role to the success of any military operation. Australia has consistently deployed a
CIMIC capability on operations (off-shore and domestic) for the past decade. For
example, in the wake of the Philippines typhoon in November 2013, the ADF sup-
ported the Australian Medical Assistance Team at Tacloban Airfield and provided
airlift support to relief efforts in the region working closely with the Philippines
Armed Forces, US Expeditionary Forces, UK, NZ and Canadian Forces to ensure
assistance was in accordance with Philippine Government priorities and coordi-
nated between partners. The role of the CIMIC officer (major level) was to support
the liaison and multiagency coordination for the Commander of the ADF deploy-
ment with foreign militaries and with the Department of Foreign Affairs and Trade
Assistance for International Development Recovery Team.
The broad subject matters taught in CIMIC training are: understanding the con-
temporary all-agency, complex, co-operational environment, understanding the
CIMIC inputs to the ADF planning process, applying civil-military operations plan-
ning considerations for the ADF contribution to whole-of-government crisis
response options, developing measures of effectiveness within a whole-of-
government comprehensive framework and understanding the civilian humanitar-
ian emergency response and development organizations operational parameters.
More general training on civil-military interaction allows the knowledge sharing
of other agencies capabilities and mandates and how to work across and with
different agencies. Training also includes skills in management and how to work
cross-agency and with a range of other actors. General leadership training in later
career training for the military is important for civil-military interaction because it
teaches adaptability, pragmatism, and the ability to garner and have respect from and
for others. Interaction and coordination will not occur without effective negotiation
and de-confliction and dialogue. Therefore, the majority of courses on civil-military
interaction in peace operations should be targeted at captain to lieutenant colonel
68 K. Thynne and G. Cherne
level (or equivalent) middle-ranking officers. These officers will be responsible for
planning and conducting operations in the field.
The one or two-week training courses that military personnel attend are most
effective when they have either returned directly from operations or are about to
deploy. They can then use the practical experiences to reinforce the training or will
shortly be able to put the training into practice. For example, each brigade sent
overseas to a peace operation from Australia must be certified as having had civil-
military interaction training. Australian Defence Force (ADF) pre-deployment
training for the Regional Assistance Mission to the Solomon Islands focused heav-
ily on the civil-military space and was reinforced with in-country training on cul-
tural awareness and the role of different actors on the ground. A lack of
understanding and confusion over stakeholder roles, responsibilities, cultures and
terminologies can impede communication and coherency in [operations] leading to
reduced effectiveness in meeting the needs of the host population (ACMC and
ACFID 2012). The military will be on the ground meeting and interacting with a
range of actors, and the military needs to know who they are, what they are doing,
and their objectives so that they understand and respect each others roles and coor-
dinate where necessary.
Similar to those presentations in educational courses, training in civil-military
interaction in Australia includes the sharing of experiences by NGOs, the United
Nations and other civilian agencies to familiarize the military with the wide variety
of roles civilian agencies and organizations can play in the contemporary operating
environment (Menhinick and Gregory 2011: 176). In order to incorporate opera-
tional lessons, training also includes presentations from recently returned officers
and other military personnel tasked with civil-military interaction to prepare offi-
cers, non-commissioned officers and junior non-commissioned officers for how to
interact with civilian stakeholders. This training draws on real life case studies and
lessons learned from interaction in peace operations, such as UN operations in
Sudan or expanding coalition activities to move towards a post-conflict state in
Afghanistan.
Military forces earliest training in military and security skills must be framed in
the context of a whole-of-government approach to security. Such training must con-
tinue as military personnel rise to officer rank and progress in their careers. Officers
are then tasked to pass this learning on to subordinates. Training for highest ranked
officers becomes more strategic and builds on experiences in operations that they
will have already. Such training requires an in-depth understanding of the chal-
lenges of civil-military interaction, developing policy on civil-military interaction,
and learning how to grapple with the operational and strategic imperatives associated
with the contemporary operating environment and not just the tactical implications
of CIMIC.
5 Preparation Starts at Home: Education and Training for Civil-Military Interaction 69
Ensuring effective military engagement in all contexts is not just about sitting in a
classroom. Studies show that 70 % of competency on the job comes from job expe-
rience; 20 % comes from relationships with peers, managers and mentors; and the
remaining 10 % comes from formal learning programs (Lombardo and Eichinger
1996: iv). The theoretical and analytical knowledge of civil-military interaction is
important, but for practical operations in which the military is engaged, there must
be a practical component that prepares the military for the physical and psychologi-
cal environment of the contemporary operating environment. Interaction with civil-
ians can provide an uncertain environment in peace operations where the military
understandably has no control over those outside the chain of command, but identi-
fying problems that military and civilians may have in interacting, both in the doc-
trine and process phase (Rietjens 2008: 199) as well as at the exercise phase can
reduce this uncertainty.
The Australian Civil-Military Centres experience working in exercises since
2008 and the feedback from the participating ADF members and Australian civilian
agencies has proven that preparation for peace operations can only be effective if
civilians are included in the process. It is through this civilian participation that a
realistic framework is simulated for the participants. If civilians have not been
included in military training and exercises, the military will not have had the full
experience that is required in their broader mission deployment experience. For
example, the military will not necessarily understand that airports and ports have
dual strategic and humanitarian functions, or be aware of the needs of internally
displaced persons or the capability of civil society.
One challenge is encouraging civilian agencies to become more willing to engage
with military training and to conduct their own civil-military training. In Canada,
the military recognized that training is important to mission success, and also that
they had the greatest capacity to undertake civil-military training, so they invite
whole of government partners to attend training such as Exercise Maple Guardian,
a three-week pre-deployment training activity (Thompson et al. 2010: iii). Having
surveyed the participants in 2010, it was found that, overall, they felt that they
learned a great deal from the training exercise about the military, and participation
enabled them to develop useful relationships with the military and other personnel
with whom they would be working in theatre. However, civilian participants found
that their own understanding of Afghan culture and people was still low, and this
was to be addressed in future exercises (Thompson et al. 2010: iv). As was found in
the Canadian example, exercises that deliver learning outcomes for military, civilian
and police participants are a key tool in cultivating a collaborative culture, building
trust and understanding among the different actors, and in developing cooperative
planning and implementation processes for peace operations. Exercises assist the
military, civilians and police in overcoming organizational and human challenges
related to the implementation of a collaborative culture that leverages organiza-
tional and cultural diversity. Australia is now moving to a mission rehearsal model
to bring past and future members of civilian agencies involved in peace operations
70 K. Thynne and G. Cherne
5
This was also a recommendation of the USAID in a review of PRT pre-deployment training
(USAID 2006: 17).
5 Preparation Starts at Home: Education and Training for Civil-Military Interaction 71
6
The Australian Civilian Corps deploys civilian specialists to countries experiencing or emerging
from natural disaster or conflict. The ACC comprises of a register of 500 prescreened and pre-
trained specialists ready to rapidly deploy (Australian Civilian Corps, Aid Program, Australian
Department of Foreign Affairs and Trade (2013)).
5 Preparation Starts at Home: Education and Training for Civil-Military Interaction 73
with the military. Consideration should be given to creating training courses that
would effectively prepare civilians to interact with the military.
Military planning, even for exercises, is often conducted in a classified environ-
ment. This is not conducive to including civilians in the planning and the exercises
themselves, particularly when the civilians are not government representatives. It is
therefore important for the military to identify points of interaction when sharing
and cooperation should occur, and to incorporate these into training activities. The
classified environment also makes it difficult for civil-military interaction to take
place in the field, as civilians do not necessarily have the same security clearances
as the military and certainly not when those civilians are NGO representatives, and
not government.
Once the planning has been completed, gathering the right participants, includ-
ing sourcing representatives from civil society groups, can be a challenge. Not only
should civilian agencies attend and participate with meaningful roles, but they
should participate in those roles representing their actual agency. A foreign affairs
officer should represent the foreign affairs ministry, and a humanitarian NGO
should represent humanitarian NGOs, where possible. Military personnel should
not be required to put on civilian clothing and role-play the part of an NGO repre-
sentative they will not have the right understanding of the nuances and responses
of the NGO, particularly where there is little or no understanding of the real role
such an organization plays in the field. Often civilian agencies, NGOs, and civil
society groups lack the human and financial resources to contribute to these exer-
cises. The lack of ability of civilian counterparts to participate in these exercises is
a continuous challenge and one that is not easily overcome. Building cross sector
views of the need to involve civilians and military in all stages of planning and
training is a long term goal, but small steps can be put in place to start achieving
better civil-military interaction through education and training.
5.5 Conclusion
Specific and tailored education and training is needed to prepare for civil-military
interaction and cooperation in order to raise awareness in the military of the com-
plex operating environment in peace operations. This preparation should expose
militaries to the range of actors who they will meet in the field, and give them tools
to interact with those actors. As this and other chapters have outlined, it is not neces-
sarily intuitive for military personnel to engage with the civilian community of a
host nation or NGOs in a peace operation. Education and training on civil-military
interaction is required to ensure that civilians are factored into and included in plan-
ning processes and engagement. Education should occur at the early stages of a
career and at key points of promotion, to ensure grounding in the principles and
theories of civil-military interaction. That education can then be built on by tailor-
ing training courses on civil-military interaction and in pre-deployment training so
74 K. Thynne and G. Cherne
that forces are able to apply their learning immediately to the context in which they
are deployed.
Effective civil-military interaction is required to achieve the military missions
objectives and the overall objectives of an operation. In that respect, education and
training is needed on how to effectively interact with civilians (government and UN
officials) in the same mission alongside military in order to ensure a collaborative
approach toward a common goal. However, government and UN civilians are not
the only ones that militaries will come across in the field. It is important to develop
a good grounding in the different civilian agencies, including NGOs and other orga-
nizations that militaries will encounter in the field, how to practically interact with
them and what to expect during that encounter.
Moving that grounding into practical exercises is also essential to ensure that real
life examples and experiences are shared and understood for future operations.
Militaries are increasingly recognizing the need for shared and learned understand-
ings between the military and civilians in order to ensure a smooth and effective
operation, but there are many challenges to providing education and training in
civil-military interaction for peace operations, just as there are challenges for real
life civil-military interaction which cannot be easily overcome as outlined above.
However, as upcoming leaders in militaries it is important that officers, non-
commissioned officers and other ranks experience the real challenges of civil-
military interaction and recognize the benefit of education and training in this field.
Only then can such training become normalized, incorporated into curricula and
factored into training exercises, so that civil-military interaction may become even
more effective.
References
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(2013). Available via http://aid.dfat.gov.au/acc/Pages/default.aspx. Accessed 17 Mar 2014.
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peacebuilding experiences in the Autonomous Region of Bougainville in Papua New Guinea,
and in Solomon Islands and Timor-Leste. Canberra: Australian Civil-Military Centre.
Australian Civil-Military Centre, & Australian Council for International Development. (2012).
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December 2002: Available via http://www.defence.gov.au/publications/fwc.pdf. Accessed 17
Mar 2014.
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on 10 years of operations. Defence News. Available via http://www.defence.gov.au/defence-
news/stories/2013/jul/0729.htm. Accessed 17 Mar 2014.
Australian Government Department of Prime Minister and Cabinet. (2013). Strong and secure: A
strategy for Australias National Security.
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International Peace Institute. (2013). Enhancing European military and police contributions to UN
peacekeeping.
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Minneapolis: Lominger Limited Inc.
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of comprehensive approaches transforming international civil-military interactions (p. 161).
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Case No. IT-94-1, A.C., 2 Oct. 1995.
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a comprehensive approach. PRism, 4(2), 17.
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education and training. Canberra: Australian Defence College.
Chapter 6
Obtaining Population Centric Intelligence:
Experiences of the Netherlands Military
Presence in South Afghanistan
6.1 Introduction1
1
This chapter contains edited material from Martijn Kitzen, Close Encounters of the Tribal Kind:
the Implementation of Co-option as a Tool for De-escalation of Conflict The Case
of the Netherlands in Afghanistans Uruzgan Province, Journal of Strategic Studies 35:5 (2012).
2
The situation in Afghanistan, with the Pakistan border areas providing a safe haven for the Taliban
in Afghanistan, would in this framework partly explain the mixed results of the military interven-
tion in Afghanistan and the failure of the population centric approach in the eastern parts of the
country. Afghanistan (or any other part of the world) is not an island isolated from the rest of the
world, and the population centric approach is affected by open borders, media contacts, mobile
phones, digital information streams etc.
M. Kitzen (*)
Netherlands Defence Academy, Breda, The Netherlands
e-mail: MWM.Kitzen.01@NLDA.NL
W. Vogelsang
University of Leiden, Leiden, The Netherlands
effectuating collaboration, the stronger the control over the population, and, conse-
quently, the weaker the position of the destabilizing actors. As such, enhancing
collaboration between the government and the population is regarded to be the main
mechanism for stabilizing a country.
Against the background of this population-centric approach, the campaigns in
Iraq and Afghanistan have shown that modern military forces often find themselves
operating in an extremely difficult human terrain. They are, literally, foreign, or
even alien actors who are assisting host nation governments, often with a questionable
administrative and humanitarian record, in the quest for control of highly fragmented
societies. These complicated circumstances urge for a customized approach, in
which a strategy to enhance collaboration takes the local situation as its starting
point. During both the intervention campaigns in Iraq and Afghanistan, the local
arena proved to be dominated to a large degree by local power holders, including
tribal elders, religious leaders, militia commanders and warlords, but also govern-
ment appointed functionaries, often with a local background. Therefore, the applied
collaboration strategy focused on these local power holders, who commanded the
high ground of the human terrain at grass roots level. By effectively engaging such
key leaders, the intervening forces were often able to influence and, to a certain
degree, control the people supporting or depending on these agents.3
This chapter addresses the challenges of practicing a collaboration strategy in
modern military interventions. More specifically it focuses on the way international
armed forces gather intelligence in order to better understand local power holders.
As the ramifications of this highly localized approach can best be understood by
studying its application within a specific locale, the authors focus on the implemen-
tation of this policy by the Netherlands Task Force Uruzgan (TFU), which operated
between 2006 and 2010 in South Afghanistans Uruzgan province. This mission
was from its very beginning, clearly within the context of the theme of population-
centric strategies, aimed at fostering stability and security through augmenting
the local populations support for the Afghan authorities, while diminishing support
for the Taliban and related groups through non-kinetic (i.e. non-violent) engagement
of the population predominantly.4
3
Although this straightforward depiction of local power holder collaboration is highly simplified,
the limited scope of this article does not permit a wider elaboration on the background of this logic.
A theoretical exploration of the validity of the local power holder collaboration hypothesis is
included in Kitzens forthcoming doctoral dissertation.
4
Tweede Kamer, Kamerstuk 20052006, 27925, no. 193.
6 Obtaining Population Centric Intelligence: Experiences of the Netherlands 79
social and political opportunities and tensions, and the key leaders who exert control
over the population, or those who are thought to be able to do so. But the actual
engagement with the local people, and more specifically their leaders and spokesmen,
requires not only an insight into the specifics of local political relations, but also the
skills to influence these politics, a realization of the strengths and weaknesses of the
intervening forces in achieving this objective, and a monitoring process of the effect
of the engagement activities on local developments.
Defining military interventions within the terms of collaboration with the local
population is, on paper, relatively straightforward and understandable, but in
practice it is wrought with some often unexpected challenges, which often relate, as
briefly outlined above, to the knowledge and skills of the engaging actors and those
of the intervening forces in general. In Iraq and Afghanistan, the Netherlands
military were engaged in complex campaigns, which sought to obtain control over
the local population through a threefold approach of enhancing security, stimulating
economic and social development, and thereby mobilizing political support for the
counterinsurgency.5 For the traditional military, trained to fight an enemy on the
battlefield, the population-centric approach required not only a different mindset,
but also a change in operational concepts and the required organization.
It is evident that with the population as the centre of attention of the military
intervention, intelligence should also focus on the local people. Modern military
interventions thus require population-centric intelligence, rather than exclusively
enemy-centric intelligence (although the latter is certainly needed in support of
security operations). Todays soldiers as well as deployed civilians have to know
the indigenous people in a way not required by conventional operations (Zeytoonian
et al. 2006). Thus, in many contemporary military interventions, intelligence equals
a population-focused, detailed understanding of all aspects of the environment
(Kilcullen 2010). This typically encompasses information on various cultural
aspects of daily life, demographics, social and political networks and other forms of
organizations, local religions and languages, the perception held by the local people
of the outside world, the school curriculum, their history and their understanding of
their history, and even the likes and dislikes of, and among various important
leaders in the area. Much of this required information can be obtained through a
thorough ethnographic study of local culture and the local population. Much is also
cumulative, and the longer the intervening forces, and some of their representatives,
stay in the same area, the more knowledge may be obtained. It is this local intelli-
gence that serves to solve the first puzzle of the collaboration strategy, namely
identifying local power holders who might enhance the governments control over
the population.
To illustrate the complex environment in which military forces operate nowadays,
we will next introduce the context of Uruzgan province to which the Dutch military
were deployed from 2006 to 2010.
5
The term 3D (defence, development, diplomacy) approach is also commonly used.
80 M. Kitzen and W. Vogelsang
6
The percentages are estimates in relation to the total population.
6 Obtaining Population Centric Intelligence: Experiences of the Netherlands 81
much younger fighting men. They became the local mujahedin commanders who
actively fought the communist regime and their Soviet allies. The local people, with
the demise of the State of Afghanistan and the civil war, was forced to turn to these
local commanders for their own protection. Since the fall of the communist regime,
these commanders, who are often, but certainly not always, organized along tribal
or sub-tribal lines, have become very influential power holders in the province. As
the different commanders each controlled specific areas and maintain their own sup-
portive networks, Uruzgans society suffered from a large degree of fragmentation.
The result was a chaotic situation in which commanders fought against or alongside
each other depending on what best served their interest. The period of Taliban rule,
between 1994 and 2001, much restricted the power of many commanders, but the
fall of the Taliban soon led to their rise to power again. This situation has improved
during the last few years, but still prevails in many parts of the province.
Local Commanders
The Netherlands military and civilian leaders understood the political dynamics of
Uruzgan province as they successfully lobbied for Jan Mohammed to be replaced
before the start of TFU operations (TLO 2010).7 When the Dutch first deployed to
Uruzgan in March 2006, a new governor was installed while Jan Mohammed
was removed from office and appointed advisor to President Karzai in Kabul.
The insights that enabled this move were mainly obtained through the work of the
Netherlands embassy in Kabul. In order to enhance the understanding of the
province the embassy had hired an Afghan NGO, the Tribal Liaison Office (TLO),
to conduct ethnographic field research in May and June 2006 (De Jong 2007).8 This
work culminated in the Civil Assessment of Uruzgan province, which includes a
detailed context analysis of the local social and political environment (Royal
Netherlands Embassy in Kabul 2006). The reports contains fine-grained informa-
tion on the tribal divides, sources of conflict in the different districts and individual
power holders. The TFU was therefore informed to some degree about Uruzgans
societal landscape upon their deployment in 2006. An early report by the Dutch
military intelligence service concurred with the civil reports and clarified not only
the divide between Ghilzais, Panjpai Durranis and Zirak Durranis, but also contains
information on tribal and other conflicts, and warns of the influential Popalzai
network of (former) governor Jan Mohammed (MIVD 2006).
Applying Information
Proper intelligence of Uruzgan was important, but using this intelligence properly
was even more pivotal. Here problems emerged. Despite the fact that the first TFU-
commander, Colonel Vleugels, stressed the need for a population-centric approach,
the intelligence section was still optimized for gaining and processing enemy-
centric intelligence (Smeenk et al. 2007). Also the emphasis of TFU daily affairs lay
on kinetic operations against the Taliban, a situation that would last until 2007
(Arins 2010a). The potential of the Civil Assessment and other reports on
Uruzgans societal context remained largely unexploited. The Dutch military needed
time to adapt to the challenges of population-centric counterinsurgency warfare.
With the benefit of hindsight the conclusion can be made that the Ministry of
Foreign Affairs, which took the initiative for the Civil Assessment, could have
accelerated this process by adding a sufficient number of civilian experts to the TFU
7
See also: Tweede Kamer, Kamerstuk 20052006, 27925, no. 213.
8
See also: Tweede Kamer, Kamerstuk 20052006, 27925, no. 221.
6 Obtaining Population Centric Intelligence: Experiences of the Netherlands 83
staff. Initially, however, only two diplomats, a political and development advisor,
were dispatched to support the military in Uruzgan.9
The integration of an understanding of local society in the military intelligence
process and operations took a positive turn when a civilian tribal advisor was
appointed at the end of 2006. This advisor, with years of experience in Pakistan and
Afghanistan, however, sometimes perceived stiff resistance when trying to change
the military mindset.10 The adaptation process was catalyzed by the so-called Battle
of Chora in June 2007, when Barakzai and Achakzai tribal militias joined the Dutch
military in deterring a massive Taliban attack. This was partly the result of advice
from the staff of the TFUs Provincial Reconstruction Team (PRT) and the tribal
advisor and clearly proved the benefits of collaboration with local power holders.11
Meanwhile civilian and military capacities were subjected to a process of further
integration and the civilian staff was gradually increased. In 2008 the total number
of civilian staff was increased to 12 (including the replacement of the tribal advisor
by two cultural advisors, a Leiden University scholar with a long experience in
Afghanistan, and a Dutch-Afghan national (Arins 2010a)) and it was also decided
that the TFU from then on would be commanded by a duumvir of the highest ranking
diplomat, the senior civil representative, and the military commander. This
guaranteed integration of military planning with social and political analyses, and
enhanced the understanding of the operational environment.12 The consequences of
these measures were illustrated by Michel Rentenaar, who served as TFU senior
civil representative from August 2009 until January 2010, when he stated that the
emphasis of TFU operations had indeed shifted to non-kinetic operations and that
engagement of local power holders in order to secure the populations collaboration
had become a common practice for TFU soldiers and civilians (Arins 2010b). The
Dutch task force gradually learned to appreciate and use the population-centric
intelligence that had already been available in 2006. Moreover, in addition to the
civilian experts also military intelligence officers became more proficient in the use
of ethnographical data and methods.13 The identification and monitoring of local
leaders and solidarity networks, necessary for cooption of those power holders, thus
became embedded in TFUs overall intelligence picture.
9
Tweede Kamer, Kamerstuk 20052006, 27925, no. 201, 46.
10
Anonymous tribal advisor interviewed by author, The Hague, March 1, 2010.
11
Commander PRT-3, Colonel Gino van der Voet interviewed by author, The Hague, March 9,
2010, and Anonymous PRT-3 staff officer interviewed by author, Wezep, September 21, 2009.
12
Tweede Kamer, Tussentijdse Evaluatie ISAF 2008, annex of Kamerstuk 20082009, 27925, no.
357, 3334.
13
It has to be mentioned that throughout the mission there was only one dedicated military human
factors analyst in the TFU staffs vast intelligence section. Typically this would be an academically
schooled junior officer. When the awareness on the importance of population-centric intelligence
grew, also other intelligence officers became involved with so-called white plate (population-
centric) intelligence.
84 M. Kitzen and W. Vogelsang
It has already been made clear that in order to attain the intervening forces military
objectives, a proper understanding of local society is an absolute necessity. But this
knowledge should also lead to proper conduct. Stories in Afghanistan abound,
although perhaps sometimes apocryphal, about the foreign military conducting
themselves in a manner that completely goes against local norms and values.
Military using abusive language, drinking alcohol, contacts between men and women,
women going around scantily dressed (in the eyes of local people), are conduct that
does not always help the peace keepers/enforcers to attain their objectives. But there
is far more than that: as said, knowledge of local culture, history, religion, the
languages, but also societys perception of the surrounding world, peoples interpre-
tation of their history (which may be very different from what the non-local military
has been taught at school), are all very important in understanding society at large.
When talking with representatives of the area of deployment, one should know the
meaning behind the words that they are using. The word democracy, for instance,
reminds many elderly Afghans of the military from various peoples democratic
republics that supported the Soviet Union in the 1980s. Democracy, to them, has a
very different meaning than it has for the European or American soldier.
Understanding and adjusting to local culture is one thing; it is also absolutely vital
to understand the local perception of the intervening forces. Not only to win the
hearts and minds, but it is vital to step into the shoes off the local people, to try to
understand the world from their position. Does local society see the intervening
forces as liberators, occupying oppressors, land grabbers, do-gooders who can be
cheated, and want to be cheated? Often local society is divided in their perception
of the outside forces, so the question arises as to which part of local society regards
the foreigners as what? Equally important is the realization, with the local people,
that the intervening military may not always be a homogeneous group. In the
perception of local society, the foreigners may at first be all identical, but very
soon they will realize that the various nationalities that make up the (mostly)
international peace keeping/enforcing forces, are themselves very different, and
may have their own rules of engagement, their own particular backgrounds, and
different approaches to the challenges that are being faced. In other words, just like
the foreigners have to learn about local culture, local society is also faced with a
military with different backgrounds and different cultures. In Afghanistan, the
British were often regarded by local society against the background of the so-called
Great Game in the nineteenth century, when the British and the Russians vied with
each other for control of the Afghanistan mountains. Hence some Afghans regarded
6 Obtaining Population Centric Intelligence: Experiences of the Netherlands 85
the British after 9/11 with some suspicion, thinking they intervened in the country in
order to exact revenge for three wars that they fought with the British many years ago.
Communication
There are of course many ways of communication with the local population: radio
and television can, and will play a role, but there is also the direct interaction
between the military patrols and the local residents. The boots on the ground, and
this should never be underestimated, play an important role in the perception of the
local people of the intervening forces. But there is also direct, and more organized
interaction with representatives of local society. This may also take different forms.
There may be direct interviews, casual meetings, telephone conversations. There
may be meetings with traditional leaders, warlords, state installed functionaries,
farmers and craftsmen, but also local civil society, including NGOs, doctors, nurses,
teachers, judges etc. There may be meetings with men, women and children. There
may be meetings with different ethnic groups from within local society, with rich
and poor, young and old, with people long settled in the region and with people
whose family only recently immigrated into the area. In talking with all these differ-
ent people, it is very important always to bear in mind their background, their role
and position. This helps to understand what they are saying. It often helps to observe
how the interviewees behave, how they are dressed, whether they come alone or in
the company of others, whether they come armed or not.
Transparency in Communication
Interpreters
In most situations the intervening forces will make use of interpreters. In many
cases they are locally recruited; in other cases they may derive from elsewhere,
sometimes from the same country as the intervening force. They often constitute the
connecting link between the local representatives and the military forces. They not
only translate words, but they are, ideally, in doing so also interpreting the meaning
of words, phrases and gestures (see e.g. Van Dijk et al. 2010). What is important
though is that the role and position of the interpreter are made very clear right from
the start. Unless otherwise agreed, he/she should be translating and interpreting, but
not actively partaking in the conversation. Of course sometimes the interpreter may
give his/her own views of the situation, but care should be taken that this does not
occur during the interview, but before or afterwards. Again, everything is percep-
tion, and the background of the interpreter, whether locally recruited or not, does
affect the communication with representatives of local society. In Afghanistan, with
its many ethnic groups, an interpreter from another ethnic background than the
interviewee, may seriously hamper the atmosphere of the interview. And even with
the best of intentions, the interpreter may also harbour his or her own perceptions of
the interviewee, and consciously or not, this may affect the translation and the out-
come of the conversation.
In modern practice and literature, the concept of what came to be called key leader
engagement has played an important role in modern peace keeping and peace
enforcement operations. The idea, as outlined earlier in this chapter, is that certain
6 Obtaining Population Centric Intelligence: Experiences of the Netherlands 87
people in local society play an important role, be it because of their prestige and
ancestry, their wealth, their (armed) following, their education, their official status,
etc. By engaging these key leaders, the intervening forces hope to have an efficient
and direct way to communicate with the people at large. Within this concept, it
should be realized that such an approach often goes against the Western concept
of what we regard as democracy; the key leaders are often not elected functionaries;
they sometimes base their importance on antiquated concepts of ancestry. Or they
are important simply because they are warlords or militia leaders who know how to
use violence, and often do not hesitate to do so. They may also be distinctly unlike-
able, corrupt, or otherwise unfavourably viewed by outsiders. So by engaging these
key leaders, the intervening forces may act against what often is their main objec-
tive, namely bringing and strengthening democratic structures. It should also be
realized that by engaging key leaders, the interviewer may raise the prestige of the
interviewee, and this may not always be the desired outcome. Talking with a key
leader with a bad reputation, will also not enhance the prestige of the intervening
forces, and may even have a negative effect on the general course of events. In other
words, developing a key leader engagement programme requires a carefully
balanced and discussed policy. Sometimes not talking is also an option.
6.6 Conclusions
References
Arins, H. (2010a). Dutch Approach klinkt nogal zelfvoldaan [Dutch approach sounds kind of
smug]. Internationale Samenwerking [International Cooperation], 201001.
Arins, H. (2010b). Interview Michiel Rentenaar. Internationale Samenwerking [International
Cooperation], 201003.
Dam, B. (2009). Expeditie Uruzgan, De weg van Hamid Karzai naar het paleis [Expedition
Uruzgan, Hamid Karzais road to the palace]. Amsterdam: Uitgeverij de Arbeiderspers.
88 M. Kitzen and W. Vogelsang
De Jong, A. (2007, April 7). Het Schijngevecht met de Taliban [The appearance of a fight with the
Taliban]. NRC Handelsblad.
Giustozzi, A. (2008). Koran Kalashnikov, and laptop, the Neo-Taliban insurgency in Afghanistan.
New York: Columbia University Press.
Kilcullen, D. (2010). Intelligence. In T. Rid & T. Keaney (Eds.), Understanding counterinsur-
gency, doctrines, operations and challenges (pp. 141159). London: Routledge.
Militaire Inlichtingen en Veiligheidsdienst (MIVD). (2006). SupIntrep Afghanistan, Stamverhoudingen in
Uruzgan [SupIntrep Afghanistan, tribal relations in Uruzgan]. Unpublished report. The Hague: MIVD.
Royal Netherlands Embassy in Kabul. (2006). Civil assessment. Kabul: Royal Netherlands
Embassy in Kabul.
Schmeidl, S. (2010). The man who would be king: The challenges to strengthening governance in
Uruzgan. The Hague: Clingendael.
Smeenk, B. J. E., Gouweleeuw, R. W. G., & Van der Have, H. C. (2007). Effect gebaseerde aanpak
in Uruzgan. Van het schaakbord naar een bord spaghetti [Effects based approach in Uruzgan:
From chess-board to plate of spaghetti]. Militaire Spectator, 176(12), 550559.
The Liaison Office (TLO). (2010). The Dutch engagement in Uruzgan: 20062010. Kabul: TLO.
United States Institute of Peace, U.S. Army Peacekeeping and Stability Operations Institute.
(2009). Guiding principles for stabilization and reconstruction. Washington: United states
Institute of Peace Press.
UK Ministry of Defence. (2009). Joint doctrine publication 340, security and stabilisation: The
military contribution. Shrivenham: The Development, Concepts and Doctrines Centre.
US Department of the Army. (2008). FM 307, stability operations. Washington: Department of
the Army.
Van Bijlert, M. (2009). Unruly commanders and violent power struggles. In A. Giustozzi (Ed.), Decoding
the new Taliban, insights from the field (pp. 155178). New York: Columbia University Press.
Van Dijk, A., Soeters, J. M. M. L., & de Ridder, R. (2010). Smooth translation? A research note on
the cooperation between Dutch service personnel and local interpreters in Afghanistan. Armed
Forces & Society, 36(5), 917925.
Zeytoonian, D., et al. (2006, SeptemberOctober). Intelligent design, COIN operations and intel-
ligence collection and analysis. Military Review, 3037.
Chapter 7
Civil-Military Planning
Philip Shetler-Jones
the assertion that a major military development, or the plan for one, should be a matter
for purely military opinion is unacceptable and can be damaging. Clausewitz VIII: 6B.
7.1 Introduction
Planning is merely thinking ahead. All organizations plan, but not in the same way.
Mostly differences in the approach to planning reflect differences in organizational
type, specialist function, working culture and resourcing. Some of the differences in
how civilian and military1 organizations approach planning can complicate interac-
tion, but engaging with civilians on planning can also be one of the most rewarding
areas of civil-military interface. This is because planning when it is done prop-
erly opens peoples minds to the wider context. Planning forces us to clarify what
we really want and understand how our organisations objectives relate to higher
intent and subordinate activity. Planning compels us to accept factors that limit our
activities and their impact, prompting us to explore partnerships that offer a way
around obstacles.
Recent doctrinal innovations such as Effects Based Operations, Systemic
Operational Design and the Comprehensive Operations Planning Directive (COPD)
that have informed military approaches to planning in recent years require a better
1
For the purposes of this chapter civilian is shorthand for civilian employees of the three institu-
tions you are most likely to come into contact with in the field: (i) government (e.g. foreign service,
development agencies); (ii) the UN, both the Secretariat departments dealing with peacekeeping
and political affairs, and the UN specialized agencies dealing with development, human rights, etc.
and; (iii) Non-Governmental Organizations (NGOs) and other organizations like the Red Cross,
Red Crescent.
P. Shetler-Jones (*)
Honarary Research Fellow, University of Sheffield, UK
e-mail: philipshetlerjones@gmail.com
Military Planning
Military planning has evolved into a form that fits a very specific functional niche:
the attainment of victory in war. The demands of its evolutionary context explain
some of the characteristics described below.
Military planning prioritizes the enemy as an object of understanding, influence
and coercive action.2 Considering that the status of the enemy largely determines the
success or failure of the military operation, this focus is hardly surprising. However,
it can narrow down the appreciation process such that the planner seeks to under-
stand the various aspects of the environment only in terms of how they relate to the
enemy and his critical vulnerabilities. Fixation on the enemy can hinder a full
understanding of the other factors that have the potential to deliver defeat.
By acknowledging (enemy) human agency, military planning is structured to
take account of uncertainty particularly in terms of the developments that stem
2
Military action is based largely on denying or degrading the options available to the enemy, but
civil-military cooperation and the need to be people centric must be based on the reverse it needs
to be based upon opening up the options available to civilians, not just the beneficiary communities
but also allies such as UN agencies or NGOs (Shirreff 2010: 78).
7 Civil-Military Planning 91
from the enemys vote.3 Perhaps because of this acceptance of uncertainty, military
planning is less an organizational process for producing a plan, in the sense of a
document that narrates a linear problem-solving approach, and more an intellectual
activity for exploring and rehearsing ways to manage uncertainty and adapt to a
dynamic situation. This principle (sadly not always observed in practice), is recorded
in a famous military maxim on planning attributed to General Dwight D. Eisenhower
that the plan is nothing; planning is everything.
The military invests time and resources in training and practicing planning as a
distinct skill-set, and has developed a standardized planning process. While this
standardization is highly effective in achieving collaboration across military organi-
zations, it may lead to a conservative and exclusionary mind-set that is not condu-
cive to smooth interaction. If a sense of military superiority in planning feeds a
derogatory attitude toward or rejection of non-military approaches, it becomes a
form of elitism that hinders civil-military interaction.
In seeking advantage over a human object (the enemy), military planning deals
with gambits such as bluff and surprise. Consequently, it must preserve a degree of
secrecy, which can give it a somewhat exclusive character. Mechanisms designed to
ensure operational security (OPSEC) may have the unintended consequence of
blocking the flow of important information about the non-military world.
The desire to make use of surprise, the strain of sustaining intense effort and
other factors combine to create a sense of urgency around the initiation and comple-
tion of military action, and an equivalent sense of urgency around military planning.
Military planning is not unique in privileging speed. The same may be said of some
types of civilian planning, e.g. for emergency humanitarian response. However, in
general, military planning will always be driven to proceed briskly so as to give the
commander the advantage of responding faster than the enemy.
Civilian Planning
3
The old adage no plan survives contact with the enemy is a reminder of essentially the same
point.
92 P. Shetler-Jones
Given this concern for resources and efficiency, many civilian actors adopt a
style of planning that is strongly influenced by the science of business manage-
ment. This program management style is characterized by the following elements:
(i) goals of achievement are graduated against an assessment of needs factored
against assumptions of available resources; (ii) a theory of change is developed to
situate activity within a long-term narrative of cause and effect; (iii) continuous
measurement of progress to enable course correction (monitoring); (iv) an up-front
agreed system of evaluation (results-based budgeting, benchmarks, etc.) structures
efficiency and identifies completion. This approach is prominent in both NGO and
development agencies styles of planning.
When it comes to civilian planning in government, there is a growing movement
to enable cross-departmental planning, although much stove-piping remains
(Wittkowsky and Wittkampf 2013, 1). Some governments have established mecha-
nisms to support a more coordinated approach to over-arching national objectives,
such as a National Security Council. The UKs stabilisation unit serves in this
context to relate the planning of the Ministries of Defence, International Development
and Foreign affairs where their work overlaps. As with NGOs and UN Agencies,
budgetary factors and cycles are a strong influence on the motives and methods
for planning.
Early peacekeeping operations (PKO) that carried out truce supervision and
interposition were military operations planned by diplomats and former military
staff officers. Later, the Department of Peacekeeping Operations (DPKO) at UN
Headquarters in New York established a standing office of military planners, but
they are responsible only for planning the military aspects of a mission. The non-
military tasks that grew on to PKO (DDR,4 election monitoring, Policing and Rule
of Law, etc.) are planned by civilian staff who may have limited formal training as
planners. All of the various component plans are wrapped up into a Mission Plan
by UN civilian staff with varying levels of planning training and experience.
For most of the UNs history, the various departments and specialized agencies
that make up the UN family managed their own plans in isolation. The growth in
complex interventions in the 1990s (where the UN ran peace and security missions
alongside large scale humanitarian and development programs) led the UN to
develop an integrated approach to planning, similar to the comprehensive
approach in other organizations (NATO, EU). The original intention was to impose
a planning hierarchy under the lead of the UNs diplomatic and security offices.
However, by opening up mission planning to the wider UN family, the old military/
diplomatic style of planning has been influenced by the program management
approach favored by humanitarian and development organizations.
All across the UN and beyond, operational planning is increasingly being
conducted in the context of some kind of higher framework. These frameworks may
be scaled globally, as with the Millennium Development Goals,5 or regionally, as
4
Disarmament, Demobilization, Reintegration.
5
In September 2000, building upon a decade of major United Nations conferences and summits,
world leaders came together at UN Headquarters in New York to adopt the UN Millennium
7 Civil-Military Planning 93
with the UN or EU regional strategies (e.g. for the Sahel). These frameworks also
exist sometimes in competing forms on a national scale. Examples include the
UN Development Assistance Framework, the World Banks Poverty Reduction
Strategy Papers, and the UNs Integrated Strategic Framework or Peacebuilding
Strategies intended to foster peace consolidation. The impetus for these frameworks
comes from a desire for coherence and greater efficiency from the larger donors.
In order to overcome institutional self-interest and stove-piped planning they offer
the incentive that operational plans corresponding to these frameworks are more
likely to attract funding. What these frameworks all have in common is that they
provide a starting point and a guide for operational planning by presenting a broadly
agreed assessment of the situation, a list of priority areas for action and a framework
for measuring and communicating progress.
Similarities
The decline of state-on-state conflict means that the individual human being or
group (be they the enemy or the beneficiary) is increasingly the common denomina-
tor for military, as well as humanitarian and development action, and for planning
across the civil-military spectrum.6
Military and civilian planners both employ the concepts of ends, ways and
means, but dressed in different jargon. Civilian planning processes sometimes use a
theory of change in the form of a narrative describing the transformation that is
envisioned in the conflict or host society/economy, and programmed efforts are
justified on the basis that they make a contribution to this idealized process.
Actions (enabled by inputs) are linked to outputs, results and outcomes in a logical
framework or log-frame, with progress from a baseline measurement being
tracked by a set of indicators (see e.g. EU Integration Office 2011). Likewise, the
NATO standard military planning process produces a linear narrative punctuated by
a sequence of decisive conditions along lines of effort that converge in an end-
state. The theoretical supposition being that if we take actions to achieve the right
Declaration, committing their nations to a new global partnership to reduce extreme poverty and
setting out a series of time-bound targets with a deadline of 2015 that have become known as
the Millennium Development Goals.
6
This observation is related to the emerging concept of human security, which takes the human
being, rather than the state, as its referent object and conceives security as a combination of condi-
tions (freedom from want, freedom from fear) experienced by the human being. The UN General
Assembly offered a definitive description of Human Security in Resolution A/RES/66/290 (25
October 2012).
94 P. Shetler-Jones
supporting effects, the decisive conditions will be met and we will arrive one day
at the end state.
Both military and civilian planning at the tactical and operational level are
nested in higher-level planning frameworks. Whereas military planning is tightly
nested in a hierarchy with formal guidance cascading down each level of command,
civilian planning is more loosely connected to overarching strategies and frame-
works mentioned above. Plans at the local or country level may take the analysis
and objectives identified in the higher plan as a point of departure, gaining coher-
ence and attracting donor approval as a result. Individual organizations will then do
their own plans for discrete sets of action that refer back to these higher levels of
planning.
Both military and civilian processes are secretive, meaning that they take care to
keep the process and sometimes the product of planning out of the public eye. While
the intention of military secrecy is (ostensibly) to preserve the element of surprise,
civilian planning may be similarly guarded in order to maintain the independence
and objectivity of the process and protect it from the corrupting influence of external
interests on the organizations norms and identity. In either case, legitimate motives
for secrecy may also be mixed with a less honorable desire to avoid accountability
(in case the plan goes wrong).
Generally, both civilian and military organizations have a desire to only present
the conclusions of the planning process, so as to encourage a rigorous exchange of
views within the organization while ensuring unity and clarity once the course has
been set.
Differences
While both forms of planning focus on the human element, military planning is
mostly about finding ways to remove from the enemy the will or capability to resist,
and most civilian action is aimed at restoring material conditions and freedoms to
the individual. No surprise then that friction arises in civil-military relations when
planning objectives are in contradiction over differential treatment of an individual
or group that has been designated as the enemy.
Civilian efforts to address the cause or the symptoms of deprivation will take a
considerable amount of time and involve dealing with a vast range of actors whose
cooperation may not be readily forthcoming, and so need to be persuaded. Military
actions are planned on the expectations of achieving a decisive result as quickly as
possible. Speed and consent are therefore related issues in producing some of the
differences between military and civilian planning styles:
The reality is that the decision-action cycle of a military headquarters is tighter, faster, more
efficient but more short-term than both the political/diplomatic decision-action cycle
which sets the context in which the military operate and must therefore serve and the devel-
opmental aid and reconstruction decision/action cycle which will ensure the long-term and
durable success of the mission. (Shirreff 2010: 7)
7 Civil-Military Planning 95
Civilian planning is also slower because it takes time to build internal and external
consent. Civilians need for internal consent is greater to the extent that they have a
less authoritarian working culture. Because they cant rely on coercion they build
external consent the slow way using persuasion and compromise. This approach
calls for a more generalist, holistic kind of planner and a more drawn-out discursive
style that is a hybrid of planning and coordination. At its worst, it can look like
planning by committee.
Disciplined hierarchy is a part of the stereo-type of military organizations and
culture, but civilian organizations are rarely less hierarchical than the military, even
if it is not always apparent from the way they behave. More nuanced expressions of
rank and a general pretense of informality belie the fact that the members of civilian
organizations any hardly less aware than their military counterparts of who is in
charge of whom. There are some reasons for civilian organizations especially
when they are working together to avoid explicit markers of hierarchy. One stems
from a desire to avoid exposing differences in motivation and principles that guide
their work. For example, humanitarians are guided by the principle of need, and
development specialists by the imperative of bringing people out of poverty, while
the civilian actors in political affairs are concerned with stability or influence over
power relations. In such a situation, clear signs of an internal hierarchy might spoil
a comradely ethic that all are working to the same goal. Worse, finding a place in an
external hierarchy alongside partners would mean deciding that the identified
needs trump political expediency, or that the redress of Human Rights abuse could
somehow be subordinated to other goals. Explicit signs of hierarchy would under-
mine other cherished ethics that inform the identity of many civilian organizations,
such as egalitarianism, cooperation, volunteerism. These may be traced back to the
origins of many civilian organizations, which started as charities, volunteer groups
or faith-based organizations.
Differences in goals and orientation of values explain why many issues are best
dealt with by different organisations with different mandates. Only when confront-
ing these issues with each other, as in the UNs Integrated Planning Concept, does
it become apparent that there can be no absolutes in the political reality. In the
military, this issue is avoided by presenting the organisation as a neutral toolbox, to
be used by the political leadership for whatever purpose it sees fit. The suggestion
given is that the military and their actions are inherently neutral. Differences of this
sort are often related to more mundane divergence (or even competition) in sources
of funding and authority. Taken together, these factors may go some way to explain-
ing why civilian actors prefer the language of cooperation and coordination to
that of command and control. A tacit recognition of the actual hierarchy may be
accepted only on the condition that all collude in a face-saving act that down-plays
it as much as possible.
The role of the commander in the military approach to planning is perhaps one
area where the military form of hierarchy has a distinct effect on the planning pro-
cess, even if the nature of this effect depends a lot on the talents of the commander
in question. In some cases, a staff may find their commander does not like to be
second-guessed, with the result that their planning becomes rather linear and rigid.
96 P. Shetler-Jones
On the other hand, the position the commander enjoys can offset the hazards of
standardization by enabling the injection of a healthy dose of intuition and creativity
into what can be a rather mechanical process.
Many military organizations have adopted a common or very similar approach to
planning, and reproduction of the NATO model through training and exchange is
widespread. Civilian planning is more functionally diverse and contingent on its
own unstable variables (e.g. donors and implementation partners such as govern-
ment or NGOs). Civilian entities are likely to employ an intuitive style of planning,
that relies more on the qualifications of the staff involved than on a common system
or doctrine of planning that would require shared experience in training and exer-
cises. There is reluctance (related to points above on hierarchy) to impose a one
size fits all approach onto a diverse range of partners and broad acceptance of the
level of knowledge and planning experience that people bring to the task at hand.
The military spends a considerable amount of time and effort on training and
exercises, including planning, but civilian agencies hardly ever do either (Rietjens
et al. 2013). Comparing planning in the UN and NATO offers a representative con-
trast. Planning in NATO evolved on a tradition of preparing for an operation that
never happened (resisting Warsaw Pact aggression). Planning in United Nations
Peacekeeping is built on a tradition of constantly launching operations for which
no-one had prepared. So while the UN relies on experience, for a long time NATO
had no choice but to rely on exercises. In order to avoid political sensitivities,
NATO often develops imaginary scenarios instead of practicing on real places.
This requires the elaborate construction of fake countries, complete with maps and
quantities of other information describing friendly and unfriendly armed forces, the
people, their culture, economy, society, history, etc. Unlike a real life situation,
knowledge about these things cannot be found in a normal way. You cant call up a
regional expert from a university or go on Google or Wikipedia to find answers to
your questions on Redland. You need a database. The military planner whose
training has always been supported by a database will approach a real operational
planning experience in a similar way and expect to use a database. There is there-
fore a tendency when it comes to the early stages of planning real operations, for
military planners to ask is where is the database? Databases contain a fixed
quantity of factual information. Unlike in real life, you will not get contested
information (Professor A believes this, but Professor B believes the opposite. Who
is correct?). A database-dependent planning culture is useful for things like targeting
data, but it can have less capacity to deal with uncertainty when it comes to more
complex issues like political sympathies and third-order effects in societies.
The education and training of military planners differs in several ways from their
civilian counterparts. For example, what is the background of UN staff that become
PKO planners? Some of them have a military background, but most will not.
Their academic background is often at the level of Masters degrees in the social
sciences, with political science and international relations, languages, area studies
7 Civil-Military Planning 97
well represented. University education at this level was designed to train junior
academics, and develop qualities such as critical thinking, argument, communication
and peer review. These habits influence the way people from this background do
planning. To say that academia rewards critical thinking is an understatement you
could almost say it rewards criticism. Academia cherishes doubt as the wellspring
of continuing research. Academics are not expected to know anything with certainty,
and it is entirely possible to make a respectable career just by tearing holes in the
theories and conclusions of others. This has consequences whenever academically
trained planners predominate.7 For example, their instinct would be to question a
fundamental premise rather than make haste towards a conclusion, and this makes
their planning approach more circular than linear. This can be good in that it encour-
ages the interrogation of assumptions about what the mission or aim is, and repeated
testing of ways and means against it. Also, abstract thinking can be a powerful way to
gain an understanding of unfamiliar or unprecedented situations. Military planning
benefits from this because of the need to reconcile two truths about war: (i) Ne Cras:
Not like yesterday, a warning not to try and re-fight the last war (Krulak 2000) and
(ii) Clausewitz fundamental injunction to establish the kind of war on which one
is embarked, neither mistaking it for nor trying to turn it into something that is alien
to its nature.
Differences in how civilians and the military approach information handling can
also be relevant. While military organizations employ a sizeable intelligence staff
(and charge a database for planning), the knowledge used by the UN for planning is
available on the internet or in libraries, and contained inside the minds of its staff.
Due to the global coverage and wide range of functions and programming, UN staff
will have a long-term engagement with the communities and governance structures
in the target country. This gives UN planning teams access to a massive repository
of experience and first hand-knowledge of the countries where it operates and plans
operations. Colleagues across the UN family are a source of up-to date and con-
textualized information and have access to a pool of analysts and planners to draw
upon at short notice. This can be a major incentive driving the UNs integrated
approach.
Military organizations handling of information and knowledge is often condi-
tioned by an enemy/friend logic, which imposes restrictions on gaining, exchanging
and storing information. Civilian organizations are better at using open sources,
perhaps for the simple reason that they are almost entirely dependent on them.
In sum, the planning processes of military and civilian organizations show many
similarities as well as differences. These are depicted in Fig. 7.1.
7
Of course most officers and many enlisted personnel involved in planning are university graduates
or post-graduates, but their military training and working culture probably dilutes the habits of
their academic experience to a much greater extent than their civilian counterparts.
98 P. Shetler-Jones
Military Civilian
Population-
Enemy- centric
centric Human Slower,
Speed of element consent
delivery Ends-ways- based
Explicit means logic Implicit
hierarchy Nesting hierarchy
Jointness Discretion Coordination
Standard Present
approach Diverse
conclusions, approaches
Formal not process On the job
training and
training
exercises
Fig. 7.1 Similarities and difference of military and civilian planning processes
There is growing acceptance of the utility of sharing background analysis, and shar-
ing some information to aid de-confliction between civilian and military operations.
However, joint or integrated planning is likely to remain a bridge too far except
within government planning and a few specialist areas like PKO or comprehensive
Crisis Management Planning as it is being developed in the EU. Having said that,
there is still a lot to be gained from improving interaction in the field of planning.
1. Dont try to control or influence civilian planning, expect to learn from it.
General Eisenhower famously said that the plan is nothing; planning is every-
thing. When it comes to Civil-Military interaction we could say that the integrated
plan is nothing (unfortunately this is sometimes close to being true); but the mutual
understanding and relationships developed through the planning process are
everything.
So long as separate command and control structures are the norm, it is highly
unlikely that you will plan in an integrated way with civilians. It is better to think of
your planning as associated rather than integrated with that of civilians. But
interaction does offer a priceless opportunity to gain a better understanding of your
environment.
Instead of thinking of a battle space shared with the enemy, we should consider a problem
space shared both with the enemy and a wider range of actors. Instead of approaching the
problem space in terms of what can we the military do, we need to ask the question: what
needs to be done? And you cannot begin to understand this question until you understand
the problem and trying to understand it when you deploy is almost invariably too late.
(Shirreff 2010: 8)
7 Civil-Military Planning 99
At worst, you can always see civilian planners as a kind of detached red cell,
which offers alternative perspectives on the situation and ways of addressing it.
2. Know yourself and know our enemy partners
Fears of competition and subordination can poison integrated or associated civ-
mil planning. The best antidote is a clear division of labour. Be clear about your
objectives, and do not stray into civilians field. If they were to pick up a gun and
start shooting, you might object; so will they if you appear to be veering into their
lane. It helps to look to your civilian partners higher planning frameworks for gain-
ing a better understanding of their motives and locating indications of potential
areas of common interest (they are normally publicized).
3. Dont forget the host nation and local authorities.
The integrated or comprehensive approach often pays lip service to the
importance of local ownership, but practice rarely lives up to this rhetoric.
Certainly, engaging with host nation normally civilian authorities carries costs
in terms of extra time, political risks around the legitimacy of local partners, opera-
tional security, pressures to compromise with the agenda of special interests, etc.
However, any attempt to avoid partnership in the planning stage will probably just
result in postponing these problems until a later date, by which time it will be even
harder to reconcile your needs with theirs. Handover to local authorities is almost
always part of an exit strategy, so find a way to engage with local actors early, if only
as a way of gaining some understanding of the problems you might have to face
together later on.
4. Rhythm
It is useful to consider the rhythm to civil-military interface in planning in three
broad phases: the beginning, middle and end of military operations. The two phases
where civil-military interface is most obviously helpful and of mutual benefit is at
the beginning and at the end of military operations. At the beginning, because that
is when the civilian planners already engaged will have a lot of information useful
to military planners. Also at this point, civilians have an interest in beginning a
relationship to the military because they will (if they are thinking strategically),
want to influence the military planning so as to reduce the chances of military oper-
ations getting in the way of their work. At the end of military operations, the plans
and activities of civilian entities become important again, because they are the major
factors in planning the militarys disengagement and exit, and hopefully entrenching
conditions that make it less likely that the military will have to go back again in the
short term. Interface may flag in the middle of operations, because of the tensions
that arise from operating in the same geographical space on the basis of different
imperatives and missions (Collinson and Elhawary 2012). Competition and interfer-
ence can make relations in this phase more difficult to engage as effectively on
planning. Finally, try to understand your partners decision-making cycle and
know when key decision-points are coming up for them (these often coincide with
funding or mandate renewal).
100 P. Shetler-Jones
7.5 Conclusion
References
Maggie Heraty
Acronyms
M. Heraty (*)
Humanitarian Logistician, and Trustee-Director of the Humanitarian Logistics Association,
London, UK
e-mail: maggieheraty@yahoo.co.uk
8.1 Introduction
There is no typical emergency or disaster. Not only do the scale and nature of an
emergency vary, but exactly when it occurs in the cycle of on-going humanitarian
and development aid has an effect on the degree to which civil-military interaction
will take place, as the following examples demonstrate.
8 Just in Time: Civil-Military Logistics 105
1
As response to the Sri Lankan tsunami grew, hundreds of international and foreign bilateral agen-
cies registered with the Government, in addition to thousands of local NGOs and other groups.
2
In rare cases, the opposite situation occurs: during the initial response to the tsunami in Sri Lanka,
there were so many air forces offering assets that humanitarian agencies almost felt obliged to fly
cargoes which could have been more efficiently trucked.
3
In a refugee-related emergency, the Cluster System is usually not activated formally because
UNHCR adopts the coordination role for emergency response. However, there may well still be a
set of inter-agency sector coordination committees and/or meetings which in reality carry out
many of the practical roles of a Cluster in information exchange, data collection, and channelling
requests.
106 M. Heraty
humanitarian program before the disaster. At the time of the Haiti earthquake in
January 2010, few agencies had large scale logistics operations or resources in the
country. Conversely, when the tsunami struck Sri Lanka in December 2004, UNHCR
had already been operating in the country for many years to assist people displaced
by the internal conflict, and had offices and warehouses of aid items in the capital
and in the affected areas on the north and east coasts, as well as some trucking capac-
ity. The agency was therefore able to start providing some assistance the same day.
(continued)
8 Just in Time: Civil-Military Logistics 107
4
Internally Displaced Persons (IDPs) are people who have been forced to leave their homes
but remain within their national boundaries; in contrast, refugees have left their own coun-
try to seek asylum and protection in another. UNHCR was established to provide protection
and assistance to refugees but increasingly has a mandate for IDP situations. See also Chap.
15 by Mougne and Groot, this volume.
The likely demands for logistics-related assistance that can be made to the military
by the national authorities or the humanitarian actors, directly or through the
Logistics Cluster, include:
Security: physical security from the provision of troops for guarding establish-
ments (such as warehouses) and/or escorting convoys; in extreme cases, clearing
of mines and IEDs, both to safeguard movements and to facilitate the return of
displaced people to their homes;
Intelligence, where possible from both sides of borders: both with regard to secu-
rity issues affecting humanitarian operations and also relating to the spontaneous
movement of people (refugees or IDPs);
Data on the condition of roads, bridges, airfields, and seaports: this is an area
where established humanitarian agencies can provide newly arrived military
forces with information, with on-going information sharing as conditions change;
Aircraft handling for large airlifts: from the allocation of slots and air traffic
control, through to the physical management of the airport and supervision of
unloading; e.g. for the Haiti earthquake US forces took over management of Port
au Prince airport at an early stage. Such collaboration has become common in
major emergencies since the UN Mission to Bosnias management of the
Sarajevo airlift (Cutts 1999);
108 M. Heraty
The loan or sale of fuel for aircraft and/or vehicles and vessels, and the safe stor-
age and/or management of fuel owned by humanitarian agencies;
Engineering plant and personnel for rubble clearing, the construction or repair of
roads, bridges and airports, and site clearing for the construction of refugee and
IDP camps;
The temporary or sporadic loan of specialist plant, equipment and other resources:
this includes heavy lift equipment, especially for moving shipping containers,
water tanks, large tented warehouses, and heavy generators;
Assistance in accommodating and/or feeding humanitarian staff in areas where
the agencies do not yet have a presence;
Use of fixed and rotary wing aircraft and vessels for staff and cargo: this may be
on a sub-load basis (e.g. use of spare seats or tonnage on scheduled services) or
the loan of the assets for special flights or sailings for humanitarian purposes;
Trucking: this is the most common first call on military resources.
WFP and UNHCR in particular often have fleets of trucks (owned or on long
term contract), and perhaps ships and boats, or even air services, commonly oper-
ated by UNHAS (the UN Humanitarian Air Service) under the aegis of WFP. Such
resources are often made available to other UN agencies and NGOs, which may, for
example, have their cargoes carried on UNHCRs trucks, particularly where the
goods form part of a UNHCR-coordinated program. Some international NGOs have
their own small truck fleets or long term contracts with private truckers.
Aside from differences in resources, agencies have different attitudes to using mili-
tary assets. The International Committee of the Red Cross (ICRC) and the MSF
(Mdicins sans Frontires) family of agencies, in particular, will generally not have
any involvement at all. There might be a Code of Conduct for Humanitarian
Agencies, specific to the country, which could address, for example, the use of mili-
tary escorts; nonetheless there is some discretion allowed to agencies senior man-
agement especially when the safety of aid beneficiaries and staff is at stake and the
use of military escorts can be deemed to be a last resort. The overarching princi-
ples for the use of military assets in disaster relief were first drawn up 1994 in the
Oslo Guidelines with later revisions (OCHA 2007), more recently summarised in
simple pamphlet form (OCHA 2013).
In insecure locations, UNHCR might request military escorts from the national
military (in the first instance) or foreign forces for convoys, especially those moving
people, while WFP might not request the same for their convoys of food. In no case
will armed elements be allowed to travel inside UN vehicles, and UNHCR would
generally prefer to carry people under its protection in its own trucks, even if it has to
use private or military trucks for other purposes such as baggage and other cargoes,
although one notable exception is described below. One important factor in this respect
is the difficulty of obtaining passenger insurance cover for non-UNHCR trucks.
8 Just in Time: Civil-Military Logistics 109
Sensitivities in this respect need to be recognized from the early stages of civil-
military interaction, especially in dealing with Logistics Cluster meetings where
many agencies with different philosophies may be represented (there were some-
times more than 100 agency representatives at Logistics Cluster meetings in Haiti in
the first couple of months). The Cluster Lead might ask if there is any objection to
military presence (if so, the Chair of the meeting will meet the military representa-
tive separately first or afterwards for briefing). The process of overcoming any prej-
udices is assisted if the military representative wears civilian clothes if possible.
It also needs to be recognized that the UN humanitarian agencies and ICRC can
and do operate in areas where the military cannot, such as rebel-held areas (e.g. in
Sri Lanka, Sierra Leone). The UN has to be discreet about what is fed back to the
military, where disclosure might impact its own operation. ICRC will almost never
disclose anything.
This section discusses the interaction between humanitarians and the military in
Sierra Leone after 1999. It first describes the humanitarian situation, including the
disposition and operations of the aid agencies in the region. This is followed by an
explanation of the background, mandate and operations of UNAMSIL, the interna-
tional force that was set in place in 1999. The third section provides examples of
cooperation between the humanitarian actors and the UNAMSIL troops. The sec-
tion ends with a Conclusions section.
110 M. Heraty
Map UNHCR Sierra Leone Atlas Map 2004, Geographic Information and Mapping Unit,
Population and Geographic Data Section
8 Just in Time: Civil-Military Logistics 111
At the end of 1999, after years of devastating civil conflict, over half a million Sierra
Leonean refugees were dispersed in other countries of West Africa, including
370,600 in Guinea, and 96,300 in Liberia (UNHCR 2000). By September 2001,
271,000 Sierra Leonean refugees had returned to and been reintegrated in their
areas of origin.
The work of the UN refugee agency, UNHCR, at the beginning of the 20002002
period included assisting a few thousand residual Liberian refugees, plus supporting
a slow trickle of Sierra Leonean refugees returning from asylum in neighbouring
countries. There was a build-up of several thousand refugees who had returned
spontaneously to Sierra Leone, mostly from Guinea, but could not be facilitated by
UNHCR to return to and resettle in their original villages, as these were still in rebel
hands; many were being supported as de facto IDPs living in hosting communities
in the south until they could finally start returning home at the end of 2001.
The regional context was extremely complex from both humanitarian and geo-
political points of view with successive foreign military interventions. Both Sierra
Leone and neighbouring Liberia had suffered protracted civil conflicts, which were
ongoing sporadically. Refugees from each country had crossed to the other, and
refugees from both had fled into Guinea, which borders both countries, as well flee-
ing by sea to as other counties along the West African coast (especially Ghana and
Nigeria). Large numbers of Liberian refugees had also crossed into Cte dIvoire
which had been a stable country until the first coup in December 1999. Since 1997
some Liberian refugees had been returning to Liberia from Guinea and, later, from
Cte dIvoire, in UNHCR-organised road convoys, and from further afield by a ship
chartered by UNHCR. By early 2001 the same ship was returning some Sierra
Leonean urban refugees from Conakry in Guinea to the secure areas of Sierra
Leone around Freetown, after spontaneous returns had started taking place in over-
crowded and unsafe private vessels. A small airlift was also arranged by UNHCR at
the request of the President to return the professional classes and their families
(teachers, police officers and the like) who wished to repatriate from refugee camps
in forest Guinea.
UNHCR was planning on opening offices in the north (Koidu in Kono province)
and north-east (Kailahun town in Kailahun province), the main areas of origin of the
refugees in forest Guinea, as well as two (Kambia and Zimmi) nearer the coast and
relatively close to the borders with Guinea and Liberia respectively. Once the offices
were established, the staff based there would organise reintegration works prior to
the return of the refugees, working with NGOs and other agencies to restore some
of the social infrastructure, which had been destroyed in the years of fighting.
The repatriation route from Guinea to Sierra Leone, using main roads from the
forest, passing close to the Guinean capital city of Conakry and entering Sierra
Leone near Kambia, was extremely circuitous and took 5 or 6 days by road, and
utilised enormous trucking capacity, although the refugee camps were very close
geographically to the refugees area of return. Thus one possibility was to devise new
crossings in very remote rural areas where rivers formed the national border, although
112 M. Heraty
the river areas, especially near Kailahun, were under the control of rebel forces.
Clearly a large amount of prior assessment and preparation would need to be carried
out, for which UNAMSIL was asked to provide assistance, as described below.
Shortly after the start of the eventual repatriation operation, an emergency arose
when an outbreak of hostilities in Liberia, around the capital, Monrovia, forced a
new influx of 60,000 Liberian refugees along the coast and into Sierra Leone. Many
crossed in the remote south-eastern corner, where there is a large river bridge with
a paved road into Liberias capital, albeit served by only a virtually abandoned dirt
road on the Sierra Leonean side, leading towards Zimmi. Additionally, significant
numbers of refugees crossed the river by canoe, at several scattered points further
upstream, and hid in the dense tropical rain forest.
Photo: Refugees arriving from Liberia after some temporary shelter had been installed at the
border Photo by UNHCR
There was an immediate need to locate and provide assistance to these new
Liberian refugees, to move them to transit centres for their temporary accommoda-
tion, and to build and equip refugee camps for their longer-term residence.
Sierra Leones infrastructure had been devastated by the protracted hostilities
and years of neglect, exacerbated by the effects of heavy rainy seasons, with dirt
roads making access to the Liberian border very difficult. Very few commercial
trucks were available for hire and few of these could or would venture up-country.
UNHCRs own fleet of four wheel drive trucks was old and clearly inadequate in
size for all the needs of the operation.
With this new emergency overlaid on planned operations which were already
stretching UNHCR logistics resources to near-breaking point, the decision was
taken to invoke the assistance of UNAMSIL which was by then well installed.
8 Just in Time: Civil-Military Logistics 113
Sierra Leone was in civil conflict from 1991 onwards, first involving rebel groups
based in areas bordering Liberia, then followed by an army coup in 1992. The first
international military involvement, from 1991 onwards, was by ECOMOG, the
Military Observer Group of ECOWAS (the Economic Community of West African
States), with the authorization of the UN Security Council.
After diplomatic efforts by the Special Envoy of the Secretary General of the UN
and the OAU (Organisation of African Unity), an election was held in 1996, in
which President Kabbah was elected. The rebels did not participate in the electoral
process, however, and fighting continued until the signature of a peace agreement,
the Abidjan Accord, later that year. Despite the Accord, in 1997 a second military
coup took place in which the army sided with the rebel forces and the President was
driven into exile.
ECOWAS troops were then empowered under a UN Security Council Resolution
to enforce an international oil and arms embargo, and in 1998 they overthrew the
military junta and drove rebel forces out of the capital, so that the President Kabbah
could return to power; the UN Observer Mission in Sierra Leone (UNOMSIL) was
established by the Security Council.
Fighting still continued, nonetheless, and in December 1998 most UNOMSIL
personnel (and UN agency international staff) had to be withdrawn from Freetown.
ECOMOG troops retook the capital but rebel forces remained in control of at least
half of the rest of the country. After further diplomatic efforts, the Lom Agreement
on a cessation of hostilities was signed in May 1999, and included a call from all
parties for an increased role for UNOMSIL.
Accordingly, UNAMSIL was established by Security Council Resolution
1289 in October 1999 with an initial force of 6,000 troops, a figure which was to rise
to 17,500 by March 2001, making it the then-largest UN peace-keeping mission in
the world. The augmentation of the forces followed a serious breach of the ceasefire
by the rebels in 2000 and their taking hostage hundreds of UNAMSIL peacekeepers
and military observers in Kailahun, resolved by unilateral British military
intervention.
The UNAMSIL operation, which continued until 2005, is regarded as a success
story in modern peacekeeping. Its initial mandate, which focused on monitoring the
ceasefire and supporting governance, was expanded in February 2000 under Chapter
VII of the UN Charter to provide security at a wider range of key locations and to
incorporate peace-building measures. Throughout, it was tasked to facilitate the
delivery of humanitarian assistance, to assist the Government in its program of dis-
armament, demobilization and reintegration (DDR) of the rebel forces, and to sup-
port the electoral process. The DDR process dealt with 75,000 ex-fighters, while
half a million refugees and displaced persons were assisted to return home. Other
successful interventions led to better control of the diamond mining industry (which
had been producing blood diamonds to fund hostilities) and the construction of a
wide range of social infrastructure (hospitals, schools, and the like).
114 M. Heraty
Photo: UNAMSIL transport resources greatly outnumbered those of the aid agencies (Photo by
Raffael Ciriello)
The first approaches from the UN community to UNAMSIL were informal and as a
matter of fact no formal agreement was drawn up throughout the period of collabo-
ration. There were disadvantages to this being the case, but at the same time it
allowed for greater flexibility. Each request was considered by the UNAMSIL Force
4
This was before the Cluster system had been put in place but the author initiated interagency
logistics meetings as more and more agencies returned to post-junta Sierra Leone. Initially the
UNHCR Regional Logistics Officer, later relocated to be the Senior Logistics Officer for Sierra
Leone, she was also informally designated UNHCRs military liaison officer, in which role she
requested assistance of all types from UNAMSIL for her own agency and on behalf of others.
8 Just in Time: Civil-Military Logistics 115
Some requests were driven by UNAMSIL having resources which UNHCR did
not, or in places where UNHCR was not yet operating, but many were due to short-
falls in UNHCRs resources due to lack of donor funding, especially with the
impossibility of funding any procurement of new trucks.
Example 1: Accommodation, Security and Engineering Support
The first request to UNAMSIL was for support for a 45 day inter-agency assess-
ment mission to Kono, co-led by OCHA and UNHCR. The mission of 2030
humanitarian agency and government officers would assess everything from the
remaining population in the area (including the numbers of teachers, medical work-
ers, and the like) to the condition of civil infrastructure including roads. UNAMSIL
agreed that the Indian Battalion INDBAT1 based in Koidu would provide accom-
modation for the mission, security escorts, and some of its own engineers and tech-
nical advisors to assist in the appraisal.
The mission drove up to Koidu, the provincial capital, in a convoy of 4WD UN
and NGO vehicles on roads secured by various UNAMSIL bases and patrols en
route. In the event, the convoy was blocked short of Koidu by a particularly muddy
stretch of road, only to find that INDBAT1 had already noticed this and sent out
graders to clear a diversion through a drier part of the forest for the missions pas-
sage. This was the beginning of long running collaboration with INDBAT and their
successors PAKBAT in both Kono and Kailahun.
The INDBAT1 base in Koidu was set up in and around a cluster of ruined build-
ings, where they had set up tents for the mission and provided meals in the impro-
vised officers mess. The missions success and achievements were partly due to
having a welcoming base to return to after long days in the field. INDBAT1 were
new to the area but had some insights to get the assessment off to a good start and
their engineers were of great value, especially with regard to roads and bridges.
Example 2: Rotary Wing Assets
Later missions up-country were carried out more easily using UNAMSIL helicop-
ters and included the identification of a site immediately adjacent to the UNAMSIL
base at Koidu for the installation of a tented office and residential camp for
UNHCRs use until a building could be identified and rehabilitated. In both the
clearing of the site and the installation of the tents, INDBAT1 were invaluable.
They, and PAKBAT1, subsequently provided on an on-going basis both security
and ad hoc assistance in the event, for instance, that the UNHCR generators or
water supply needed attention.
8 Just in Time: Civil-Military Logistics 117
Photo: Preparing to move from the border to a transit centre (Photo by UNHCR)
The Ukrainian Battalion (UKRBAT) had the greatest availability to assist but
could only drive in convoy, in part because of the need to be accompanied by an
English interpreter. It seemed therefore that, despite many reservations from
UNHCR and its partner agencies, the best use of UKRBAT would be to transport
the refugees from the point of arrival to the transit centre in Zimmi, a short distance
but a days work given the time to embark and disembark, and the state of the roads.
The Battalion immediately deployed and set up a camp in the forest near Zimmi.
They first transported all the refugees from the bridge while UNHCR staff went out
by car and on foot to ask the refugees in the forest along the river to walk the short
distance to the road; they were then also taken to the transit centre. As the new arriv-
als were processed in turn at the transit centre, after a few days stay they were taken
to one of two new refugee camps that were under construction further from the
border. This movement was effected in parallel by a second set of UKRBAT trucks.
There were practical problems: firstly, the Ukrainian trucks were Russian and
operating them required large amounts of gasoline. This was provided by UNAMSIL
but paid for by UNHCR, so the budgetary aspects were significant. Second, the
truck capacity was a maximum of 25 passengers, compared to UNHCR trucks
which could take 42, which further raised the cost per refugee. Thirdly, the NGO
providing the medical escort would not travel in a convoy with military personnel
and trucks; an arrangement was made that they would drive behind the convoy.
Then if a refugee needed medical attention, the truck would stop; the patient would
be transferred to a UNHCR escort car, which would then park until the NGO team
caught up with it.
8 Just in Time: Civil-Military Logistics 119
Lastly, and most significantly, the UKRBAT drivers, who were very enthusiastic
about assisting the refugees, would walk around during embarkation and debarka-
tion and watch the operation; being soldiers, they were carrying their weapons at all
times. Unfortunately, the refugees were fleeing conflict between the Liberian army
and paramilitary rebel groups, and so it was felt that the sight of the UKRBAT driv-
ers in uniform and carrying arms could be traumatising. The protests from some
humanitarian workers within and outside UNHCR, who had by then seen the new
operation, were vociferous. After only a few days, it seemed that UKRBATs
involvement would have to cease. The only alternatives from a logistics point of
view, however, were for the new refugees to be forced to walk to Zimmi, for several
days, or to stop the repatriation movement from Guinea to release UNHCR trucks.
Clearly the Ukrainian drivers could not leave their weapons behind, so a compro-
mise was proposed. The drivers were asked to stay out of sight in the cabs of their
trucks while parked at the pick-up and drop-off points, which they reluctantly did.
The humanitarian actors largely accepted this as the least bad option and the opera-
tion continued.
In parallel, other UNAMSIL Battalions had been involved in trucking cargos,
especially of building materials and domestic items for the refugees, from the sea-
port to the new camps, hauling and installing shipping containers to serve as tempo-
rary storage facilities, and other logistics efforts.
As the country opened up, staff in UNHCR field offices got to appreciate that they
could rely on the resources of their local Battalion to help with small but essential
tasks such as repairing generators or moving shipping containers in short order.
UNAMSIL took over the maintenance of the airports, and main roads and bridges,
for everybodys benefit, but also usually responded positively to specific requests to
grade rural roads or repair small bridges serving refugee camps or providing access
to clinics. The earlier meeting with the rebel forces on river crossing points proved
invaluable when a temporary causeway was built with UNAMSIL assistance across
the river from Kailahun to Guinea, to allow direct repatriation during one dry
season.
8.5 Conclusions
then to expect that one favourable response sets a precedent for more assistance to
be provided in future. Even in Sierra Leone, where the collaboration was excellent,
about one request in four or five was turned down, albeit at the informal stage before
a written request had been submitted. It was helpful that UNHCR was usually
advised in advanced when troops would be moving in or out and all the respective
Battalions transport assets would be occupied in the process, and could try to plan
accordingly.
Open and transparent communication is essential on both sides. This is best
achieved by have clear liaison mechanisms. It is essential to facilitate smooth civil-
military interaction that a focal point for liaison be nominated both within the mili-
tary and within the Logistics Cluster and/or each of the larger humanitarian agencies.
To improve the chances of clear communication, liaison officers on both sides
would ideally be logisticians of some professional standing who can understand the
wider implications of each others operation. It is recommended that a specific mili-
tary officer be designated to attend liaison meetings, if only for information
exchange. Consistency in participation is important for good communication to
develop. UN agencies and some larger NGOs might have a nominated Military
Liaison Officer (MLO) either as a job description or as part of the function of a
broader job. Where a formal MLO is put in post, usually with a security back-
ground, either the person should also have a good appreciation of logistics, or the
senior ranking logistics officer should be closely involved in discussions. Over
time, extra military personnel may be designated for direct contact on routine issues
(e.g. bookings on military air services) but the Liaison Officer should deal in the
first instance with all non-routine matters. In a multi-force operation, each Battalion
will also need a similar Liaison Officer (with an interpreter if necessary).
Communication by radio is still the norm in some locations. While the security
of channels has to be respected, there should be the possibility for communication
during a field operation, such as by exchanging a programmed handset with a des-
ignated person in each category. This is especially vital in convoy movements and
has worked well in the authors experience, for example with national and UN mili-
tary escorts in Burundi, Cte dIvoire and across Mali.
Ideally formal agreements should be drawn up between the force and the leading
humanitarian logistics agency or agencies to cover issues of common concern and
specify responsibilities, including the modalities of payment for fuel for trucks on
loan, and other variable costs. Formal procedures should be put in place for booking
space on flights or shipping services. Standard operating procedures should be
shared and harmonized for issues such as convoy behavior, especially when carry-
ing vulnerable passengers.
Conversely, flexibility and lateral thinking on both sides is essential in the practi-
cal application of the agreements and procedures. If what is requested cannot be
provided, is there another way to achieve the desired result?
Some agencies will not welcome (or even accept) military involvement, so their
sensitivities need to be respected.
There are many positive outcomes on both sides to civil-military collaboration.
The humanitarian agencies will obviously benefit from the practical assistance,
122 M. Heraty
while their staff may build up increased respect for the military. The military forces
might deploy to a location where humanitarian agencies have years of experience
and can learn from that. The troops will broaden their experience and find new ways
of thinking, and seem to get considerable satisfaction from providing assistance to
the people of concern. In particular, the military forces can enhance their standing
in the eyes of civil society and therefore, aside from their formal mandate, contrib-
ute considerably to stability and therefore security in a benign manner.
Acknowledgement Many thanks are due to Harry Leefe and Mike Whiting for their ideas and
discussion during the preparation of this Chapter.
References
Beamon, B., & Kotleba, S. A. (2006). Inventory modelling for complex emergencies in humanitar-
ian relief operations. International Journal of Logistics: Research and Applications, 9(1),
118.
Cutts, M. (1999). The humanitarian operation in Bosnia, 199295: Dilemmas of negotiating
humanitarian access (New issues in refugee research, Working Paper No. 8). Geneva: Policy
Research Unit, UNHCR.
Majewski, B., Navangul, K. A., & Heigh, I. (2010). A peek into the future of humanitarian logis-
tics: Forewarned is forearmed. Supply Chain Forum, 11(3), 419.
OCHA. (2007). Oslo guidelines: Guidelines on the use of foreign military and civil defence assets
in disaster relief, Rev.1.1.
OCHA. (2013). Humanitarian civil-military coordination and the Oslo guidelines.
Sperl, S., & De Vriese, M. (2005). From emergency evacuation to community empowerment:
Review of the repatriation and reintegration programme in Sierra Leone. Geneva: Evaluation
and Policy Unit; UNHCR.
Tatham, P. (2011). Improving the civil-military dimension of disaster-related humanitarian logis-
tics (Civil-Military Working Papers, 01/2011). Asia Pacific Civil-Military Centre of Excellence
of the Australian Government.
UNHCR. (2000). UNHCR global report 1999: Sierra Leone.
United Nations. (1991). Herndon: Strengthening of the coordination of humanitarian emergency
assistance of the United Nations, A/RES/46/182, 78th plenary meeting of the General
Assembly, 19 December 1991, United Nations Publications Customer Service.
Van Wassenhove, L. N. (2006). Blackett memorial lecture: Humanitarian aid logistics: supply
chain management in high gear. Journal of the Operational Research Society, 57(5),
475489.
Chapter 9
Reconstructing the Infrastructure of Damaged
Societies
Garland H. Williams
9.1 Introduction
The peace operation that requires only military forces or civilian agencies is rare.
Recent operations have become so multifaceted that the capabilities each organiza-
tion brings to the solution can become complementary to other organizations as
long as they can be focused on a coordinated solution. Despite similar objectives,
however, cooperation between these third parties is by no means inevitable.
Establishing cooperative relations among the various external players remains one
of the most challenging aspects of the international response to conflict and disaster
(De Coning and Friis 2011; Rietjens and Bollen 2008).
Peacekeeping efforts in the Balkans demonstrated that there is a period from
about 1 year to 18 months after the cessation of hostilities when the host nation is in
limbo (Toft 2001; Williams 2005: 10). In most cases, there is not enough operating
infrastructure to facilitate economic recovery, there are no internal assets in good
enough shape to provide that infrastructure, and there is no external force in place
that legally can provide the infrastructure help to promote the necessary economic
growth. For many recent operations, military actions in a peace operation had to
provide direct support to the military mission. Any infrastructure reconstruction that
had civilian only use was not covered and was viewed as mission creep and nation
building (Zinni 2001).
I will examine the complementary capabilities that civilian aid agencies and
military forces bring to a peacekeeping mission demonstrating that a combined
approach that meshes these capabilities should result in a more rapid reconstruction
timeline than one in which each is left to their own plans. Using the case of Bosnia
will illustrate the type of agencies that may be present in a peacekeeping operation
and will further demonstrate arising issues when military and civilian forces are not
coordinated. I will further recommend how to merge the many organizations found
in a peace operation and how the establishment of defined roles in the early days of
the deployment will positively affect reconstruction completion.
The military brings certain characteristics to the theater of operations that cannot be
replicated immediately by the civilian agencies. In peace missions, military forces
are increasingly used in a variety of operations across the military continuum,
including observation, liaison, protection of relief convoys and refugees, infrastruc-
ture reconstruction for military purposes, support to civilian agencies, and humani-
tarian work. Above all, the military is prepared to transition immediately to actual
combat should the situation grossly deteriorate.
The key advantage that military forces bring to a peace operation lies in their
ability for quick response and decisive action. There is not a significant preparation
phase that military forces must undergo to bring peace enforcing and stabilization
forces to bear in a conflict situation. Long-term effects, however, must be realized
through a variety of other methods as the militarys focus is short term.
The roles International Organizations (IOs) assume have taken on new importance
and more is expected from them to influence key state actors. By acting as a sounding
board and a discussion table for states, they have immediate legitimacy should
they determine crisis intervention is required. After many years of being ignored by
powerful states and impenetrable international organizations, Non-Governmental
Organizations (NGOs) were hailed as magicians of sorts, targeting their efforts of
reconciliation at the grassroots level of societies split by civil, ethnic, and religious
strife. In their desire to help the vulnerable and powerless, NGOs have responded to
conflict all over the world, sometimes as a function of their mission for humanitarian
relief or human rights, and sometimes as a deliberate attempt to intervene in the
conflict (Natsios 1997: 337341).
If the goal is to rebuild the physical infrastructure, to jumpstart the economy and
strengthen security immediately after the cessation of hostilities, the military
because of its organizational and logistical advantages is the organization most
suited to accomplish this task in the early stages of the mission due to long delays
in promised civilian aid. In the words of the World Bank,
Pledges are made, but commitment takes longer, and there is a considerable lag before
actual disbursement takes place. Sustainable transitions out of conflict take several years,
yet there is a tendency for donors to disengage once the conflict has receded from public
attention (The World Bank 1998: 21).
Despite all that the military brings to peace operations, there are procedural
roadblocks that have emerged that greatly limit the militarys effectiveness in post
conflict reconstruction. Most of these limitations derive from possessing no initial
national or international mandate that allows any military involvement in post
conflict reconstruction in the civilian sector. There is an argument that military
forces, because of their possible combatant status, should not become involved in
reconstruction; however, this becomes a downward spiral leading to limited recon-
struction funds, inappropriate troop strength, and absence of an organization for
combined civil-military reconstruction planning. The result is a lack of military
focus on the long-term benefits of immediate reconstruction in favor of a short-term
focus on security and stability operations.
Bosnia, Kosovo, and Afghanistan highlight the cultural differences and inherent
capabilities found between the military and the international civilian community.
In all three cases, the international civilian community held early donor conferences.
126 G.H. Williams
The conferences verified the need to fund post conflict reconstruction, resulting in
large amounts of money pledged by interested governments and international
agencies. However, the donations were slow to materialize. Some money initially
pledged for reconstruction was later tied to specific projects hampering the local
governments ability to apply the money to its highest priorities for reconstruction.
Other pledges were never received affecting the IOs ability to organize and deploy
to execute the reconstruction mission. Because of a continuing uncertainty for
funding, the intense effort to organize for deployment will not begin until there is an
established requirement to deploy. This causes an immediate gap in the reconstruc-
tion effort once the conflict has ceased.
Many of the reasons for this rapid response gap go beyond a simple lack of
capability and involve a lack of clarity about the timeframe for such post conflict
assistance. Civilians in the diplomatic and development communities do not plan
for short-term contingencies, and often lack significant experience working with
military counterparts. Military planners, uncertain about missions that exceed tradi-
tional security functions, debate if the involvement of soldiers for such long periods
of time dilutes the warfighting capacity of the armed forces. Unless the international
community develops sufficient rapid civilian response capacity, the military will
continue to be the force available to accomplish civilian tasks, diverting finite
resources and greatly reducing its ability to redeploy quickly, potentially degrading
the ability to engage in high-intensity conflict and counterterrorism.
The NATO-led operation in Bosnias Operation Joint Endeavor was NATOs first-
ever ground force operation, its first-ever deployment out of area, and its first-ever
joint operation with NATOs Partnership for Peace and other non-NATO countries.
It was a demonstration that the Alliance had changed and adapted its forces and
policies to the requirements of the postCold War world while continuing to provide
collective security and defense for its allies. This first operation also brought
some inconsistency and some muddling through. NATO did not have policies
and procedures that covered every aspect of the planned operation, nor did it have
policies to use when unforeseen contingencies arose. Peacekeeping on such a grand
scale was not a commonplace occurrence and the roadmap for post-conflict recon-
struction was not fully developed.
Prior to the war, Bosnia had 3,700 km of main roads. After the war, about
2,500 km of roads required urgent attention to avoid catastrophic failure, and an
estimated 58 damaged bridges were considered a high priority to repair or replace
(ARRC 1996: 3). Damage blocked access to several important transportation
corridors, transport organizations divided along territorial lines limited freedom of
movement throughout the country, and companies were further weakened by the
loss of personnel, funds, and equipment.
9 Reconstructing the Infrastructure of Damaged Societies 127
The war made 90 % of the population in the federation at least partly dependent
on humanitarian foreign aid and extensively damaged the countrys water supply,
power generation, roads, and central telecommunications facilities. In terms of
physical losses, the government estimates the overall damages from the war at
$50$70 billion (World Bank 1996: 10). Health hazards existed from deteriorating
water and sewage systems; water supplies in many urban centers were grossly
insufficient for the growing number of people requiring services; sewage collection
systems and treatment plants did not operate; and solid waste collection and disposal
practically collapsed.
Of the 1,030-km rail network, 75 % of which was electrified, only about 300 km
were operational (Tindemans et al. 1996: 96). Additionally, all five of the major
airports in Bosnia sustained heavy damage and were mostly unusable. Large craters
were found in the Sarajevo runway from Serb shelling, all lighting and landing
assist systems were removed, and the terminal was heavily shelled (62d Construction
Royal Engineers 1996: 2029).
Finally, because Bosnia is virtually landlocked, with the exception of a small
spit of land near Metkovic, the primary port in Ploce in southern Croatia was the
only port available to the Bosnians to export goods by sea. However, Serb forces
damaged the overhead lift capacity and sunk several ships in the port blocking the
entrance to the facility. Without lift capacity the port was limited in its ability to
handle container traffic. The economy at the cessation of hostilities was at a stand-
still because of its devastated transportation sector, without a positive prognosis for
internal healing and improvement.
The Dayton Agreement to end the conflict in Bosnia had two goals: to end the fight-
ing and to rebuild a viable Bosnian state. To accomplish the first goal, the agreement
detailed an elaborate calendar of commitments to separate and draw down the armed
forces of the Bosnian Serbs on one side and the Bosniac-Croat alliance on the other.
NATOs Implementation Force (IFOR) deployed rapidly along the ceasefire lines,
separated the three armies, and created a weapons-exclusion zone at the Inter-Entity
Boundary Line (GFAP 1995: Annex 1-A, Article IV, para 3(cd)). In accordance
with precise requirements and time-tables set out in the Dayton Agreement, heavy
weapons were destroyed or moved into cantonment sites and were subjected to
regular inspection by international forces. The three armies demobilized to peace-
time levels, and IFOR controlled their deployment and movement in the field to
reduce tensions.
The infrastructure needs, however, proved to be a greater challenge. It was obvious
that the long-term reconstruction program for roads, water supply, sewage, and solid
waste had to restore services to prewar levels rapidly or there would be a massive
outbreak of disease. Critical on-site repairs of water distribution and treatment plants,
128 G.H. Williams
unblocking and replacement of sewer lines, and developing landfills for solid waste
would be key elements of any post-conflict reconstruction program.
However, Minimum Military Requirement (MMR) is the phrase that governed
the militarys commitment of resources to Bosnias post-conflict infrastructure
reconstruction. If the project did not directly aid the military mission, monetary
resources could not be used for the project. Military engineers executed work on
designated military supply routes, conducted minimal repairs on airports and sea-
ports to facilitate the military mission, constructed headquarters facilities to house
military staffs and troops, and executed an extensive mine awareness and marking
campaign. For small humanitarian projects funded from other sources, troop labor
and military equipment could be used when not otherwise engaged in projects con-
tributing to the military mission. Any project outside these guidelines was mission
creep and was not authorized for execution.
Ironically, there were several military engineer units deployed to Bosnia that had
considerable civilian equivalent engineer capacity, most notably the Combat Heavy
Engineer Battalions from the United States Army, the Italian Railway Company
from Italy, and the 62d Construction Royal Engineers from Britain. The MMR
funding mandate, however, prevented each from exercising its full capabilities.
Consequently, the initial work pursued by IFOR rebuilt routes only to rough-terrain,
four-wheel-drive standardsthe standards minimally required of the vehicles
deployed by the military. Throughout the year, IFOR horizontal construction equip-
ment upgraded many roads with gravel allowing civilian cars, trucks, and buses to
transport both workers and economic products throughout the sector; however, this
was not the justification for the upgrade, nor was it a permanent upgrade, requiring
almost continual, daily maintenance. Instead, the justification for these upgrades on
Multi-National Division routes was to help stabilize the routes for military traffic,
and the gravel was added to save on maintenance costs for military vehicles.
The benefit to civilian traffic was officially deemed to be a collateral benefit.
After the end of the first year when IFOR transitioned to the Stabilization Force
(SFOR), SFOR continued to maintain the designated corps and theater route net-
works and the corps redeployment routes; however, SFOR reduced the total kilome-
ters under contract, expanding the number of kilometers of road not scheduled for
routine maintenance, exacerbating the already poor road network. SFOR bridging
repairs were couched in terms to support military freedom of movement; no perma-
nent civilian bridge reconstruction had occurred in the critical first year. Rail recon-
struction was projected to be even more dismal. The theater MMR was achieved in
1996. Activities in 1997 were above MMR to be executed based on funds and troops
available (IFOR/SFOR Engineer Staff 1996: 4). The emphasis here is on civilian
funds available. The Italian Railway Company (military unit) had rehabilitated
480 km of rail during the first year of IFOR using NATO Infrastructure Committee
funds, but that constituted only 5 % of the total network and only targeted lines that
would support IFORs deployment and redeployment needs (ARRC 1996: 3).
On the civilian side of the mission, the greater part of available resources was
to carry out the second goal of the Dayton Agreement rebuild a viable Bosnia
9 Reconstructing the Infrastructure of Damaged Societies 129
state and was specifically directed into physical reconstruction, driven by urgent
humanitarian considerations and the need to stimulate the economy. Jointly coordi-
nated by the World Bank and the European Commission (EC), the priority recon-
struction program attracted over $5 billion in international aid; however, much of it
was delayed or was tied strictly to humanitarian uses (European Commission and
World Bank 1999: Annex 61).
The World Bank organized the vast share of multilateral assistance to support
post-conflict reconstruction and economic transition in Bosnia through a series of
periodic pledging conferences. (Heric et al. 2000: 319). The pledging conferences
started well, with the first two conferences exceeding pledging expectations; how-
ever, the momentum quickly slowed. The first formal pledging conference occurred
in Brussels on December 2122, 1995, when donors were asked to support a 4-year
$5.1 billion Priority Reconstruction and Recovery Program (PRRP), prepared by
the government of Bosnia with the aid of the World Bank, the EC, and the European
Bank for Reconstruction and Development (Heric et al. 2000: 319). Fifty countries
and 27 IOs pledged $615 million, exceeding the conferences target by $97 million.
Its key objectives were to initiate a broad-based rehabilitation process that would
jumpstart economic recovery and growth, strengthen government institutions, and
support the transition to a market economy. Little actual long-term reconstruction
occurred as donors did not fulfill their commitments. According to Heric, Sapcanin,
and Woodward:
Much of the pledge gap in Bosnia reflected delays in delivery and implementation, not
nonfeasance or default. Causes of these delays could be found on both the donor side,
where inexperience created heavy start-up costs, and the recipient side, where host-
government procedures were woefully underdeveloped. Delay was exacerbated by the deci-
sion making procedures of the peace agreement itself, by the dominant role of political
conditionality in the use of aid, and by the complex coordination problems of so large an
operation as the Dayton mission (Heric et al. 2000: 359).
Disbursing this volume of international aid in such a short period of time was an
enormous operational challenge for the international agencies involved a chal-
lenge that was not met with success in the critical first year. Success required that
the responsible organizations make the rapid disbursement of funds their principal
objective; however, much of the funding was not available, nor was the organization
established to accomplish disbursement. The World Bank entered Bosnia on the
basis of a post-natural-disaster operational policy, which explicitly excludes
institution-building objectives; this policy would serve to have long-term negative
effects (Williams 2005: 115).
Finally, a massive problem that continued to impact all sectors of Bosnian life was
the residual mine threat. During the war, the warring factions placed half a million
mines in more than 17,000 minefields, largely around the lines of confrontation.
Because the lines of confrontation constantly moved during the 4-year war, the
exact location of all of the minefields was never known. Unexploded ordnance was
all over the sector, mostly a result of the NATO air campaign, which was just as
deadly as the recorded minefields. Dual-purpose improved conventional artillery
130 G.H. Williams
rounds and mortars that failed to detonate littered the countryside as well. To add
more confusion, the Serb Army gave every soldier 20 antipersonnel mines to use.
As infantry soldiers, the Serbs used these mines as point minefields, emplacing the
mines in front of the defensive position, but never properly recording the minefield
as an engineer soldier was trained to do.
Shortfalls
The Dayton Agreement divided the overall responsibility for the implementation of
the civil and military tasks; however, no formal mechanism existed to develop the
unified political direction necessary to synchronize civil and military policy between
these two bodies. Under the Dayton Agreement, the Office of the High Representative
(OHR) was to coordinate the activities of the civilian organizations in Bosnia to
ensure the efficient implementation of the civilian aspects of the peace settlement,
and to remain in close contact with the IFOR commander to facilitate the discharge
of their respective responsibilities. The civilian implementation institutions man-
dated at Dayton, however, started the operation under considerable disadvantages.
These organizations were created, funded, and staffed on the ground after the military
deployment. This delay resulted in public pressure for IFOR to take on a larger role
in implementing civilian tasks.
This method of mission extension had problems, however. With no visible OHR
staff to tackle civilian infrastructure problems, there was considerable delay in
assessing what exactly required reconstruction. The locals continued to experience
life without drinkable water, reliable electricity, or safe heat. The High Representative
was not a UN Special Representative and his political guidance originated from the
steering board of the Peace Implementation Council, which was not a standing
internationally recognized political organization. As such, the absence of an organi-
zation with which the North Atlantic Council could coordinate policy hampered
synchronization of civil military implementation of the Dayton Agreement. Given
the United Nations reluctance to play a lead role, there was effectively no interna-
tionally recognized political organization providing overall direction.
For the most part, the responsibility for coordinating the vast array of implied
supporting tasks of the Dayton Agreement fell to a small, often unnoticed staff sec-
tion CIMIC/Civil Affairs. CIMIC (the NATO acronym for civil-military coopera-
tion) played an unprecedented role in achieving the objectives of the Dayton
Agreement. The implementation of the civil aspects of the agreement was essential
to IFORs exit strategy and the return to normalcy for the people of Bosnia, and
CIMIC became the vital link between the military and the civilian organizations
operating in theater. It took until August 1996, a full 8 months after the standup of
IFOR, before CIMIC completed a comprehensive assessment by obstina (county)
and even longer to mobilize funding and resources to begin solving many of these
problems.
9 Reconstructing the Infrastructure of Damaged Societies 131
The NATO force generation conference for Bosnia called for United States Civil
Affairs assets to deploy and augment each Multi-National Divisions (MND) head-
quarters. However, once the Civil Affairs deployment began, some nations (most
significantly France) neither planned for, nor needed, United States Civil Affairs
assets in their MND. Rather than revise the Civil Affairs manning requirements, the
excess U.S. Civil Affairs personnel were absorbed by the IFOR and ARRC head-
quarters resulting in an increase in these HQ CIMIC structures by two to three
times. While basic logistical support to this overflow was not provided, the main
impact was that the excess staff began to get involved in functions normally assumed
at lower levels of command. During IFOR, 352 CIMIC personnel deployed to
Bosnia from the United States, compared with 40 from France and a total of 50 from
all other nations (Landon 1998). The late mobilization of these assets, and the
resulting delay in their deployment into theater, placed the deploying lead ground
elements at a disadvantage. Lessons learned show that the early deployment of
Civil Affairs personnel in the theater of operations can be a great force multiplier,
setting the stage for the introduction of follow-on forces into an environment that
has benefited from specialized interaction with the local population.
Using the excess CIMIC personnel, IFOR created an informal Civil Military
Operations Center (CMOC) within the IFOR headquarters that included both civil-
ian and military members and served as an implementing and integrating body
designed to operationalize the terms of the peace accord. It was an extremely loose
structure, primarily staffed by United States Army Reserve Civil Affairs assets, that
worked through member inclusion rather than member exclusion. Formal members
of the CMOC drifted in and out as the specific members of the organization
depended on the focus of the reconstruction effort at the moment. No NATO budget-
ary amounts were allocated to the CMOC and, similar to the other finances in
Bosnia, the costs lay with each country that chose to expend resources. There was
no later attempt to balance the outlay among the countries and each individual
countrys expenditure was considered as a contribution to the NATO effort (Sweberg
n.d.: 11). According to United States Ambassador Robert Oakley:
The center (civil-military operations center) was an effective innovative mechanism, not
only for operational coordination, but to bridge the inevitable gaps between military and
civilian perceptions. By developing good personal relationships, the staffs were able to
alleviate the concerns and anxieties of the relief community (Sweberg n.d.: 12).
IFOR was able to effectively link Civil Affairs personnel with the local popula-
tion, NGOs, and representatives from other governmental and supra-governmental
organizations. Additionally, the fact that 96 % of the U.S. Civil Affairs structure was
comprised of reservists, the military reserve members brought to the operation their
civilian perspective and transferable skills which further enhanced the military-
civilian cooperation (Landon 1998: 129).
132 G.H. Williams
What distinguishes rapid response from humanitarian aid is that it begins at the
cessation of hostilities and goes beyond saving lives to provide the foundation for
post conflict reconstruction of a war torn region. However, there is often an absence
of a clear timeline and planning process that bridges rapid response initiatives and
developmental initiatives. The cultural divide between short and long-term efforts is
exacerbated by archaic rules that provide flexible assistance on the front end of a
crisis, but cannot sustain it as the crisis matures. To mitigate these circumstances,
there needs to be a clear interagency process to ensure a seamless transition from
short-term rapid response to long-term reconstruction to meet the future needs of a
given country (Davidson et al. 1996: 42.).
One approach is to create two working groups. The first is external to the country
under reconstruction to coordinate planning, resources, international policy, and
logistical support. With numerous countries facing long-term, intractable conflicts,
such ongoing planning efforts would yield better interagency coordination and clear
understanding of standing capacities that each type of situation requires. During the
9 Reconstructing the Infrastructure of Damaged Societies 133
planning and the execution of post conflict reconstruction, the interagency process
would help integrate a combined effort by providing channels of communication
among relevant agencies that will work at all levels.
The second working group is formed within theater at the operational and tactical
levels and is the key to the effective use of diverse organizations and resources in
theater as well as to the conduct of the day-to-day management of conflict prevention.
The use of an organization similar to the CMOC in Bosnia, but under a more formal
charter, would serve as a positive model.
The goal of the post conflict reconstruction strategy is to transition all reconstruc-
tion functions to the local capacity for construction and to the local ministers for
management. From the beginning, international policymakers must recognize the
need to hand over responsibility for the recovery of the local infrastructure to the
local government as expeditiously as possible. By incorporating local engineers into
all phases of reconstruction and giving them hands-on experience, the recovery
effort will encourage the development of improved facilities, expanded engineering
expertise, and stronger personal relationships. The reconstruction of a countrys
physical infrastructure will not guarantee long-term peace; however, the absence of
a viable infrastructure places a burden upon a fledgling government and people that
cannot be internally overcome and will prevent any chance of long-term peace from
developing to its full potential.
9.7 Conclusion
In their final chapter, the authors of the first Carnegie Report on the Balkans, writing
in 19131914, observed that the future seemed well-nigh hopeless. Such pessi-
mism was well warranted. Shortly after the publication of the report, Europe was
engulfed by World War I. Although as of now, no comparable catastrophe looms on
the European horizon, Bosnia and the Balkans region is now at a crossroads. IFOR
was able to stabilize the security situation in Bosnia with impressive efficiency
(Wentz 1998: 2830). IFOR deployed rapidly along the cease-fire lines, separated
the three armies, and created a weapons-exclusion zone at the Inter Entity Boundary
Line. In accordance with precise requirements and timetables set out in the Dayton
Agreement, heavy weapons were destroyed or moved into cantonment sites and
were subjected to regular inspection by international forces. The three armies were
9 Reconstructing the Infrastructure of Damaged Societies 135
demobilized to peacetime levels, and their deployment and movement in the field
were controlled by IFOR to reduce tensions.
On the civilian side of the mission, the greater part of available resources was
directed into physical reconstruction, driven by urgent humanitarian considerations
and the need to stimulate the economy. Jointly coordinated by the World Bank and
the European Commission, the priority reconstruction program attracted more than
$5 billion in international aid; however, much of it was delayed in its arrival or was
tied strictly to humanitarian uses. Disbursing this volume of international aid in
such a short period of time was an enormous operational challenge for the interna-
tional agencies involved a challenge that was not met with success in the critical
first year. It required that the responsible organizations make the rapid disbursement
of funds their principal objective; however, much of the funding was not available,
nor was the organization established to accomplish disbursement (European
Commission and World Bank 1999: Annex 61).
In short, the international community was able to effectively carry out the first
part of the urgent mission to stop the conflict using military peacekeepers. But the
coordination bodies and an effective recovery structure was not in place and pro-
longed Bosnias inability to fully rally after the cessation of their 4-year protracted
conflict. Again, Bosnia was NATOs first deployment and served as a crucial test
case for policies grounded in theory. Unfortunately, many of the theoretical con-
structs did not survive application and Bosnias long-term reconstruction suffered
for the lack of grounded practice. Each post-conflict reconstruction mission will
have its own unique challenges, but recognizing the operational phases of recon-
struction and creating sustainable planning and execution organizations to imple-
ment the international response will go far to create an effective and sustainable
recovery and potential long-term peace.
References
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(Eds.), Peacekeeping and conflict resolution. London: Frank Cass & Co. Ltd.
Aall, P., Miltenberger, D., & Weiss, T. G. (2000). Guide to IOs, NGOs, and the military in peace
and relief operations. Washington, DC: United States Institute of Peace.
Allied Rapid Reaction Corps. (1996). ARRC bridge replacement plan: Phases 13 (briefing slides
with scripted commentary), Sarajevo.
Boutros-Ghali, B. (1992). An agenda for peace Preventative diplomacy, peacemaking, and
peacekeeping (Report of the Secretary-General Pursuant to the statement adopted by the sum-
mit meeting of the Security Council on January 31, 1992). New York: United Nations.
Davidson, L. W., Hayes, M. D., & Landon, J. J. (1996). Humanitarian and peace operations:
NGOs and the military in the interagency process. Washington, DC: National Defense
University Press.
De Coning, C., & Friis, K. (2011). Coherence and coordination: The limits of the comprehensive
approach. Journal of International Peacekeeping, 15, 243272.
European Commission and World Bank. (1999, May). Bosnia and Herzegovina 19961998, les-
sons and accomplishments: Review of the priority reconstruction and recovery program and
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looking ahead toward sustainable economic development. Report prepared for the May 1999
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General Framework Agreement for Peace in Bosnia and Herzegovina. (1995, December 14), Paris.
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IFOR/SFOR Engineer Staff. (1996, December). CJ ENGR strategic vision. Sarajevo.
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Peacemaking in international conflict: Methods and techniques. Washington, DC: United
States Institute of Peace.
Phillips, W. R. (1998, Spring). Civil-military cooperation: Vital to peace implementation in Bosnia.
NATO Review, 46(1), 2225.
Rietjens, S. J. H., & Bollen, M. T. I. B. (2008). Managing civil-military cooperation: A 24/7 joint
effort for stability. Aldershot: Ashgate.
Sweberg, M. (n.d.). Transitioning a peacekeeping operation from military to civilian management
(Briefing slides with scripted commentary). Washington, DC: Bureau of Political-Military
Affairs, Department of State.
The World Bank. (1996). Bosnia and Herzegovina: Toward economic recovery. Washington, DC:
The World Bank.
The World Bank. (1998). Conflict prevention and postconflict reconstruction: Perspectives and
prospects. Washington, DC: The World Bank.
Tindemans, L., Cutler, L., Geremek, B., Roper, J., Sommer, T., Veil, S., & Anderson, D. (1996).
Unfinished peace: Report of the international commission on the Balkans. Washington, DC:
Carnegie Endowment.
Toft, M. (2001, November 15). Press briefing on terrorism, Kennedy Schools Joan Shorenstein
Center on the Press, Politics, and Public Policy. Washington, DC.
Wentz, L. (1998). Lessons from Bosnia: The IFOR experience. Washington, DC: National Defense
University Institute for National Strategic Studies.
Williams, G. H. (2005). Engineering peace: The military role in postconflict reconstruction.
Washington, DC: United States Institute of Peace.
Zinni, A. C. (2001, March 6). The militarys role in a changing world: Conversation with General
Anthony C. Zinni. Berkeley: Institute of International Studies, University of California. Online
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Nov 2013.
62d Construction Royal Engineers. (1996, May). Sarajevo airport assessment. Sarajevo.
Chapter 10
Civil-Military Interaction During Infantry
Operations
10.1 Introduction
International military intervention today often demands a complex set of goals that
integrates the objectives of defeating hostile forces, political reforms within the host
nation, civil society capacity building at the local level, and economic development
distributed across the populace. All of these objectives are intended to promote the
goal of stability and the eventual resolution of the conflict. Mission effectiveness,
therefore, depends upon combining the expertise of a suite of actors. These partici-
pants include not only the military forces deployed, but also a wide array of civilian
personnel. Though there is no single solution to creating an effective civil-military
effort, the discussion herein hopes to impart a few lessons that may be incorporated
by military officers into their own strategic plans so as to achieve the missions they
have been tasked. This chapter addresses three key areas that must be understood by
the field officer, in many cases an infantry officer, when operating within the context
of a civil-military operation. First, one must be cognizant of the actors involved and
understand the role, resources, and limitations of these actors. Second, the field
officer must be aware of the necessity for a consistent approach regarding unity of
effort. Third, the chapter offers a set of observations intended to serve as guiding
points for the field officer operating within civil-military structures in time of
J. Melkon (*)
United States Military Academy, West Point, NY, USA
e-mail: John.Melkon@usma.edu
J. Embrey
Peace Keeping and Stability Operations Institute, Carlisle, PA, USA
H. Bader
Univerisity of Alaska Fairbanks, Fairbanks, AK, USA
B. Mennes
United States Army, Washington, DC, USA
10.2 Participants
The five primary groups of actors incorporated into civil-military operations (to
some degree) are: (1) the intervening military elements, (2) civilian agencies from
the intervening countries, (3) international organizations and nongovernmental
organizations, (4) the host nation government, and (5) local civil society and gover-
nance structures which may be either formal or informal. Each of these actors brings
with them a host of expectations, institutional cultures, and separate systems of
internal management (see Chap. 2 by De Coning and Chap. 3 by Frerks).
Most military officers view the role of their forces as having two major compo-
nents. First and foremost is the defeat of adversaries and to ensure control and secu-
rity of people, terrain and resources. Second, the mission is to set the stage for joint,
interagency and multinational success in restoring or establishing effective host
nation governance and civil society. Often, both components are conducted simul-
taneously as security operations, governance capacity building, and socio-economic
development programs which are ideally executed in a coordinated and parallel
fashion.
Civilian agencies from the intervening states such as USAID seek to achieve
transformation of local communities in a manner that enhances the reach and abili-
ties of the host government (see e.g.: United States Government Integrated Civilian-
Military Campaign Plan for Support to Afghanistan 2009; and Paul et al. 2010).
This simultaneous integration of different goals is quite different from traditional
diplomacy, development assistance, and conflict resolution. Indeed, the involve-
ment of civilian agencies extends to every aspect of local society, involving refor-
mation of education, judicial, medical, and economic systems, to name a few. Each
agency tends to seek to plan, lead, and coordinate those activities within its core
competencies, which holds the potential for divergent perceptions of mission goals
among the agencies and may pose inconsistencies with mission orders or a cam-
paign plan provided by higher headquarters. It is important for all to understand that
the expertise and resources of these agencies can serve as a force-multiplier that is
critical to mission success if effectively integrated.
International organizations (IOs) and nongovernmental organizations (NGOs)
generally attempt to maintain programming consonant with the NGO/IFRC Code of
Conduct. This Code of Conduct has several principles including neutrality and
impartiality. This requires that an IO/NGO operate within what is known as the
humanitarian space (United States Institute of Peace 2012). Humanitarian space
requires that local communities have reasonable access to those with assistance, and
that the necessary social, institutional, and security conditions exist for IOs and
10 Civil-Military Interaction During Infantry Operations 139
NGOs to carry out their own mission. Often, as a result of the need for humanitarian
space, such organizations are reluctant to be close participants in any civil-military
operation, though they are often funded by the civilian agencies of the intervening
states. Indeed, it is incorrect to perceive independent NGOs (even if government
funded) as force multipliers. At the same time, these organizations also require
security that is often tied to the protection that proximity to allied installations tends
to provide. Working with the IO/NGO community involves a complex set of consid-
erations that involve balancing these competing needs for the IO/NGO, the host
national government, and the intervening international forces.
The host nation, as a participant in a civil-military operation brings its own
agenda. Its primary objective is to establish sovereignty over its territory and its citi-
zenry in a manner that ensures stability and is sustainable. The need for establishing
security and building its capacity to perform central state functions drives its activi-
ties within the civil-military construct. For the host nation, transition to full auton-
omy and complete function may emerge as potential friction with the intervening
states.
Local formal and informal governance structures and civil society organizations
typically are the most impacted by joint civil-military operations. These entities are
closest to the general population and are most likely to be the best barometers of
what is happening in a community. The benefit, as well as the risk, of cooperating
with any military effort falls most heavily upon these groups. Examples of these
groups may be tribal leaders, religious instructors, local unions, teachers and farmer
cooperatives. An over-generalized description of the goals of civil-military opera-
tions can be summed as the effort to win the hearts and minds of a population
(Kilcullen 2005). If that be true, then the local institutions are the most critical ele-
ment to military operations and often times present the most difficult element to
gain trust. However, these local participants are often overlooked or underutilized.
Prior to deploying an officer must seek information about all of the actors, and
once in the field, he must strive to gain situational understanding in order to unify
these diverse actors and attain an organizational structure that achieves unity of
effort. Therefore, the field officer must understand the concept behind developing
unity.
A lack of unity of effort springs from the dilemma created by a failure to reach a
common understanding of the challenges and an agreement on the combined actions
to take within the operational environment. This is often coupled with a lack of
common purpose and an agreed upon method for accomplishing goals. As the
Contemporary Studies Group observed in Iraq, the December 2002 decision to
give the DOD the lead role in postwar Iraq was in part an attempt to avoid the lack
of unity of effort that critics had pointed out in previous US missions in the Balkans
and Afghanistan. The potential benefits of that decision, however, were not realized
140 J. Melkon et al.
due to interagency friction and to lack of coordination within the DOD (Reese and
Wright 2008). Put more directly unity of effort is made virtually impossible where
unity of understanding and purpose are ignored in the initial design and planning of
civil-military integrated operations. Unity of effort too often devolves into some
kind of de-confliction of efforts exercise where no collaborative solutions emerge
across security, political reconciliation and development efforts.
Central to unity of effort is an understanding not only of who the enemy is, but
also understanding the reasons why violent conflict is the preferred option employed
by the belligerents for effecting change. Key also is an understanding of how each
of the civil-military participants can be brought together to transform the opera-
tional environment to end violence and prevent its return. Military doctrine gener-
ally focuses on conflict termination. Successful transformation to host nation
sovereignty and capacity depends upon sustainable changes in all aspects of civil-
military operations that touch simultaneously upon security, governance and local
economic conditions that move at the pace of the host nation and who ultimately
must own long term success (Rietjens et al. 2009).
In developing coordinated civilian military efforts, the key is to begin from a
point of mutual understanding of the operational environment. Fundamental to this
effort is to get the design for collaborative efforts accepted by all members of the
civil-military team. This includes a mutual agreement regarding principles and con-
cepts accepted across the different organizations and driven by a common purpose
and vision. This vision must be based upon goals established by the host nation civil
authorities and government. (for a detailed example of such a collaborative design
see Van Bemmel et al. 2010). In all, it is very unlikely that diverse agencies and
organizational cultures will ever have a single common plan with universally
accepted objectives, tasks, and metrics (see Chap. 7 by Shetler-Jones). What can
and must be achieved is an accepted operational framework, approved and bought-
into by senior leaders of the aforementioned entities who expect their staffs and
organizations to implement, collaborate, and coordinate with one another for mutual
success. So how do military leaders work to get the design right up front that then
guides effective operational planning and execution with others?
Before an effective civilian-military team can begin, field officers must recog-
nize that they are not the source of all the answers, and that a solution is contingent
upon support and ownership by the other actors described previously. Otherwise it
would be impossible to work to a common objective, pool resources, prevent dupli-
cation, identify gaps in programs, monitor and evaluate success, and apply lessons
learned. Also, it is important to understand that there are many different solutions to
the complex problems that will make a positive contribution to success. Seeking an
optimal solution before commencing operations may only serve to undermine the
potential evolutionary outcomes of inclusive cooperation.
First, the officer should start with the end in mind that all participants seek
together. Military leaders must think in terms of sustainable results beyond defeat
10 Civil-Military Interaction During Infantry Operations 141
and removal of threats. The vision must extend to long term success in terms of a
sustainable security environment that leverages and includes changes in governance
and development as well. This is more than just security end-states. Rather, it is
working early with partner actors, with particular attention paid to the host nation
civil and political entities, to identify factors of instability and define what generally
right will look like on the ground in realistic terms.
Second, civil-military operational design and planning efforts should consider
identifying Unity of Effort as the blue (Unified Friendly Team) center of grav-
ity during design and planning for operations. Habitually, military staff efforts early
on focus on identifying the red center of gravity the center of all power around
which adversary efforts revolve as a method to focus the use of force against
enemy weakness. Design and planning efforts on the blue side tend to spend less
time on thinking how to coordinate and synchronize the militarys resources. The
experiences of the authors in the Balkans, Iraq and Afghanistan point at the impor-
tance of such a blue center of gravity It proved important for the field officer to
devote great attention to identifying the critical capabilities, resources and vulnera-
bilities of positive change agents. This then led to early identification and prioritiza-
tion of efforts that contributed to reaching a common understanding and clear
purpose. This unity of understanding and purpose must be recognized by senior
mission leadership, that includes all members of the unified team; the political
chief of mission, the ground commander, and their supporting staffs.
Third, military officers should think in terms of conflict transformation and not
just conflict termination. This unity of understanding and purpose previously
described must form the basis of effort to transition from fighting to stabilization to
governance. At each phase, the blend of military and civilian assets and methods
evolves. This necessarily means that the role of the military diminishes over time as
security is obtained and transformational programming advances. In accomplishing
enemy defeat, military units are changing the operational environment by removing
kinetic threats. As this is being accomplished, an officer needs to keep in mind how
to retain and maintain this advantage to advance the desired end-state. This end-
state necessarily includes state governance capabilities and civil society develop-
ment. Thinking about how to use military gains for post-conflict considerations
requires close collaboration and cooperation among the various stakeholders, even
in the midst of lethal operations.
In all, each actors efforts produce a vital piece of the overall dynamic for ending
violent conflict, but none in and of itself provides the entire picture. As a result,
devising a preferred design or plan for how to win is a reflection of how each actor
can contribute to success from the military standpoint it identifies who must be
defeated and who must be protected; from the political standpoint who must be
engaged or marginalized to reach a political settlement; and from a development
standpoint what factors of poverty and human suffering must be changed to reduce
grievances and build resiliencies to end the use of violence as the preferred method
of achieving group ends.
142 J. Melkon et al.
A deep understanding of the community within which operations are occurring and
a clear vision of the civil-military mission is essential. In order to establish a unity
of effort, there must be a unity of understanding of the operational environment. In
other words, all parties must agree to a common operating picture.
An essential first task toward creating a common operating picture is to agree
upon what are the primary drivers of conflict. Drivers of conflict have six distinct
attributes (United States Agency for International Development (USAID) Office of
Conflict Management and Mitigation 2012a, b). These are:
1. Core grievances: a perception that an essential need or value is threatened by a
group or person with the power to effectuate the threat;
2. Identity cleavages: a group of people that can be defined by similarity of charac-
teristics such as race, ethnicity, language, culture, religion, political ideology,
economic activity, or nationality. Identity becomes a cleavage when the group
perceives that some intrinsic element that defines the group is jeopardized by
exogenous influences;
3. Mobilizing actors: a person or group capable of producing, perpetuating or
changing societal patterns. These changes can either precipitate or prevent vio-
lence within the community;
4. Resources available for mobilization: represent the suite of assets available to
mobilizing actors that provide the ability to change societal patterns. Resources
10 Civil-Military Interaction During Infantry Operations 143
can include money, weapons, moral authority, political influence, and personal
charisma. Included within the evaluation of resources is the mechanism by which
the resources are acquired and the system by which they are manipulated;
5. Aspirational goals: constitute affirmative desires held by the community and are
not the consequence of grievances or cleavages; and
6. Trigger points: the set of circumstances in which all of these various factors
come together to either create violence or to ameliorate against it.
Understanding the drivers allows one to understand why conflicting parties have
resorted to violence as a means for obtaining an envisioned end-state. It is essential
to recognize that economic advancement and material gain are seldom, in their own
right, the primary motivation to violent conflict (Berman et al. 2010; USAID 2010).
As part of the common operating picture, all members of a civil-military opera-
tion need to have a mutual understanding of the nature and context of the violence.
At the tactical level, this is often easier than at the strategic level because of direct
interaction among the various local community actors within a confined battle
space. It requires both long term study and an agreed upon mechanism to learn from
each other and from mistakes. For example, the Natural Resources Counterinsurgency
Cell (NRCC) operating in eastern Afghanistan from the start of 2010 through mid-
2011, accomplished this over the course of 6 months (see e.g. Kleinfeld and Bader
2014). Just as important, the field officer needs to have an understanding as to the
historic, institutional, and cultural context of the violence in order to appropriately
frame the contributions and viewpoint of the various actors within his area of opera-
tions. For example, an officer needs to be able to describe the degree, type and
extent of sanctioned violence within a particular social context.
Step one take-away points to remember are:
The causes of conflict are many and complex. An officer needs to develop a deep
understanding of the cultural, historical, social, and political dynamics that inter-
act to produce the violent conflict that is occurring within the area of operation
(see Chap. 13 by Holmes-Eber and Chap. 6 by Kitzen and Vogelsang).
Most international civil-military stabilization missions employ a reasonably
standardized process for conflict assessment. In the United States, the agreed
upon whole-of-government process takes the form of a Tactical Conflict
Assessment Planning Framework (referred to as TCAF)1 or the District Stability
Framework (referred to as DSF).2 This existing approach should form the foun-
dation for an assessment to ensure the ability for maximum information sharing
and understanding with partners.
It is important to instill in ones soldiers the need to be aware of the factors pre-
cipitating the conflict they find themselves in so that a soldier can have an
enhanced situational awareness and consequently perform a soldiers duties to be
in harmony with the larger operational picture, appreciate the second and third
1
TCAF is accessible at: http://usacac.army.mil/cac2/call/docs/10-41/app_a.asp
2
DSF is accessible at: http://www.usaid.gov/work-usaid/partnership-opportunities/us-military/training/
district-stability-framework
144 J. Melkon et al.
order effects of their actions and thereby understand how to achieve force protec-
tion better and more safely.
An officer should be aware that it is impossible to possess a perfect understand-
ing of the drivers of conflict in any one context and that indeed, the nature of the
interacting factors are always changing. An affirmative approach for continual
improvement in understanding and learning is necessary to avoid a static and
inflexible set of solutions to tactical challenges, this typically accomplished
through effective time management (Battle Rhythm).
Civilian operational cultural attributes may clash with those of the military, par-
ticularly for company-grade and field-grade officers (Stephenson 2006a). Military
planners tend to prefer to develop goals and metrics that are immutable, while civil-
ian agencies are often comfortable with less precision and more subjective evalua-
tion. For example, in a semi-arid agricultural region, a military civil affairs team
may wish to consider increases in the potential for agricultural productivity as an
appropriate goal and define the creation of 50 new wells serving a population of
5000 people an effective metric. Civilian agency development teams would not gen-
erally consider the number of wells or the amount of people served as a true mea-
surement or a goal. Instead, most development professionals would consider the
process by which collective action was made possible to build the wells to be of
paramount importance. Therefore the metrics would include an evaluation of the
degree to which the drivers of conflict were surmounted. If the community process
resulting in the drilling of wells spanned across identity cleavages and involved key
mobilizing actors, then that too, would be a metric. The extent to which the process
could be sustained and local resources allocated to the development of capacity to
continue such processes would be deemed a most important metric in the stabiliza-
tion mission.
Step two take-away points to remember are:
Be aware that interagency partners and NGOs of all variety will typically have
arrived and operated in a field officers area of operation long before a military
deployment. Therefore humility on the part of the field officer must be a guiding
principal and the officer should be open to learning from the experience, connec-
tions, and knowledge these entities have accrued. While the military possesses a
great ability for rapidly deploying forces in to an area of operations, it generally
lacks a complete depth of understanding for the nuanced esoteric of the
situation.
Humanitarian organizations have the right and obligation to operate within the
internationally recognized humanitarian space and thus need not consult with
the military or civil-military structures in order to perform their functions. An
officer should not take offense from the discretionary acts of these humanitarian
agencies. Leaders should consider how to identify shared goals, which can help
inform the dialogue on the means by which each respective organization intends
to reach them.
Civilian agencies possess an operating culture quite different than that of the
military and this acknowledgment should inform the manner of communication,
allocation of responsibilities, and the execution of duties within the civil-military
mission. An understanding of the organization and mission of the associated
humanitarian organizations and some cross cultural competencies for interfacing
with them will aid in overall success.
Frank communication and shared responsibilities within the civil-military mis-
sion prevents a stove-piping effect and helps to identify assets and capabilities
within the civil-military structure for more effective programming. Seeking
146 J. Melkon et al.
perspectives from among the wide-array of actors will assist a leader in develop-
ing a wide optic and greater fidelity on the situation.
Too often, civil-military operations are derailed by the laudable inclination for
inclusiveness and fealty to the whole-of-government process. However, a review
of past civil-military efforts found that over-inclusion of agencies and partners not
directly suited to a narrow mission goal became a critical flaw. Institutional frictions
erupted as partners perceived that they were tasked to perform functions outside
their areas of core competence. Also, invariably, an excessive inclusion of agencies
led inevitably to mission creep and dilution of focus as participating partners sought
to establish functions that were within their own expertise and utilize their resources
most effectively. This search for function led to diffusion of mission, expansion of
purpose, and devolution of vision to the detriment of the original goals of the opera-
tion. As the Harvard University Study of 2011 on Haiti noted, too many actors
failed to coordinate with each other and with the Haitian Government and differ-
ing goals from multiple constituencies often results in inefficient response (Harvard
Humanitarian Initiative 2011).
Before civil-military operations can commence, it is essential to decide the form
of internal decision making and the level of participation by the members.
Establishing clearly delineated authority and responsibility lines alleviates internal
competition among members. Unity of purpose within civil-military operations
does not translate well into unity of command. For while a disparate group of actors
may even share a common end state goal, they may lack the organizational structure
or common cultures to effectively work toward that goal. The relative role of mili-
tary and civilian partners is determined by the level of security in any given situa-
tion. The more kinetic the context the greater the command and control will rest
with the military and use of its resources. With greater stability, the civil capacity
and humanitarian assistance functions will dictate a greater command and control
with civilian partners. Key matters that must be resolved before operations com-
mence include issues of (a) information sharing; (b) common assessment approaches;
(c) personnel interaction and communication, resource allocation priorities, and
finally (d) planning mechanisms.
Step three take-away points to remember are:
Decision-making cannot be unilateral on the part of either the military or the
intervening nations. The host nation and local civil society actors must be part of
the civil-military process for crafting solutions and programs. There must be for-
mal mechanisms for communicating with the host nation and local institutions (to
include functional established work groups) as well as processes whereby local
participants provide both input and are an active partner in implementation.
10 Civil-Military Interaction During Infantry Operations 147
Keeping the mission focus narrow and avoiding the expansion of program goals
is a key step in preventing dissention within a diverse civilian-military structure.
Good campaign plans balance and weight lines of efforts but continue to address
each line throughout the various phases of the campaign.
An officer must be mindful of the limitations in resources, time, and space of his
command and deployment timetable within the context of the longer-term pres-
ence of civilian agency actors and NGOs. Program decisions need to take into
account long-term strategies, even if the deployment for the particular military
unit is relatively short-term from a stabilization perspective.
An officer should be prepared to change emphasis, and role, with a changing
security environment. While sometimes difficult, an officer should allow civilian
leadership to grow as the security situation improves.
As originally formed, the structure and command organization of the NRCC was
unique within the Afghanistan theater. Operations conducted by NRCC were
designed, planned and implemented by two designated co-team leaders: one from
the Department of Defense and the other from United States Agency for International
Development/Civilian Response Corps Active (USAID/CRCA). These two co-
leaders were responsible to, and took direction from the Brigade Civil Affairs
Officer. Also, its civilian constituents were simultaneously subject to both Combatant
Command (COCOM) and Chief of Mission (COM) authority. This shared com-
mand was the result of mutual agreement between the Senior State Department
Representative and Brigade Commander. The Brigade Civil Affairs Officer, in addi-
tion to commanding the NRCC, planned and synchronized the activities of all Civil
Affairs teams in the area of operations, managed the Commanders Emergency
Response Program (CERP) funds, and advised Provincial Reconstruction Teams
(PRT) and Agribusiness Development Teams (ADT) Commanders to ensure unity
of effort. At the height of its activities, the NRCC involved close working relation-
ships with Counterinsurgency Advisory and Assistance Teams (CAAT), Special
Forces, USAID/CRCA, Human Terrain System (HTS), USAID/Office of Transition
Initiatives (USAID/OTI), Army Civil Affairs, and Military Intelligence.
Extensive interagency coordination in planning and execution, as well as dedi-
cated staff and other assets optimized the military-civilian collaboration. This also
allowed information to flow more quickly and accurately among cooperating agen-
cies and military counterparts and enhanced efforts to realize both strategic and
tactical objectives in an efficient manner.
The NRCC focused its projects in areas that were beyond the geographic and
social reach of conventional civil and military organizations and was tasked with
denying enemy insurgents access to financial and human capital derived from the
exploitation of natural resources. The NRCC methodologies were informed by its
own investigations that the various insurgencies, taken cumulatively, actually con-
stituted a force that enjoyed popular support among a plurality if not the actual
majority of rural residents within its area of operations. As a result of this finding,
programs of the NRCC sought to partner with and extend the capabilities of village
stability operations focused at a tribal level. As a consequence, much of what the
NRCC conducted may best be described as tactics that approximated unconven-
tional warfare more than conventional counterinsurgency.
As previously mentioned, the purpose of the NRCC was to deny the enemy
access to human and financial capital derived from the exploitation of natural
resources. The goal of this denial of access was to assist unconventional warfare
operations to destroy Al Qaeda and render other insurgent organizations incapable
of dictating political outcomes within the rural areas of Kunar, Nangarhar, and
10 Civil-Military Interaction During Infantry Operations 149
Nuristan provinces. Thus, the NRCC benefitted from a clear and narrow mission
that focused programs at the village level within a tribal context in kinetic districts.
The nature of this mandate allowed the NRCC to avoid the effects of mission creep
and the consequent dilution of effort.
The NRCC developed a shared vision across all of its elements summarized as,
advise, assist, and train the local population to strengthen their communities in
order to promote traditional values. This approach mirrored that of the unconven-
tional warfare strategy then operating in specific areas of Kunar. A local militia
approach was built through the programming of village stability operations on the
notion of tribal honor and loyalties, rather than on payment or allegiance to Afghan
government. It is the focus on community self-reliance that distinguished both the
NRCC and the parallel village stability operations activities from standard counter-
insurgency tactics.
To effectuate its mission, the NRCC designed specially crafted programs that
profiled and targeted those types of men sought by insurgent organizations for
recruitment as mid-level, local commanders. This was accomplished by creating
immediate opportunities for these talented and ambitious men to make socially
respected contributions which were valuable to their communitys long term future.
The NRCC approach also used small scale, locally based reintegration options for
mid-level insurgent officers when the appropriate conditions allowed. Personnel of
the NRCC, both civilian and military, accompanied small maneuver elements on
dismounted combat patrols in order to mentor junior officers to improve their tac-
tics, techniques, and procedures. This personnel provided guidance and field assis-
tance to special forces as well as analyses for CAAT. Finally, the NRCC supported
a unique program of small-scale socioeconomic development that integrated on-
the-job training opportunities as an augmentation to more conventional vocational
education projects. The start-ups engaged in local traditional trades and industries.
10.6 Conclusion
While civil-military operations are always complex and difficult, they are becoming
more prevalent as the primary means by which the international community
addresses internal conflicts of various states. It is important for the field commander
to understand that, though the general principles for joint civilian military opera-
tions will be decided at the strategic level, there remains much discretion available
to the individual field commander to implement civil-military operations at the tac-
tical level for which he/she is responsible. To be effective, then, the field commander
must understand the tenets of unity of effort, the institutional cultures of the part-
ners, and the basic elements of successful organization.
150 J. Melkon et al.
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Chapter 11
Militarys Engagement in Civilian Healthcare
11.1 Introduction1
1
Parts of this chapter draw upon Bollen et al. 2012.
S. Rietjens (*) M. Bollen
Netherlands Defence Academy, Breda, The Netherlands
e-mail: basrietjens@gmail.com
as compared to assuring security, rule of law, jobs, and good government, health
services can contribute to reducing the potential for future conflict (Rubenstein
2009; Roberts et al. 2009; Babic et al. 2002). Finding very little research into the
causal relationships between health and state-building in fragile states, the HLSP
Institute observes: This is surprising given that historical experience suggests that
responding to social expectations can be central to long-term state survival, and that
demands for improved social services, including health, can be key (Eldon et al.
2008). There are no indicators in health programs and neither in state-building
programs- that show whether or not the provision of improved health services con-
tributes to a populations willingness to view its government more favourably
(Waldman 2007).
The military deploying during complex peace operations are confronted with a
void as to the provision of basic public services. In this context, for reasons of logis-
tics and security, military health assets may seem well placed to meet local needs.
As a result, although the military healthcares primary role is to conserve force
strength, activities in the domain of medical assistance to the civilian population
have become a significant component of current military operations (Neuhaus 2008;
Ford 2001). In fact, over the past decade, the majority of casualties treated by inter-
national armed forces have been civilian patients (Kenward et al. 2004; Neuhaus
2004, 2008; Grosso 2001). However, since international armed forces are only
deployed for a limited period, the provision of military healthcare to civilians can
only be extended temporarily and, consequentially, is not sustainable.
In addition, providing citizens with better (health) services can take away -some
of- their grievances both against the international armed forces as well as against
the local authorities thereby decreasing the influence and power of the opposing
military forces (Nagl 2005; Smith 2005). Along this line of thought, operations in
Iraq and Afghanistan have created a controversial renaissance of counter-insurgency
thinking in which the winning of hearts and minds to increase the legitimacy of the
host nation authorities features prominently (Egnell 2010).
When looking at the militarys engagement in civilian healthcare from the per-
spective of winning hearts and minds of the local population another set of con-
cerns emerges. Not in the least because this concept may be built on false causal
assumptions regarding the links between stabilisation and aid (Wilder 2008), such
as: reconstruction and modernisation efforts have stabilising effects on conflict; aid
projects help win the hearts and minds and thereby increase support for the host
government and the international presence or even, extending the reach of the
Afghan government contributes to stabilization (Egnell 2010; Wilder 2008).
In view of the above it will come as little surprise that, military engagement in
civilian healthcare is the subject of an intense debate (Gordon 2010; Rubenstein
2009; Neuhaus 2008; Rietjens and Bollen 2008; Wilder 2008). Against this back-
ground, this chapter attempts to investigate the engagement of the international
military in Afghanistans health sector and to identify the concerns this evokes. To
do so, based on an extensive literature study, Sect. 11.2 outlines the concerns that
surface when military units engage in civilian healthcare. Section 11.3 subsequently
describes the most prominent ways in which ISAF troops were engaged in providing
11 Militarys Engagement in Civilian Healthcare 155
civilian healthcare. Section 11.4 confronts the concerns with practice in Afghanistan.
The final section concludes the chapter and offers recommendations.
Recent experience shows that instead of being quick fixes, indeed, complex peace
operations constitute long-term processes of recovery challenging national and
international institutions. In particular, this applies to health. In a working paper on
aid effectiveness and health (WHO 2007) the problems in health are found to be
exacerbated by
the large number and diverse nature of development partners active in health, the large
unmet needs, the dependency on multiple sectors to achieve health outcomes, the major
roles of the private sector in both financing and delivery, and the long-term recurrent nature
of most health needs.
Despite the positive tone in a 2006 report on Afghanistans health system the
Afghanistan Research and Evaluation Unit (AREU) warns that progress may be
impeded by problems such as a lack of adequate funding and reliable, predictable
financial allocations for many years to come, uneven management, the relative
weakness of the overall government, the unstable security situation, the difficult
economic situation, inconsistent transparency and accountability and the need for
development of local NGOs (AREU 2006).
Both WHO and AREU stress the long-term nature of reconstructing the health
sector, which underpins a first concern regarding military engagement in this sector.
As military missions are planned on relatively short time horizons, the military can
only provide civilians with temporary healthcare. Civilian organizations, especially
development organizations, are often to stay in the area for a period of 510 years.
Consequentially, civilian and military organizations face synchronization problems
pertaining for instance to the extent of reasonable progress during a certain time
period (Winslow 2002; Rietjens 2008). Compounding the limited timeframes of
military operations, military units are primarily responsible for security. Whenever
the security situation deteriorates, humanitarian and development projects will often
be abruptly terminated (Rollins 2001).
According to Rubinstein (2009) short-term military engagements can be incon-
sistent with and, even undermine, long-term development. Humanitarian and devel-
opment projects undertaken by military units or civil-military hybrids to increase
stability and the legitimacy of a host nations government, as well as the interna-
tional presence, could indeed cause such risks. Although improving humanitarian
and development situations is important, it is not the main objective of these hearts
and minds activities (Egnell 2010). In the health sector especially, short-term
engagements should be considered most carefully because improved health
156 S. Rietjens and M. Bollen
outcomes are reversible, if access to services is interrupted unlike for instance, gains
in educations.
Along more or less the same lines, a second concern about military engagement
in civilian healthcare can be distinguished. The development community strongly
voices the conviction that improved healthcare is an objective in itself worth striving
for instead of being a means to achieve political stability (e.g. Waldman 2007).
Rubenstein (2009) argues that the humanitarian principles (see Frerks, Chap. 3 this
volume) risk to be sacrificed to attain military strategic advantages whenever the
military engage in civilian healthcare. In line with this argument, it has been indi-
cated by the military that activities benefiting the safety of own troops often will be
favoured over activities aimed at improving grass-root security and reconstruction
for the Afghan population (Rietjens et al. 2009).
Third, NGOs report that services run by or in conjunction with the military in
Afghanistan can endanger the population or local or international service providers
(Rubenstein 2009; Rietjens et al. 2009; ACBAR 2003; Rietjens and Bollen 2008).
Where insurgents understand that a militarys engagement in civilian healthcare is
designed for strategic purposes, health facilities and workers easily become a target,
and the safety of development projects and personnel in the vicinity may be jeopar-
dized (Rubenstein 2009). In areas where the insurgents are more influential the
challenges of implementation exceed the competence of the military. In the Korengal
Valley of Kunar Province, newly constructed schools, clinics, irrigation pipes were
blown up by the insurgents as soon as they were finished (Egnell 2010).
Whilst coordination is beneficial in catastrophes to optimise scarce resources, it
is even more necessary in complex peace operations where amongst other things, a
mixture of political factors, conflicts and extreme vulnerabilities is at play
(Transnational Institute 2001). Military personnel believe in the merits of coordinat-
ing effort and strive to achieve logical and clear structures to this end. Civilian
organisations, driven by the humanitarian imperative, are wary of anything that
might limit the humanitarian space or otherwise interfere with their freedom of
action. This is particularly true of the smaller and newer NGOs, who generally take
a minimalist approach to coordination (Laurence 1999). In this respect Last (2000),
states that Everyone wants co-ordination, but no one wants to be co-ordinated by
others. As a result, coordination is frequently absent (Berg and Dabelstein 2003).
Within the health sector coordination constitutes a challenge. Health outcomes
are dependent on a range of inputs beyond the jurisdiction of the Ministry of Public
Health (MoPH), particularly, education, water and sanitation and nutrition, and thus
require coordination and cooperation between different parts of government and
external institutions; something for which there is typically little incentive, finance
or structure to manage (WHO 2007). Due to a lack of coordination, amongst others,
aid to fragile states tends to be volatile, because whenever external institutions do
engage, they risk the establishment of parallel systems rather than working through
government, which in turn hinders future capacity building (see e.g. WHO 2007).
Fifth and finally, both within military and civilian communities the utility of mili-
tary engagement in humanitarian and development projects is questioned (Egnell
2010; Jacoby and James 2010). According to General MacKenzie soldiers are not
11 Militarys Engagement in Civilian Healthcare 157
social workers with guns. Both disciplines are important, but both will suffer if
combined in the same individuals (Adinall 2006). Within the aid community also
this argument is strongly endorsed. There are two main reasons for this. First, the
military often lack expertise, experience and training to conduct these types of
activities effectively. This lack of expertise means that although the military may
command part of the necessary resources this does not mean they know how to
put their resources to good use (Bollen 2002). As a result, military projects in the
sphere of development and humanitarian affairs often underperform in terms of
cost-effectiveness and sustainability (Egnell 2010).
With respect to the provision of healthcare these arguments should however be
nuanced. Military medical personnel is often highly educated, trained and equipped
to perform a wide range of medical activities. And as to the cost-effectiveness there
is no doubt that, in many circumstances, the real cost of the use of military person-
nel and/or equipment exceeds that of a civilian organisation. However, it can also be
argued that, in some circumstances, a military organisation has a clear comparative
advantage to civilian organisations. Such an advantage can include (see Tatham and
Rietjens forthcoming): (1) the ability of military organisations to operate in unsafe
areas where other organisations either will not, or cannot operate. (2) The short
time-period in which activities are to be completed with the consequential premium
that relates to swift response that can be delivered by military organizations. (3) The
absence of actors other than a military that have the capability and/or capacity to
undertake the required activities.
In sum, five main concerns surface with respect to military engagement in civil-
ian healthcare. Let us now look at the ways in which international military troops
have been engaged in civilian healthcare in Afghanistan.
From the empirical data2 three main types of healthcare activities are identified in
which ISAF troops have been engaged in: (1) treatment of local nationals, (2) medi-
cal civil affairs patrols (Medcaps) and medical engagements and (3) support to IOS
and NGOs.
2
Empirical data were collected in several different ways. Two field visits were made to Afghanistan,
one to Kandahar and Kabul in January 2009 and one to Uruzgan province in May and June 2010.
During these field visits relevant documents were collected and key personnel were interviewed,
amongst them the military medical staff, hospital staff, civil-military cooperation personnel, civil-
ian advisors such as development advisors, NGO representatives and military planning staff.
In addition to these field visits all PRT weekly reports over the years 2007 and 2008 have been
studied. These reports contain detailed information on the PRTs healthcare activities. Also, the
analysis draws upon the experience of the former director of the Afghan National Coordinating
Bureau an umbrella organisation coordinating efforts of Afghan NGOs.
158 S. Rietjens and M. Bollen
In many ways ISAF personnel are confronted with injured Afghans whether or not
as a result from conflict activity of ISAF or Afghan National Security Forces
(ANSF). In such cases, typically, a commander will be forwarded a message includ-
ing the location of the casualty, the nature of the injury and whether or not addi-
tional medical supplies are needed. This message consists of nine rules referred to
as the nine-liner. Subsequently, a flow chart is followed offering three options: the
injured person is (1) a member of ANSF requiring emergency aid; (2) a non-
combatant injured by conflict activity with ANSF or ISAF troops; (3) a non-
combatant and the injury is unrelated to conflict activity. Non-combatants not only
include the local population, but also media, contractors, personnel attached to UN
agencies and humanitarian workers (Neuhaus 2008).
Within the first option, the injured person is treated in the casualty chain of the
Coalition Forces (ISAF or OEF). After treatment the patient is discharged or trans-
ferred to an ANA or civil hospital. Within the second option the patient is also
treated in the casualty chain of the Coalition Forces. However, after treatment he or
she is either discharged or transferred to a local national or NGO hospital.
When the injured person is a non-combatant and the injury is unrelated to con-
flict activity (the third option), treatment depends on the extent of emergency care
required and the extent of spare capacity within the medical facilities of the Coalition
Forces. If considered an emergency and capacity is available the patient is treated
within Coalition Forces medical facilities. In any other circumstances the injured
person is transferred to a local national or NGO hospital. These decisions are sum-
marised in the so-called medical rules of eligibility. The rules that were in use in
Regional Command (RC) South in 20092010 are presented in Fig. 11.1.
In many ISAF hospitals local nationals form the bulk of the patients. It is esti-
mated that approximately 90 % of the patients in the Dutch-led Role 2 hospital in
Uruzgan province is Afghan.
MEDCAPS and medical engagements are the most obvious military engagement in
healthcare. Although there are varying definitions, MEDCAP is commonly used in
NATO as the generic term for clinical assistance patrols to local nationals in remote
or disaster-affected areas where NGOs have limited access. MEDCAPS are usually
conducted by a tactical commander using available ISAF, ANSF and Afghan gov-
ernmental medical staff. Together with Dental Civil Affairs Patrol (DENTCAP) and
Veterinary Civil Affairs Patrol (VETCAP) this composes the village medical out-
reach. While very popular during the first years of the operation in Afghanistan,
most military contingents carry out less MEDCAPS nowadays.
11 Militarys Engagement in Civilian Healthcare 159
(contiuned)
160 S. Rietjens and M. Bollen
provincial Director of Public Health to avoid duplicating services, and also to avoid
confrontation with NGOs contracted by the Afghan government to implement
healthcare in that province. This unfortunately is not always the case and still sev-
eral of such activities are carried out in isolation of local government or NGOs.
As training and development of ANSF is a main effort of ISAF, MEDCAPs and
medical engagements are frequently conducted jointly with ANSF medical teams in
order to develop indigenous military medical experience, as well as to further inte-
grate the ANSF with the people of Afghanistan.
While the responsibility for the Afghan health system rests with the MoPH, as of
February 2011, there were approximately 200 international and Afghan organisa-
tions providing various levels of healthcare across Afghanistan (ISAF 2011), mostly
operating under the umbrella and guidelines of the MoPH.
ISAF has been supporting these organisations, both international and Afghan, in
multiple ways. First, by providing direct and indirect security ISAF enabled IOs and
NGOs to carry out medical activities such as vaccination programs.
Secondly, ISAF has offered technical and logistical support to IOs and NGOs. In
the US-led PRT in Qalat
Winterization planning had been frozen due to WFP [World Food Programme] need for
provincial government guarantees for security and distribution, and the delay in execution
has now limited the areas which can be reached before winter weather make parts of the
province inaccessible to convoys. The PRT contracted 47 storage containers to be delivered
to key distribution points (PRT weekly, December 16 2008).
This third type of military activity differs significantly from MEDCAPs and
medical engagements in that it facilitates and enables the work of IOs and NGOs,
while the MEDCAPs and medical engagements are mainly carried out on the mili-
tarys own initiative without involving -or consulting- IOs or NGOs.
Lastly, nowadays many military contingents in Afghanistan are aware and
acknowledge the large national medical programs such as the Basic Package of
Health Services and the Essential Package of Hospital Services. As a rule, the mili-
162 S. Rietjens and M. Bollen
11.4 Discussion
of tactical activities, separated from traditional military tasks. Such operations use
military resources to provide carefully targeted support to the local community to
increase campaign authority and legitimacy instead of impartial alleviation of
human suffering or development. These kinds of hearts and minds projects are also
described as part of short-term military necessity; something to balance against
long-term considerations such as rule of law, providing an acceptable steady state,
and the success of the campaign as a whole (UK Ministry of Defence 2004).
Some of the medical engagements do however not comply with this vision. In
Uruzgan various medical engagements focused on capacity building. To target
maternal mortality the Dutch contingent set up a special training to increase the
quality and number of midwives in Uruzgan. Also personnel of the provincial hos-
pital in Tarin Kowt were given training on quite a regular base.
Wilder (2008) points out the contemporary interpretation of winning hearts and
minds in a setting of complex peace operations has created a number of question-
able assumptions regarding the links between stabilization and aid. First, it is
assumed that reconstruction efforts have stabilizing effects on conflict. It is thought
that aid will lead to economic development which in turn, will bring about stability.
Second, aid projects are assumed to help win the hearts and minds and thereby
increase support for the host government and for the international presence. Third,
re Afghanistan, extending the reach of the Afghan government is assumed to con-
tribute to stabilization. This is explicitly expressed as the PRTs objective. However,
Wilders research in Afghanistan indicates that these causal assumptions underlying
the non-coercive hearts and minds approach may be false (Wilder 2008).
A second risk is run, whenever investments in health are used to improve the
image and influence, thus winning hearts and minds and when devoting resources
to visible projects at the expense of effective and sustainable system-building activi-
ties. Across the development community this concern is considered especially great
where the military engage in civilian healthcare activities as part of counterinsur-
gency or stability operations, such as MEDCAPS and medical engagements. Except
for support to a host countrys health services for its own military, the militarys
approach is perceived to be short term and tactical, project- rather than systems-
based. Military-generated projects are criticized for not being linked to building a
coherent system of services, and for not being oriented towards building the capac-
ity of the Ministry of Public Health or a long-term vision that links health facilities
with staffing needs. Moreover, in insecure environments, military engagement in
civilian healthcare activities can undermine the safety of health workers (Rubenstein
2009).
Last, approaching civilian healthcare as a means of conflict prevention can dis-
tort policy and spending decisions by way of concentrating on programs and proj-
ects that appear most connected to conflict resolution. This can then undermine
comprehensive capacity development to improve population health based on prin-
ciples of equity and non-discrimination (Rubenstein 2009).
Generally, military activities in supporting IOs and NGOs, specifically when
undertaken at the demand of civilian agencies, seem not add much to the concerns
as mentioned in the Sect. 11.2. In cases where the military provides direct or indi-
164 S. Rietjens and M. Bollen
rect security, many view this to be the militarys principal role, in which there is no
overlap between military and civilian competencies and domains (Abiew 2003;
Winslow 2002; Bollen 2002; Rietjens and Bollen 2008).
Finally, with regard to the concern endangerment multiple and conflicting
stances on the appropriateness of civil-military interaction are part of everyday real-
ity. Some IO/NGOs are reluctant to be associated with a military force and thereby
lose their protective patina of neutrality. Frerks et al. (2006) refer to these organiza-
tions as being principled, whereas pragmatic organizations generally interact more
easily with military forces (see also Chap. 3 this volume).
In the 1990s reconstruction processes were evaluated as too much geared towards
the quick introduction of formal democracy through elections. Since then, strategies
have shifted to a more balanced institutional approach aiming to simultaneously
advance recovery in governance and participation; security; justice and reconcilia-
tion and socio-economic development. It is acknowledged that integrated recon-
struction is not easy, especially when peace is not the beginning but meant to be the
outcome of the reconstruction process, like in Afghanistan. Any comprehensive
approach to operations requires good linkages between diplomatic, development
and military endeavours and this is especially so in civilian healthcare.
We recommend that, within complex peace operations, in cooperation with the
development community and host countries authorities, commanders and surgeons
general develop shared medical rules of engagement to be adhered to by all military
expeditionary contingents. It is important for such rules of engagement to be embed-
ded within and aligned to the countrys public health policies and infrastructure.
Medical training of the countrys security forces to provide for the treatment of
combatants and non-combatants injured by conflicts may be included in the medical
rules of engagement. Medical training of indigenous security forces, also, should be
in line with the countrys general public health policy.
Next, empirical research into the relation between civilian healthcare and con-
flict prevention in transitioning countries is necessary and should be stimulated.
Based on such research, indicators and measures of effectiveness should be
developed.
Considering the primary goal of healthcare is to improve the health status of the
population, host nation healthcare facilities should be used as much as possible.
Geographical and security reasons aside, to date, there exists insufficient knowledge
about the considerations and requirements with regard to seeking care outside the
home; the ways in which decisions on are made within households; financial con-
cerns and the role and availability of alternative sources such as private providers or
traditional healers in the marketplace. To address civilian healthcare in Afghanistan,
or in other areas, such information seems crucial.
11 Militarys Engagement in Civilian Healthcare 165
Finally, many military units use the slogan Put an Afghan face on everything to
indicate they involve local stakeholders and to enlarge credibility of the local
authorities. Although an encouraging development this often only enlarges credibil-
ity on the short-term and does not equal full local participation. Participation implies
more than an afghan face and requires involvement of Afghan stakeholders through-
out the entire (healthcare) reconstruction process, rather than in marketing the final
product. Such participation however requires time, or as several respondents noticed
An Afghan face equals an Afghan pace.
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11 Militarys Engagement in Civilian Healthcare 167
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Chapter 12
CIMIC Projects: Divergent Interests,
Convergent Action?
Gerard Lucius
12.1 Introduction
Since the 1990s, many military forces have been involved in small development
projects. These projects are controversial. Within the military, many challenge the
notion that this is a task soldiers should perform, while in the NGO community, they
are often seen as unfair competition (Frerks et al. 2006). Research suggests that the
projects are often considered unsuccessful by the recipients, the host government and
local and international NGOs. The activities, the critique goes, are often chosen for
their strategic or political value rather than their development relevance. The views
of the beneficiaries are not taken on board, so that the projects are not, in the
parlance, needs-driven. As selection and part or whole of the implementation is
done by the donors, the opportunity to improve local capacity for project delivery is
missed. Lastly, the projects suffer from a lack of sustainability (Rietjens 2008a, b).
In contrast, the providers of this type of aid, including Western governments and
militaries, commonly take a more positive view, while not necessarily denying all
drawbacks, limitations and the occasional failure.
This chapter begins with a description of small development projects carried out
by deployed military forces, citing a number of typical characteristics. It will then
explain that in most operations, a least three groups of stakeholders can be identified
in relation to small projects: (1) Military agencies of the state that is providing the
projects, (2) Civilian agencies of the same state and (3) The government and people
of the recipient state. These groups have different, but partly overlapping approaches
to participating in the implementation of CIMIC projects.
G. Lucius (*)
Netherlands Ministry of Foreign Affairs, The Hague, The Netherlands
1 (NL) Civil and Military Interaction Command, Apeldoorn, The Netherlands
e-mail: gerardlucius@gmail.com
The chapter will describe how these approaches are determined by the respective
groups bureaucratic and political interests, but also the personal motivations of
group members. A case study of CIMIC projects carried out by Dutch forces in the
Afghan province of Uruzgan in 20082009 will elaborate on one method developed
for the identification, selection and implementation of small projects and describe its
rationale, successes and weaknesses.
The case study is followed by a discussion. The chapter shows that CIMIC
projects, provided they take into account the needs of all stakeholder groups and
satisfy the many technical demands, may be beneficial to all involved.
CIMIC projects vary widely in scope, size and institutional arrangement. To delin-
eate the subject, and following the project lifecycle, CIMIC projects may be
described by their nomenclature, origin and objective, size, funding type, develop-
ment and implementation arrangements, and accountability mechanisms.
Nomenclature CIMIC projects are also referred to as Quick Impact Projects (QIP)
or PRT-projects, after the Provincial Reconstruction Teams that provide them. In the
Iraq and Afghanistan theaters, the US made funds available to units under the
Commanders Emergency Response Program or CERP. Another term encountered
is Hearts & Minds Projects.
Origin and Objective CIMIC projects are related to a military intervention and
involve the military spending and accounting for funds. One of the stated aims of
the activity is to support the military effort. It is this particular objective that sets
CIMIC projects apart from other development activities, that take the needs of the
beneficiaries or recipients as their starting point (Brocades 2008).
Size CIMIC activities may involve expenditure ranging from several hundred USD
to several million USD in rare cases. Very often, the focus is on projects with a
budget in the 5.00025.000 USD range.
Funding Type Funds may originate with a Ministry of Defence, a Ministry of
Foreign Affairs or a governmental development agency, but are always spent by the
military. Funds may or may not qualify as Official Development Assistance (ODA)
as defined by the Organisation for Economic Cooperation and Developments
Development Assistance Committee (OECD-DAC). A summary of the OECDs
criteria can be found in the Textbox 12.1: What counts as development aid?.
Implementation Arrangements In most deployed NATO armies, CIMIC funds are
held by J-8 staff section at brigade or battalion level and subsequently distributed to
company commanders typically in cash. In some operations, separate structures
may be set up focusing on non-military results or effects of the mission, such as
Provincial Reconstruction Teams. The existence of PRTs may or may not preclude
12 CIMIC Projects: Divergent Interests, Convergent Action? 171
the availability of CIMIC funds to other military units with a more exclusive
military remit. Whether or not a separate military organization is put in place to
handle CIMIC projects, procedures will be developed for identification, de-selection/
selection, contracting, payment, implementation, verification and accountability of
CIMIC projects.
Accountability The use of public funds is typically accompanied by an account-
ability mechanism. The provenance of the funds normally dictates the rules, but
democratic societies have in common a system of record taking and reporting that
aims to enable management on-site, senior management at Headquarters, the politi-
cal leadership and, ultimately, legislators to assess after the fact how funds were
utilized. In addition to this chain-of-command reporting, institutions such as audit
firms, Audit Boards and Inspectors will be involved to ensure independency and
quality. The US Special Inspector-General for Iraq Reconstruction (SIGIR) is a case
in point.
(continued)
172 G. Lucius
In a typical military operation that engages in CIMIC projects, at least three groups
of stakeholders can be identified:
1. The Ministry of Defence of the country implementing the projects and its subor-
dinate structure;
2. Diplomatic and development agencies of the same country, and
3. The government and people of the country where the military force is deployed.
This chapters main argument is that these groups of stakeholders may have
diverging views on the situation on the ground. Even within each group, views will
differ (Ruffa 2014). This section describes how stakeholders may view CIMIC proj-
ects. I will discuss how these views may be determined by the institutional interests
of these stakeholders, and concentrate on the question of how, given the diverging
interests, a common view and unity of purpose can be achieved.
At the different levels within the sending states MOD, participation in CIMIC
projects may be motivated by various considerations:
CIMIC projects offer an excellent opportunity to show the public the friendly side
of the warrior; the military are not just out to fight, but actively engage in recon-
struction, saving lives and providing positive photo-opportunities that war
fighting cannot. Press & Information Officers on the ground are in continuous
search for stories that support the political leaderships arguments in favor of the
mission that carries out the CIMIC activities, and for the work of the military in
general These may summarized as Public Relations or Political considerations.
Armed forces need large numbers of motivated young women and men every year.
The positive image of the army that CIMIC projects can help establish also
supports their recruitment efforts. There are, in other words, Recruitment
considerations.
Research shows (e.g. Rietjens 2008a, b) that soldiers derive substantial pride and
pleasure from working on CIMIC projects. Confronted with local populations
whose living conditions are sometimes appalling, many soldiers wish to help,
preferably as directly as possible. The ability to have a positive impact, act per-
sonally to alleviate poverty and to show your efforts to family and friends gives
CIMIC projects a quality that most other military tasks do not have. CIMIC
projects have a positive influence on Morale in the armed forces, both at the unit
and the individual levels.
174 G. Lucius
Many peace operations, including those that focus on separation of forces, have
long, quiet periods during which being present in the area of operations is the
deployed units main task. If there are no other significant tasks, the result may
be that units have much idling time. Under such circumstances, military
commanders have been known to initiate CIMIC projects to keep their soldiers
occupied (e.g. Rietjens 2008a, b). CIMIC projects may therefore be utilized to
address Workload issues.
Mandates of military missions nowadays are rarely restricted to the military task of
providing a safe and secure environment, separating warring parties and collect-
ing small arms and light weapons. Instead, the focus of the mission as a whole is
often on the need to facilitate long-term physical reconstruction and political
reconciliation. Combat forces will supply the means to create and maintain what
is usually referred to as a safe and secure environment. Additional capabilities,
e.g. engineer units or reservists with civilian expertise, may or may not be
deployed to perform activities in support of the longer-term elements of the
mandate such as reconstruction or political stability. Whether implemented by
specialists or by regular forces, CIMIC projects can provide a direct effect on
elements of the Mission Mandate.
In a foreign country, a minimum level of support from the local population is a
necessity for the deployed forces. Small projects can assist to win the hearts and
minds of the people in the AOR, making the working environment safer for the
units deployed. Force Acceptance is often a prime motivation to engage in
CIMIC projects.
CIMIC projects involve the development by the military of relationships with all
manner of local institutions and individuals. This can greatly support the insight
of the force in the dynamics of its environment. In addition and with luck, inter-
locutors may be willing to share information with members of the force that they
might not otherwise. CIMIC projects can thus play a role in Intelligence gather-
ing (Fig. 12.1).
12 CIMIC Projects: Divergent Interests, Convergent Action? 175
Recruitment
Public Relations
Domestic political support
Personal satisfaction
Improves Morale
Supports implementation
of Mission Mandate
Intelligence gathering
1
Examples of these include the German Gesellschaft fr Internationale Zusammenarbeit GIZ, the
US Agency for International Development, Australian AUSAID, and Japan International
Cooperation Agency, JICA.
176 G. Lucius
the Millennium Development Goals,2 and may have a more technical approach to
projects than the diplomats.
CIMIC projects may be seen as competition to the development program they are
involved in. More positively, CIMIC may be perceived as a useful precursor to
regular development aid; larger programs will take up to 2 years to get off the
ground, leaving a gap between deployment of military forces and implementa-
tion of development programs that CIMIC projects can fill. The third view of
CIMIC projects can be of them as small-scale and localized activities that have a
development relevance of themselves and are complementary in character
(Fig. 12.2).
2
The Millennium Development Goals were adopted by the General Assembly of the United
Nations in September 2000 and include commitments to halve the proportion of people living on
less than USD 1.25 a day, halve the proportion of people who suffer from hunger, ensure that all
children worldwide can complete a full course of primary schooling, reduce by two-thirds the
number of children dying before the age of five, and four other goals, by 2015.
12 CIMIC Projects: Divergent Interests, Convergent Action? 177
Fig. 12.3 Why participate in CIMIC projects? Interests of the government and people of the host
country
Local political parties, religious groups, youth associations and other Non-
Governmental Organisations (NGOs) will generally be in tune with the needs of
the local population and may support CIMIC projects if they perceive them to be
beneficial to the recipients. NGOs may be involved at any stage in the project
cycle (identification, development, selection and de-selection, implementation,
monitoring, reporting and evaluation). As with international development agen-
cies, local NGOs in the development field may regard CIMIC activities as com-
peting with their interests as development organizations.
Individual local nationals in all their diversity (gender, age, ethnicity, religion,
wealth, political affiliation etc.) have needs that CIMIC activities can address and
to the extent that they do, support can be expected. If goods, funds or services are
transferred to recipients without any contribution from their side, it will be more
difficult to ascertain the true level of support for the activity, as people will be
careful not to bite the hand that feeds them (Oloruntoba and Gray 2009). In situ-
ations of ethnic, tribal or religious strife, groups may demand a fair share of the
activities, regardless of their relative needs vis-a-vis those of members of other
groups (Fig. 12.3).
All stakeholders have their own interests that will shape their opinions about the
usefulness of CIMIC activities. From the side providing the assistance, diplomats,
foreign military units and aid organizations can all benefit by engaging in CIMIC in
terms of increased political support back home, more funding, good public relations
at home and in the host country, and improved morale of their own staff. Strikingly,
of all the reasons to engage in CIMIC activities, only very few are related to the
needs of the local population, the recipients of the assistance. On the side of the
providers of CIMIC projects, most motives to engage are political or personal in nature.
178 G. Lucius
On the side of the recipients, we can distinguish between the final recipients of
the aid, beneficiaries in the jargon, and the intermediary level of NGOs and other
local organizations. The beneficiary is simply interested in receiving support and
will accept it as long as it does not endanger her or him in any way. The less s/he is
involved in the activity (decision-making, co-funding), the more difficult it will be
to know how the beneficiary really feels about the project.
The NGOs and the government of the host countries at national, regional and
local levels will also have political, funding, personnel and many other consider-
ations and will weigh those when forming an opinion about foreign militaries
carrying out CIMIC projects.
Policy
Dutch policy vis-a-vis failing states in general had been described in a Government
White Paper of 2005 (Wederopbouw na conflict, TK 28 0000 V, nr. 60, 24 April
2002). The White Papers main thrust was that reconstruction should be a multi-
pronged approach, encompassing:
1. Promotion of peoples security situation in a broad sense (human security),
including the promotion of the legal order, Security Sector Reform, Disarmament,
Demobilization and Reintegration, and, where applicable, the deployment of
international crisis management missions to promote stability and restore order;
2. Promotion of legitimate governance, capable of providing the essential functions
of government (good governance), an open political process, peaceful resolution
of conflicts and transitional justice;
12 CIMIC Projects: Divergent Interests, Convergent Action? 179
3. Creating peace dividend and showing the advantages of peace and stability in
terms of improving living conditions and creating employment. Basic services,
such as education, healthcare, water and sanitation and infrastructure. Lastly, a
strong civil society that speaks out for human rights, minority rights and disen-
franchised groups.
The White Paper summarized an approach that had slowly developed over many
years of carrying out and evaluating programs in post-conflict situations (see for one
overview: Netherlands Ministry of Foreign Affairs, 2012). In preparing for the mis-
sion in Uruzgan, the lead ministries Defence and Foreign Affairs, that in the
Netherlands includes Development Cooperation drafted a research report in con-
junction with local NGO Tribal Liaison Office (later: The Liaison Office, TLO). It
provided a description of the province in terms of ethnic and religious composition,
medical care, housing, agriculture, education and other factors (see Royal Dutch
Embassy, 2006). It was to form the methodological basis for Dutch interventions in
the province until the troops moved out in 2010.
The Dutch presence in Uruzgan was named Task Force Uruzgan or TFU. It deployed
in August 2006, taking over from the US Provincial Reconstruction Team that had
been operating in Uruzgan from 2004 (Kitzen et. al. 2013). The Task Force was
co-led by a senior military officer in the rank of colonel (later brigadier-general) as
Commander, Task Force Uruzgan (C-TFU) and the Civilian Representative, the latter
a senior diplomat. TFUs main elements were:
1. A Battle Group, consisting of 4 mechanized infantry units, Apache AH-64 attack
helicopters,, UAVs and 155 mm artillery systems and Combat Service Support
elements. F-16 aircraft were available from Kandahar Airfield.
2. The Provincial Reconstruction Team, led jointly by a military officer in the rank
of lieutenant-colonel and the Deputy Civilian Representative from the Ministry
of Foreign Affairs.
The Provincial Reconstruction Teams main elements were 4 Mission Teams,
two operating in the area of the provincial capital Tarin Kowt, and one each in the
villages of Deh Rawod and Chora, respectively. The Australian Defense Force con-
tributed with the Australian Reconstruction Task Force that included engineering
capacity. The PRT focused on the villages of Tarin Kowt, Deh Rawod and Chora, in
which some 70 % of the population lived and that ISAF more or less controlled.
Apart from the 4 Mission Teams and a small staff element, the PRT also included
a number of civilian specialists, seconded by the Dutch MFA: two Development
Advisers, a Tribal Adviser with an Assistant, two Political Advisers and their own
translators. The Police Mentoring Teams, including their own Force Protection
Element, were later added to the PRT organization. Also included in the PRT were
180 G. Lucius
The Dutch strategy was to start off with smaller projects, to be identified and funded
by the PRT. Handing over to the Afghan authorities and other partners was part of
the exit strategy. Smaller projects delivered by foreign military were to be replaced
over time by Afghan government-led programs that foreign governments were
mostly involved with as donors.
In 20082009 however, the capacity of the Government of Afghanistan to deliver
services to its people was still weak and PRTs were relatively important providers
of aid. Mission Teams deployed close to or in the towns were confronted with a
large demand from the local population for projects, partly because since the US
PRT that deployed in 2004, the people had become accustomed to money being
made available for small infrastructural projects.
As PRT 6 started its work in Uruzgans capital Tarin Kowt in September 2008,
the teams quickly amassed dozens of proposals and requests per team per week, that
were passed on to the two Development Advisers for authorization. There was how-
ever no set procedure to assess the proposals and no strategy that would guide the
choice for or against. What was clear was that it would not be possible to grant every
request. A procedure was devised that attempted to address as many relevant criteria
for assessing proposals as possible, while maintaining simplicity and speed. Social
and political considerations were taken into account, as well as more technical issues.
Perhaps the single most important factor to consider was local support for the initia-
tive. Mission Teams had to establish whether the idea was considered useful by the
community or they would risk non-implementation, neglect or sabotage of the
project by the Opposing Military Forces. Conversely, developing projects that met
villagers real needs could have a strong impact on local public support for the
ISAF presence and hence on force protection.
It was difficult to establish how much local support a proposal enjoyed when
they were put forward by tribal or political leaders in private meetings with the
Team. When proposals emanated from community meetings or shuras and met with
approval there, then it was usually assumed that most would support the plan. There
was an impression however, that large shuras had their own dynamics in which
maintaining proper standing in the community (e.g. being seen as pious hence
3
Currently 1 (NL) Civil and Military Interaction Command.
12 CIMIC Projects: Divergent Interests, Convergent Action? 181
calling for additions or repairs to the mosque) may have been prioritized over
identifying other needs (e.g. drinking water, roads).
Political considerations sometimes also played a role, e.g. to strengthen the hand
of a moderate leader that ISAF troops enjoyed good relations with. By the same
token, activities in areas that had newly been brought under ISAF control would be
prioritized to show the population the dividends of peace.
Tribal balance was also taken into account. The PRT, by virtue of the sociologi-
cal study of Uruzgan mentioned in section Policy and its own Cultural Advisers,
had some insight into the balance of power between the various tribal factions.
Where many positions of power in Uruzgan were occupied by members of a minor-
ity tribe, the PRT would often deliberately support other groups.
Technical Criteria
(a) Channel. Although the PRT would often be the first organization to be
approached, requesters would be referred to (1) the local authorities, (2)
International Organizations with a mandate supported by Kabul4 and (3) local
4
The United Nations Assistance Mission to Afghanistan, UNAMA, only opened its own office in
Uruzgan in May of 2009, but it and various UN agencies and programs including WFP, did operate
in the province in 2008.
182 G. Lucius
and international NGOs. Only when these organizations were unable to support
the initiative would the PRT consider it. This measure was designed to create a
virtuous circle of Afghan people demanding services from the government and
the government responding.
(b) Time was another consideration. Focusing on quick impact, and with PRT
rotations not exceeding 6 months in duration, the aim was to award, execute and
pay for projects within weeks, rather than months.
(c) Technology.
Many project proposals involved some form of infrastructure. Small bridges
to cross the many irrigation channels, water wells, river bank protection and
road repairs were particularly popular. The engineers of the PRT, reservists with
a background in civil engineering, would assess the proposals on their technical
feasibility. Related to that assessment was the question whether the solution
proposed classified as what is referred to as appropriate technology. The most
efficient or cutting edge technology is not always the most suitable for a post-
conflict environment. Ruggedness, ease of operation by unskilled people and
little need for maintenance would be considered advantages.
(d) Security. The Task Force operated in a highly insecure area in which Improvised
Explosive Devices, or IEDs, were the opponents weapon of choice. Materials
that could be used for the production of IEDs would not be delivered as part of
a CIMIC project. These included saw blades, fertilizer containing high levels of
nitrate, radios, copper wire and all types of batteries (Rietjens et al. 2014).
(e) Sustainability was always discussed extensively. Even assuming that the com-
munity supported the implementation of the project, how would continued
operation be ensured? Were there any needs for maintenance, if so, were spare
parts available, skilled workers, funds, a supply chain? The PRT discovered
that proposals based on a commercial business plan often scored high on this
important criterion. As an example, small Hydro-Electric Power plants (HEPs),
running on the flow of a stream, would be financed. The families connected to
the HEPs small grid would pay a monthly fee towards maintenance of the
installation, light bulbs etcetera and through those contributions sustain a
small business.
(f) De-confliction. It was the Development Advisers task to ensure connectivity
between CIMIC projects and the work of the Government of Afghanistan. By
2008, Afghanistan was implementing a National Development Plan that brought
a multitude of smaller and larger projects to the provinces. It required close
coordination with the local representatives of government ministries to avoid
competition on the one hand, and gaps on the other. Here, too, time and geography
were used to de-conflict, whereby the government (and international NGOs)
would work in areas that had been secured and stabilized for some time, and the
militarys CIMIC projects would be run in outlying areas.
(g) Finance and probity. Considerations of finance and probity included the pre-
liminary question about the availability of funds. The first Dutch PRT had been
provided some Euro 500,000 that were quickly spent. By the last quarter of
2008, some Euro 4.5 million had been disbursed. The S-8/Finance officer of the
12 CIMIC Projects: Divergent Interests, Convergent Action? 183
PRT ensured funds were made available through regular Netherlands Ministry
of Defence (MOD) channels. MOD, in turn, received the funds for CIMIC or
Quick Impact projects from the MFA and the expenditure was accounted for as
Official Development Aid or ODA. It therefore had to fall within the definition
of ODA as formulated by the OECD that precludes i.a. military materiel such as
weapons and ammunitions (see Text box: What counts as Development Aid?).
In Uruzgan in 20082009, sufficient funds were available in the form of a
CIMIC budget delegated to the Dutch Ministry of Defence by the Ministry of
Foreign Affairs DG for International Cooperation.
The PRT took care to request multiple quotations for the works to be carried out.
Over time, it developed norms for prices of labor, cement, sand and gravel, etcetera.
This helped ensure better value for money and prevented unfair competition and
perverse effects on the local economy as described by (Rietjens et al. 2014).
A last but important aspect was corruption. Implementers, such as community lead-
ers and building companies, were in a position to engage in corrupt practices for
example by pressuring or paying villagers to support certain project proposals or by
forging budget proposals, quotations or receipts. Stolze and Rietjens (2012) have
shown that corruption in CIMIC projects occurred in Afghanistan at a significant
scale.
184 G. Lucius
As in other project cycles, part of the effort focused on the verification of implemen-
tation. Were projects actually delivered? Did the water well function as intended,
were the villagers happy, both the men and the women? Final payments would
be held up until proof of completion was provided, for example by photographs
submitted by the project implementers or through military patrols of the Task
Forces own units.
The PRT Mission Teams and the infantry units of the Dutch Battle Group would be
approached with proposals, as would their commander, the Commander Task Force
Uruzgan. In 20082009, it was not uncommon for a Mission Team to receive 1520
proposals per week, adding up to 50 or so for the totality of the PRT.
Using the social, political and the technical criteria mentioned above, the Mission
Teams would reject a significant number of proposals. The Cultural Adviser, the
Political Adviser and the Development Adviser were available to provide advice.
Proposals would also be assessed by the PRTs engineers on technical criteria and
by the staff officer Finance5 on financial aspects.
A weekly meeting was convened in which the Mission Teams would each pro-
pose 45 projects, that were then subjected to peer review. Having passed through a
staff process preceding the weekly meeting, the technical and financial soundness of
the proposals was assumed. The debate, chaired by the Development Adviser,
would usually concentrate on the political soundness of implementing an activity
with and for a certain group in a particular area. If a tribal leader asked for 4 bridges
to be built, and he was known to have close links to the Taliban, would those links
be a reason to refuse the proposal, or a reason to engage with him? The Cultural
and Political Advisers would attend the Project Meeting for that purpose. The
Development Adviser would focus on de-confliction of projects with any planned
activities of Afghan Government ministries and on sustainability issues.6 The meet-
ing having agreed on which projects to support, a project form would be completed
by the Mission Team, signed by the Development Adviser and submitted to the
Commander, PRT for final approval.
Contrary to the popular impression, projects were not implemented by the Dutch
soldiers themselves. Most were delivered by commercial construction companies
who had to go through a process of competitive bidding to be awarded contracts
(Kremers et al. 2010). Mission Teams, aware of the direct relation between projects
and the realization of the mission mandate, would track and support the process of
5
This staff section is known as S8 in NATO jargon.
6
The Development Advisers were double hatted as members of the staff of the Netherlands
Embassy in Kabul and played a role in overseeing the implementation in the province of the
Afghan National Development Strategy. Their interaction with provincial authorities facilitated
deconfliction of the bottom-up (CIMIC) and the top-down (ANDS) programs.
12 CIMIC Projects: Divergent Interests, Convergent Action? 185
contracting and implementation, and join Battle Group units patrols to check
progress and completion. Final payments would only be done after verification of
project completion.
As the Dutch PRT had been active for more than 2 years by the time of PRT6s
deployment, the unit was able to judge the political success of earlier activities,
verify if the projects were still in use, see what maintenance was needed, etcetera.
In short, it made some effort to evaluate earlier interventions and would revisit
projects or steer other players (local government, NGOs) to them in an effort to
strengthen sustainability and continuity.
Dynamics
The selection and implementation of projects was a dynamic process. The PRT
would consciously give less priority to areas that had been under control for some
time, to give room to NGOs and local government to play their rightful role in the
development of the country. The militarys resources could then be steered towards
outlying areas where support for the government was still weak and the people had
seen little by way of development. The strategy was known as the ink blot strategy.
Textbox 12.2 illustrates how an area that was newly brought under control of ISAF
would receive CIMIC projects that would over time conclude and be succeeded by
larger development projects and programs implemented by civilian organizations.
(continued)
186 G. Lucius
In the 6 months described in the case study, over 200 CIMIC projects were imple-
mented, selected from a much wider base of proposals submitted, possible as many
as 1000 or more. In the practice as in the theory of the first part of this chapter, the
various stakeholders in Uruzgan were led by the mandates and interests of the orga-
nizations they represented and, to an extent, also by their personal views. The choice
to engage in a CIMIC-program in Uruzgan was based on a 2005 Government
White Paper that proposed a multi-pronged approach to post-conflict reconstruction
worldwide, including providing security, assisting legitimate governance structures
and providing essential services to the population.
Uruzgan offered a unique opportunity to put this government policy to the test,
with its relatively long military engagement and still-ongoing development effort in
a geographically well-defined area of operation that was almost exclusively Dutch.
The Dutch government invested in a broad sociological analysis of the province that
enabled its staff to get a fuller understanding of the development needs and the
power structure of the province. It was used to validate decisions that impacted on
the tribal balance, including the choice to deliver CIMIC projects to certain groups.
12 CIMIC Projects: Divergent Interests, Convergent Action? 187
The government also set aside a separate capacity for reconstruction in the form of
a Provincial Reconstruction Team and put significant financial and human resources
at its disposal.
The PRT over time developed a procedure for the selection of CIMIC projects
that started with a decision on which was the most appropriate channel for imple-
mentation, with the PRT itself as a lender of last resort, only intervening when
local government structures, IOs and NGOs were unable to assist. In the cases
where the PRT did consider projects, it would verify the availability of funds, then
continue by evaluating the proposal on throughput time (whereby faster = better),
perceived effect on force protection, intelligence position and congruence with
military developments; a newly accessible area would receive new projects as soon
as the inhabitants asked for them.
The proposal would also be assessed technically: was it technically feasible to
implement, was the technology appropriate for the circumstances, sustainable in at
least the medium term, coherent with the efforts of the Government of Afghanistan
in the same sector, financially sound and correctly priced and was no corruption
involved? The team evaluating the proposals did not use a point system, nor were
some considerations considered more important per se than others. The process
sought to ensure that all interests were considered, then brought in elements of com-
petition (limited funds, limited amount of time available, limited number of projects
that could be presented in the projects meeting) and, crucially, concluded with a
peer review of proposals.
The effectiveness, and the sustainability, of the 200 or so projects that were
implemented by the Dutch Provincial Reconstruction Team in the September
2008March 2009 period has not yet been assessed independently. Comparative
research however suggests that the recipients in Uruzgan were critical of the projects,
perceiving them to benefit the dominant local power holders (Fishstein 2012).7
It follows from the above that an effective CIMIC effort is a tall order. It helps if it
is based on an explicit and sound general policy framework, such as the White Paper
mentioned in section Policy. Research such as was done with the assistance of
The Liaison Office into the sociology of Uruzgan can further assist preparations.
Once deployed, the military force may be confronted with a large, perhaps over-
whelming demand for support to development projects. If the force or a specific
element of it engages in their selection and implementation, it will have to devise a
process that recognizes that the major players involved, i.e. the military force itself,
its countrys diplomatic and development agencies and all the stakeholders of the
host country at their different levels, all have different views of CIMIC projects.
Most will favor the implementation of projects per se, but the motivations will vary
greatly. It is important to realize that few of these motives are related to the needs of
the local population; most are political or personal in nature.
7
This may be explained by ISAFs choice to take every opportunity to support the Government of
Afghanistan. This led the PRT to use existing structures (shuras, tribal leaders, local government
officials) for identification and implementation of projects, possibly disenfranchising those with
less (access to) power.
188 G. Lucius
Leave timely
Force Acceptance
Stability of Host Country
8
See Textbox <InternalRef RefID=FPar7 >12.1: What counts as Development Aid?
12 CIMIC Projects: Divergent Interests, Convergent Action? 189
corruption are some of these. Once it has been decided to go ahead with the project,
the tendering, contracting and implementation phases may yet see obstacles that
lead to non-implementation and it is crucial that implementation is verified for
reasons of accountability, both to the local people and government and to the military
forces line of command.
The example of the PRT in Uruzgan shows that it is useful to make explicit all
the various considerations and subject each project proposal to technical and socio-
political evaluation in a peer review process. This will help ensure that the project
portfolio falls under ODA criteria, is sustainable, also assists force acceptance, and
includes some photogenic activities. Respect for the positions of all involved has
proven key to selection decisions that meet with broad support within and outside
the PRT. Using such an approach, a program of CIMIC projects can be successful
even if stakeholders have differing views and interests. Research shows however
(Fishstein, op.cit.) that the use of intermediaries, such as tribal elders, militia leaders
and local politicians, while helpful in soliciting their support, may also lead to a
perception among the local population that the CIMIC program acts to strengthen
entrenched interests.
An ample supply of potential projects to choose from is a prerequisite for a
successful program, because only a limited number of proposals will satisfy the
interests of all the stakeholders and simultaneously meet the technical and the
administrative criteria.
Lastly: to remain successful, CIMIC programs will have to be dynamic. They
must adjust to take account of the developing military situation, the political
environment, the roll-out of programs of International Organizations and NGOs and
the increased capacity of the host government to provide services to the people. In the
end, a successful military-led CIMIC program should render itself superfluous.
References
Paula Holmes-Eber
13.1 Introduction
Perhaps one of the greatest challenges that military service members face in civil-
military operations is overcoming the often extreme cultural differences between
the military and the civilians that they must work with during their operations. Few
western military members are prepared for the cultural shock they experience when
attempting to interact with local civilians whose standards of hygiene, treatment of
women, respect for life, attitudes towards corruption, or religious beliefs and values
are radically different from their own. These cultural differences not only affect
interactions with the local population, however, but also cause problems in working
with international civilian partners in the area, who are also likely to come from
equally diverse cultural backgrounds.
Coping with cultural differences is not simply a case of learning a few polite
greetings and customs: often referred to by military members as the dos and
donts for a country. Learning to say hello in Arabic, or understanding the appro-
priate way to bow in Japan may ease the initial tensions of an interaction. Yet learn-
ing these pleasantries will still leave the soldier completely unprepared for the more
serious issues that arise as civilians and military members must work together on a
daily basis to resolve the conflicts.
In theater, culturally based challenges can range from minor issues causing daily
friction between military and civilians to life threatening problems. Minor frustra-
tions, for example, often result from different attitudes towards time or differing
notions of how the chain of command should work (or even whether such a hierar-
chical chain exists in the civilians organization or community). Yet often the failure
of the military to understand the host nations or joint partners culture can result in
P. Holmes-Eber (*)
University of Washington, Seattle, WA, USA
e-mail: pholmese@u.washington.edu
much more serious and even life-threatening problems. Recent accounts of the murders
of coalition forces and westerners by Afghan National Security Forces (ANSF)
indicate that one of the primary factors underlying these murders was the hostile
view that the ANSF forces held of the U.S. forces as the result of unresolved cultural
differences. According to one study:
Negative views, experiences and observations of US Soldiers social behaviors were
recorded. ANSF members identified numerous social, cultural and operational grievances
they have with US Soldiers. (Bordin 2011: 3).
This chapter provides the soldier with concrete guidance on how to recognize
and respond appropriately to cultural differences before they become detrimental to
the mission. Combining anthropological research on culture with seven years of
experience in planning, teaching and training for cultural aspects in military opera-
tions, I identify five key dimensions of culture that must be considered in opera-
tions: peoples interaction with their environment, their economic relationships,
their social and political structures, and their belief systems (see Salmoni and
Holmes-Eber 2011). To illustrate these dimensions and how resulting cultural dif-
ferences can affect the military service members ability to work with civilians, I
provide concrete cases collected from case studies, including my own fieldwork and
interviews with U.S. Marines.
For military members working in a foreign environment, the most immediate and
visible sign of cultural difference is the way that local civilians use their physical
environment. These differences can include such basic daily concerns as the way
that local people use water (including bathing and cleanliness), dispose of sewage
and waste, transport goods and people, gather and harvest food, and even what
foods civilians may consider edible. Frequently such differences can cause military
members great discomfort (if not outright repulsion). Preparing military members
for the culture shock that they are likely to face in working in areas with poor sanita-
tion and hygiene, as well as discussing appropriate responses to offers of local food
and drink can help mitigate some of the initial friction between military members
and the local population.
These cultural challenges, however, are surface deep. A more in-depth under-
standing of the way that people have access to and use their environment can
help military members make sense of the cultural basis of conflict. By examining
fundamental relationships between local people and key resources such as land,
water, food, fuel and transportation, the soldier can not only identify sources of
conflict, but develop ways to mitigate, reduce or even resolve conflict in an area.
For example, peoples settlement patterns vary immensely around the world
reflecting different social relationships and patterns of land use or ownership. In
rural areas of the world, people may live in large extended farming households, with
13 Dealing with Cultural Differences 193
ALP with new vehicles to improve their range of operations (Shea 2014).
Unfortunately, these vehicles were not suited to the local dirt tracks, narrow moun-
tain passes and unimproved roads of the area and required expensive and hard-to-
obtain fuel to operate. Realizing that most of the population moved about by foot or
animal, the task force ultimately took away the ineffective vehicles, substituting a
foot patrolling system for the police that was much more suited to the local cultural
environment.
Although word of mouth still continues to be an important form of communica-
tion, today even in the most remote mountaintop village, cell phones and the Internet
have dramatically changed the speed and way that people pass on information. As
the recent events of the Arab spring in the Middle East have made clear, new media
technologies have enabled rapid mobilization of people for protest and even revolu-
tion. Even in villages where people are illiterate, they can send photos and watch
YouTube videos on their cell phones. The result is that today every action of the
peacekeeper is potentially public. Culturally unacceptable actions by the military
such as the burning of Qurans in Afghanistan in 2012 can suddenly be viewed
immediately on the Internet and by cell phone, turning a small incident into an inter-
national crisis.
Finally peoples activities and routines often are directly linked to the local
seasons and climate. During midday in hot climates the local civilians (including
the local security forces) will often take a siesta, stopping all activity for several
hoursa pattern that can be immensely frustrating to northern European and
American forces used to a high paced long work day. And in agricultural countries,
local labor will often suddenly return home without notice to help with planting in
the spring or the fall harvest. Peacekeeping forces will build much better relations
with their civilian counterparts if the local season and climate are taken into consid-
eration in planning schedules and events.
How people use their environment is intimately related to a second cultural dimen-
sion: the way that people engage in economic activities and relationships. While
war and conflict have a clear impact on the physical environmentresulting in the
destruction of roads, buildings and infrastructure--an equally devastating conse-
quence of conflict is the damage inflicted on local economies. Figuring out how to
work with and improve local economic systems is a frequent challenge for soldiers
in peacekeeping and stability operations.
Since most western countries have robust industrial economies based on a complex
international banking system, military members may not be prepared for the vastly
different nature of economic interaction in many war torn countries. For example,
in todays world of high speed Internet and i-phones, most of us conduct our finances
online, transferring money and paying bills electronically. However, in many
countries where the local population is illiterate and computers are uncommon,
most economic transactions may still be carried on with cash. Banks may not even
13 Dealing with Cultural Differences 195
Although the external aspects of culture--such as food, dress, housing, local busi-
nesses and the colorful weekly marketsare typically the easiest for military mem-
bers to recognize, probably the greatest cross-cultural challenges in operations
result from misunderstanding the underlying deep cultural beliefs and attitudes
that are much more difficult to grasp by an outsider (see e.g. Bor 2006). Primary
among these beliefs are the socially accepted relationships that influence a persons
position, status, power, roles and responsibilities in that culture.
Social scientists refer to the pattern of relationships that influence a persons
place and roles in society as social structure. Some cultures, such as military
culture, have a clearly defined social structure based on hierarchical relationships
with stated lines of authority, power and responsibility. Military social structure is
formed around the concept of rank, which defines each persons status, role and
position within the military.
While rank would appear to provide a clearly defined set of relationships between
military members, the reality is that different militaries have their own cultural ide-
als of authority and roles attached to each rank. This can create great challenges in
partnering with foreign militaries. In a case described by Major Immel (2014), secu-
rity cooperation partnering exercises with the Ecuadorian military were severely
hampered by the requirement that all decisions had to be approved by the Ecuadorian
president, delaying and stalling even basic coordination and communication
between the military partners.
In most cultures there is no formal organizational chart that one can download
from the Internet to help an outsider figure out the accepted and culturally under-
stood relationships between people. Furthermore, in some cultures, there are no
clear hierachical lines of authority between people. In fact, a major frustration that
military members frequently experience in theater is not in working with the local
population but with joint partners such as NGOs (non-governmental organizations)
whose social and organizational structures are much more fluid, egalitarian and
(from a military perspective) ill-defined.
Rank is only one way that people in a culture distinguish between the roles and
status of different members. Other factors that frequently influence a persons place
in the social structure can include gender, age, class, family name, tribal affiliation,
ethnicity, race or religion. Many of these factors are intimately related to ones
identity: how a person defines himself and the groups to which he or she belongs.
Unequal relationships between different identity groups (for example ethnic, racial,
religious or tribal groups) are often the basis for conflict in many parts of the world.
The skillful understanding of local social relationships can do much to reduce
conflict or improve operations. Col (ret) Bor (2006), for example, describes how
the French Marines mitigated conflict between ethnic and lineage groups in opera-
tions in Africa by organizing military units by ethnicity during training and opera-
tions. Similarly Major Posey (2014) discusses how, as a female Marine, she used
her gender to her advantage, gaining access to Afghan women. As she discovered,
13 Dealing with Cultural Differences 197
outside of the public view, Afghan women exercised influential and powerful roles
within the community. By operating as a woman on a mixed-gender team, she was
able to interact with these women, helping the task force better understand and
interact with the community effectively.
Just as economic relationships are intimately tied to and dependent upon the way
people use the environment, social and political relationships are inextricably
related. Although most of us living in democracies would like to believe that politi-
cal leadership is the result of fair and open elections, the reality is that around the
world political power and leadership are invariably a reflection of position within
the social structure. In virtually every country in the world, political leaders tend
to come from the most powerful and highest status groups in that country. In
Afghanistan, for example, the most powerful ethnic group is the Pashtun. Not sur-
prisingly, President Muhammad Karzai is not only Pashtun, but his family belongs
to the Durrani Pashtun tribe, the most influential tribal group within the Pashtuns.
Similarly, in the Philippines status and power are concentrated in the hands of a
group of extremely wealthy families (McCoy 2009). Not surprisingly, over the past
fifty years, four of the countrys seven presidents have come from the same two
leading families. President Macapagal-Arroyo (president 20012010) was the
daughter of President Diosdadal Macapagal (19611965). And President Benigno
Aquino III is the son of President Corazon Aquino (19861992).
The intimate link between social and political structures is not limited to devel-
oping countries, however. In the U.S. for example, until the election of President
Obama, every single president and vice president in the almost 250 year history of
the United States has been a white male, and all but one has been a Protestant
Christian (President Kennedy was Catholic). Women, blacks, and ethnic and reli-
gious minorities, who form the lower levels of the U.S. social strata, have been
notably absent from the presidential office.
Soldiers will be far more effective in an area if they recognize that political lead-
ers are linked to (and dependent upon the support of) powerful groups in that coun-
try. Whether these ties are to leading families or tribes, dominant ethnic groups or
leading business or religious groups, most political leaders are not free to act as
independent decision makers. Bonds of obligation and reciprocity often limit their
options and, correspondingly, their ability to act in support of the goals of the peace-
keeping coalition.
The culturally based nature of politics extends far beyond the selection of lead-
ers. The way that decisions are made, the structure of political groups and the ability
of leaders to influence action also depend upon cultural ideals. Some cultures around
world emphasize decision making that is collaborative in nature, preferring com-
munity decisions to be made by a council of respected leaders rather than by one
centralized person. In others, people may prefer to have a balance of several
198 P. Holmes-Eber
form of bribery. The action is the same in both cases, but the interpretation and the
resulting response to the action will be different.
Since people cannot see, touch or hear a persons worldview directly, many of
the more serious cross-cultural misunderstandings in military operations derive
from the false assumption that two people who are interacting or working together
actually understand and interpret the world from the same perspective. The assump-
tion that others see the world the same way that we do is termed ethnocentrism, or
in more colloquial military language mirror imaging.
It often takes months, or even years, to truly understand the worldview of a per-
son from a radically different culturetime that few soldiers can spare. However,
there are several ways that beliefs and cultural ideals are expressed that can help
soldiers understand how civilians, including joint partners, may see and respond to
the world.
First a quick and easy way to begin to see the world from someone elses view is
to read their stories and listen to their versions of their history: both forms of cul-
tural narratives. As Mwikisa and Dikobe (2009) illustrate in their analysis of three
traditional African tales, stories and folktales can be a source of insight into beliefs
about war, conflict, and culturally accepted ways of peacefully resolving hostilities.
Local histories, like stories, can also provide great insight into the way a certain
group interprets the problem, or views the actors (including the role of peacekeep-
ers) in the situation. In a provocative discussion of Afghan history, LtCol Wagner
(2012) argues that the British catastrophe at Maiwand, remains in the minds of the
local Afghan people as a symbol of the power and resistance of the Afghans to for-
eign invasiona memory not easily overcome in contemporary operations there.
Secondly, one of the most obvious ways that people indicate their beliefs and
ideals is through symbols. For example, one clear symbol that all military members
recognize is the symbol of rank on a service members clothing. This symbol, called
insignia, immediately communicates to members of that service, the status of the
person wearing the symbol, his or her authority to tell other military members what
to do, and dictates the roles and duties that are required of that service member.
Rubenstein (2005) argues that, in peacekeeping operations, emphasizing shared
symbols between partner militaries and civilians engaged in operationssuch as a
common peacekeeping badgecan help members overcome their individual ser-
vice affiliations and enable them to work more closely as a team.
Symbols include physical objects such as rank insignia, but may also consist of
sounds such as speech (language is simply a set of sound symbols agreed upon by
the group), behavior such as bowing, and even more abstract concepts as places.
From a military viewpoint, placesincluding religious shrines and landfre-
quently end up at the center of conflicts. Jerusalem, for instance, has been the focus
of religious conflicts between Christians, Muslims and Jews for thousands of years.
Understanding the symbolic importance of place can help peacekeepers take actions
that potentially prevent the escalation of conflict. Directly after combat operations
in Najaf, Iraq for example, Major Batson (2014) describes how a Marine
Expeditionary Unit (MEU) was able to quickly reduce fighting in the area.
Recognizing the religious and symbolic importance of the city and the revered
200 P. Holmes-Eber
shrine of Ali, the commanders of the unit understood that the use of (foreign and
predominantly Christian) U.S. troops to protect the shrine could easily be used by
enemy Muslim forces in a negative information operations campaign. Instead the
MEU decided to train and employ Muslim Iraqi police and soldiers to protect the
area, ensuring compliance with the cease fire and the support of the civilian
population.
In another case, described by Major Rose (2014), the Australian army faced
problems with patrolling and surveillance of an area of the country that had been
identified as a key location for illegal activities. This area belonged to the local
Gamberre Aboriginal tribe and was viewed as sacred, connected to their concept of
dreaming. Since outsider access to the land was contrary to tribal law, the army
surveillance unit developed a cooperative plan with the tribal elders to train a local
patrol composed of Aboriginal men. The plan provided gainful employment to the
young men, respected the beliefs of the tribe and achieved the missions goals of
surveillance of the area.
The linkage of place and land to beliefs brings this discussion of five cultural
dimensions full circle. As the discussion of each dimension reveals, culture is a
complex integrated whole rather than a discrete list of quaint customs, courtesies
and traits. In considering the impact of military operations in an area, soldiers
must examine all aspects of culturefrom peoples use of the environment, to their
economic, social and political relationships, to the underlying beliefs that influence
the way people view the soldiers actions.
Political Social
Structures Organization
However, after talking to the villagers, it became clear that over 10 % of the
population earned their living by carrying water from the river and selling it to the
other villagers. The commander quickly realized that building a well in the village
(changing the way that the people used the environmenti.e. water) would have an
unexpected and very negative second order effect on a second cultural dimension:
the economy. If his unit built the well, 10 % of the village would be instantly unem-
ployed. Thus, instead of creating goodwill and support for the joint task force, the
proposed well would create the opposite effect of hostility and resentment towards
the military coalition. As a result, the commander decided against building a well
and focused his efforts on other projects for the village that would have not have
such negative second order effects.
By applying the principle that all aspects of culture are interconnected, soldiers can
begin to look for and anticipate the second and even third order effects of their
operations among local populations. Asking simple questions such as, How will
the local population view our actions? or What effects will the operation have on
the local economy or the political leadership in the area? can often help peacekeep-
ers take courses of action that improve rather than exacerbate the current conflict.
Although answering such questions may seem like a complex and difficult
project, there are several quick and easy ways that military members can begin to
understand and assess the cultural aspects affecting their operations, regardless of
their location and the resources available to them:
1. Probably the most obvious and yet often overlooked method for understanding
the perspectives of people from another culture is simply to talk to them. In the
example from JTF-HOA described above, the civil affairs team discovered the
potential economic impact of their operations simply by talking to the local vil-
lagers about their proposed plan to build a well.
202 P. Holmes-Eber
2. An equally simple, but also frequently underutilized method that can be used by
peacekeeping forces that have had an ongoing presence in an area is to conduct
a detailed cultural RIP TOA (relief in place, transfer of authority). Military tran-
sitions should not only focus on transferring information about the organiza-
tional structures of the preceding unit, but also on the cultural challenges and
lessons learned by the previous unit during their interactions with both the local
population and civilian or joint partners in the area. Cultural understanding and
relationships take time. Unfortunately, all too frequently the departing units
hard earned lessons and experiences leave with them. A few days spent introduc-
ing the incoming unit to key leaders and civilian partners while walking around
the local communities in the area can save months of misunderstanding, conflict
and even bloodshed.
3. Pre-deployment culture and language training classes can also be used to prepare
units prior to their arrival in a foreign environment. Such classes can help sol-
diers prepare psychologically for the culture shock they may face when operat-
ing with people whose customs, habits and beliefs may radically differ from their
own. Good pre-deployment training classes, however, should go far beyond the
customs and courtesies briefs currently given to many troops today. According
to the responses of 2406 U.S. Marines to an online survey on culture and lan-
guage training by the Marine Corps Center for Advanced Operational Culture
Learning (2010), effective culture training should be interactive. Role playing,
negotiation and decision making scenarios focused on the upcoming mission
help military members build the necessary skills for dealing with the cultural
differences they will face.
4. Finally, there are several well accepted frameworks that can help military
members assess core cultural issues in their conflict area. One framework, titled
TCAPF (Tactical Conflict Assessment Planning Framework) uses four simple
questions to identify local perceptions of the causes of instability (US AID and
Office for Military Affairs 2010). Another popular framework, ASCOPE (Area,
Structures, Capabilities, Organizations, People, Events), helps military planners
to evaluate the civil considerations in military operations (Headquarters,
Department of the Army 2007). By conducting these assessments, soldiers can
more easily identify the cultural issues that are most likely to cause friction in
their area and develop solutions that address the most important concerns.
As illustrated by the many case studies discussed in this chapter, the failure to
understand and adapt to cultural factors can seriously limit the success of military
operationswhether working with the local population, military partners, or members
of a joint coalition. And conversely, the intelligent application of cultural principles
in peacekeeping and other operations can enhance mission success. Indeed, whether
in Darfur, Equador, Iraq or Afghanistan, often the solutions to conflict may not lie
in using military force. Instead, other softer strategies such as applying cultural
understanding to resolve the problem may prove equally if not more effective.
13 Dealing with Cultural Differences 203
References
Smart, A., & Hsu, C. L. (2007). Corruption or social capital? Tact and the performance of Guanxi
in market socialist China. In M. Nuijten & G. Anders (Eds.), Corruption and the secret of law:
A legal anthropological perspective (pp. 167189). Burlington: Ashgate.
U.S. AID and Office of Military Affairs. (2010). Tactical conflict and planning assessment frame-
work, PowerPoint. www.oss.net//2010-02-20%20TCAPF_Overview_w-notes_pages.ppt
U.S. Marine Corps Center for Advanced Operational Culture Learning. (2010). CAOCL Survey 1,
Unpublished manuscript.
Varhola, C. H., & Varhola, L. R. (2006). Avoiding the cookie-cutter approach to culture: Lessons
learned from operations in East Africa. Military Review, LXXXVI(6), 7378.
Wagner, E. (2012). The bones of the British lying in Maiwand are lonely: A Victorian battle and its
continuing impact on Afghan memory. Marine Corps University Journal, 3(1), 3568.
Chapter 14
Fighting Corruption in Conflict Areas
14.1 Introduction
With one of the largest footprints of any international force in a fragile and conflict
state, the military is increasingly seen as having an important role to play in counter-
ing corruption. Yet, there is little information on how it can carry out this function.
This chapter aims to highlight how corruption manifests in conflict environments so
that an understanding of corruption risks is developed. Subsequently, a review of
how the military has to date approached the subject in Afghanistan will be under-
taken to draw any lessons learned. Finally, a toolkit of how the military can approach
corruption threat assessments will be discussed and explored.
Corruption is a highly contested term and a number of different descriptions and
definitions have been offered. Previous studies on corruption have tended to divide
the issue into four schools of thought: moralist, legalist, market-centred, and public
interest; however all four exhibit flaws and biases. The moralist view considers cor-
ruption to be an evil yet suffers from applying Western standards of morality regard-
less of context. The legalist approach considers acts of corruption to occur when
public officials break laws for private gain. Yet, it does not take into account con-
texts where the legal structure is weak or silent on the issue. The market-centred
approach on the other hand reduces corruption to an interaction between the bureau-
crat and the public, where a corrupt bureaucrat seeks to maximise income.
Nonetheless, due to the fact that most public services cannot and are not priced, it
becomes difficult to measure corruption. Lastly, the public interest method views
any act that undermines systems of civil or public order and, thereby, impacts the
S. Mustafa
Former Research Lead at Transparency International, London, UK
T. Bock (*) M. Pyman
Transparency International, London, UK
e-mail: tobias.bock@transparency.org.uk
public interest, as corruption. However, since there is no one set definition of pub-
lic interest, it becomes very hard to measure corruption. The simplest and most
widely used definition of corruption is offered by Transparency International: the
abuse of entrusted power for private gain. Yet analysts have commented that it
would be beneficial to develop a clearer definition of the term abuse (Rothstein
2011).
None of these definitions however fully encapsulate the myriad corruption risks
in the defence and security sector. Transparency International UKs Defence and
Security Programme (TI-DSP) thus developed a heuristic, sector-specific, and
coherent typology to better conceptualise the term. The result is depicted in Table
14.1.
Corruption is often an underlying facet of an unstable or unjust pre-conflict envi-
ronment. The two principles of conflict and corruption are often deeply intertwined:
Corruption increases the risk of conflict and conflict increases the risk of corruption.
The two have a symbiotic relationship that threatens peace and stability in states
already besieged by violence. Over time, corruption becomes entrenched into the
very fabric of how countries function. By the time international actors become
aware of and realise how corruption impacts on mission success, it is difficult to
counter the vested interests of those that have solidified power for personal gain.
Due to the fact that corruption can be both cause and consequence of insurgen-
cies in conflict environments, military commanders should address it as both a stra-
tegic and operational issue. Efforts to tackle corruption must become part of the
stabilisation process itself, especially in environments where links with organised
crime become apparent. Whilst the militarys primary responsibility in such
environments is to provide safety and security, in conjunction with the local govern-
ment, there is much that they can do to counter corruption.
14 Fighting Corruption in Conflict Areas 207
A key in element in stabilising the country will be ensuring that there is a coor-
dinated, aligned and cohesive military and civilian effort. A large military force will
most likely require a large civilian contingent to conduct development. The military
will first and foremost be tasked with setting the security conditions for cross-sector
synergies. In circumstances where that countrys civilian force is either lacking
capacity or momentum, there can be little or no national development. This increases
the probability of the country regressing back into conflict or civil war.
Since the challenge of stabilisation is a political one, albeit enabled by security,
an enduring political engagement will be necessary. The strategy will not only need
to align ways and means, but also allocate an appropriate weighting to them. The
multi-agency effort, as it will need to be in most circumstances, must be integrated
if it is to produce a truly comprehensive approach to tackling corruption in the host
country. There will undoubtedly be reticence from certain departments and organ-
isations, as countering corruption may make achieving other objectives more diffi-
cult. However, experience from conflicts in Iraq and Afghanistan, to name but two
recent examples, demonstrates how important it is to instil good governance and
anti-corruption practices in host nations from the outset. Any lesser aspiration will
invite failure.
In general, post-conflict countries are more prone to corruption because they
have weak administrative institutions, parallel formal and informal legal and judi-
cial systems, suffer from a lack of capacity, experience a sudden inflow of donor
aid, and are a magnet for transnational organised crime. The milieu of a post-conflict
arena allows corruption to be catalysed by greed and ideology, and runs the risk of
alienating vital sections of society who could otherwise play a crucial role in guid-
ing the country towards a more prosperous future. The chaos and corruption that
most often defines these states can reverse very expensive gains, as shown in
Afghanistan, and weaken already unstable and fragile governance structures thus
reducing the hope of economic growth and future prosperity. In a worst case sce-
nario, rampant corruption can pull countries back towards the very instability and
conflict from which they have just broken free.
Corruption can take many forms: embezzlement, nepotism, cronyism, bribery
and fraud are just some. The harmful effects of each is magnified in post-conflict
countries where huge inflows of foreign aid can distort the political balance and
provide an increased incentive to engage in corrupt practices. For example, in
Liberia over half the countrys $750 million of aid is off-budget (Aidinfo 2013) and
therefore not subject to government control. Further, a report by the Special
Inspector General for Afghanistan Reconstruction highlights that the United States
inability to control aid flow in the country is increasing the risk that some of the
money is inadvertently fuelling insurgency (SIGAR 2014). The two examples
emphasise that the need for robust and transparent local governance institutions is
even greater in fragile situations. Aid initially earmarked for crucial development
projects or to help in helping the state to undertake the delivery of basic services can
be diverted, misappropriated and stolen. This not only undermines advancement but
reduces public confidence in the government, which is often weak to begin with. An
illustration of corruption risks that military forces may face in such environments is
available in the next section.
208 S. Mustafa et al.
tating or direct role in disbursing aid in such environments. For instance in Somalia
UN troops were mandated to secure access for the delivery of aid; whilst in
Afghanistan the US military through programmes such as the Commanders
Emergency Response Program (CERP) has provided developmental aid. Due to
their privileged position, the military can undertake certain measures to ensure that
aid does not fuel corruption. First, it can ensure that military personnel receives
training on corruption risks and are provided with the tools to identify and tackle
any issues that may arise. Second, the military can take the lead in publishing all aid
outlays to ensure greater transparency and accountability in the allocation and dis-
bursal process. Further, when conducting expeditionary contracting (contracting in
theatre) the military should ensure that it vets all contractors and civil society groups
with which it partners.
In environments rich in natural resources, the exploitation of those resources
poses one of the greatest corruption risks. Individuals can either attempt to garner
revenue from natural resources for personal gain at the expense of the overall popu-
lation; or manage these resources in such a way that it leads to poor or inefficient
development. Security and stabilisation forces can easily be dragged into the local
competition to secure these assets. This is usually in two ways: first, if new natural
resources are found, violence may erupt in places hitherto considered safe and
secure (Cronin and Pandya 2009). Second, as a stabilisation and security force,
international military personnel will have a responsibility to protect certain strategic
positions such as mines rich in natural resources, and therefore may have to
engage armed militias (United Nations Environment Programme 2013). To prevent
any of these scenarios from manifesting, international assistance forces must
encourage transparency and independent oversight of any contracting related to
natural resources; train host national forces to undertake security of sensitive sights,
protect civil society groups and the media from intimidation and violence when
they attempt to address the issue; and ensure a credible security plan is in place to
protect the host nations natural resources and prevent their proceeds from financing
further insurgency.
During the early years of the intervention the international community did not
develop a common understanding of the nature of corruption in the country. Various
studies have maintained that through for instance its contracting practices, it may
have perpetuated corruption in the country (Tierney 2010). The internationals failed
to understand how the absence of rule of law, of which counter-corruption is an
integral component, caused disaffection between the population and the Afghan
state. Given that the reason why so many tribal elders invited the Taliban was not
because they believed in their outlook but because they preferred the repressive yet
rules-based control that they provided, it becomes clear how corruption has
14 Fighting Corruption in Conflict Areas 211
1
The drawbacks highlighted are a result of both research undertaken by TI-DSP for a future project
on Afghanistan and an analysis of publicly available information.
212 S. Mustafa et al.
CSTC-A/NTM-A, which has the benefit of better aligning them with the process
improvement and advisory work of CSTC-A. According to analysts on the ground,
this re-alignment has had a positive operational impact.
ISAF invited Transparency International UKs Defence and Security Programme
to visit, with the objective of reviewing how ISAF can be most effective in advising
and assisting the MoD, MoI and the ANSF in strengthening Transparency,
Accountability and Counter-Corruption (TACC) measures. The TI team met with
the MOD, MOI and held some 40 interviews, covering the Afghan Government
(MoD, MoI), (High Office of Oversight and Anti-Corruption) HOOAC, ISAF
Personnel, NGOs, Ambassadors and Development Agencies during the week-long
visit in August 2013.
According to a number of research reports, despite recent efforts by the interna-
tional community and the Afghan government, the overall situation has not seem-
ingly improved (Torabi 2012, UNODC 2012). Recent scandals such as the Kabul
Bank and the continual dysfunction of the key counter-corruption institutions, the
High Office of Oversight and Anti-Corruption and the Attorney Generals Office,
have conceivably been a major factor in continually high corruption perception lev-
els amongst Afghans. Transparency Internationals most recent Corruption
Perceptions Index (CPI) showed no improvement in Afghanistans ranking at the
bottom of the index. The Government has not yet succeeded in satisfying donors in
relation to the National Priority Programme 2 on transparency and accountability
measures agreed at the Tokyo Mutual Accountability Framework Senior Officials
Meeting.2 There is little expectation that progress will be made in this pre-election
period. More positively, the recent TI Government Defence Index report in January
2013 concluded that the Afghan MoD and ANA rated in Band E on their Defence
Index (A is the best, F the worst), relatively better than TIs CPI assessment for the
country as a whole.
The MoD is making progress in strengthening Transparency, Accountability,
Counter-Corruption TACC measures in the MoD and ANA, propelled by political
commitment over several years at Ministerial level. Yet few actors outside the
MoD including diplomats and the Afghan as well as international public seem
to be aware of this progress, which underlines the need for the MoD to increase
external engagement. ISAF is giving support to the MoD, and the re-focusing of
Combined Joint Interagency Task Force Transparency (CJIATF-Shafafiyat)
following our visit in February 2013, together with the ongoing work of Combined
Security Transition Command Afghanistan/NATO Training Mission Afghanistan
(CSTC-A/NTM-A), should assist the MoDs upward trend.
2
The National Transparency and Accountability Program aims to increase transparency and
accountability controls within the Afghan government. The program focuses on establishing legal
authority and institutional capacity among government institutions, eliciting the aid of civil society
organisations to monitor government efforts to tackle corruption and raise awareness among the
population, and strengthening institutional mechanisms within government entities to allow for
corruption to be addressed.
214 S. Mustafa et al.
The MoI appears to be in a different situation, with a very difficult political envi-
ronment and a lack of common direction on TACC. There have been significant
cuts to the Inspector Generals staff, who are the main focus of ISAF TACC activ-
ity, and this has stalled progress which was visible 6 months ago.
ISAF is currently carrying out three lessons learned studies, one each at the
strategic, operational and tactical levels, on the impact of corruption in intervention
operations such as Afghanistan.3 ISAF should ensure that this work is advanced into
changed doctrine for international forces.
3
The strategic element report is by NATOs Joint Analysis and Lessons Learned Centre: Counter
and Anti-Corruption Theory and Practice from NATO Operations. The more operationally
focused report was produced by the Joint and Coalition Operational Analysis (JCOA) and is titled
Operationalizing Counter/Anti-Corruption Study. The report focused on the tactical element is to
the best of our knowledge yet to be released.
14 Fighting Corruption in Conflict Areas 215
In order for international military forces to conduct proper and meaningful counter-
corruption, they must first develop a comprehensive understanding of the relevant
political dynamics in the country and the potential corruption pathways that may
exist. Whilst a context-specific corruption threat assessment would be ideal, there
are a number of general considerations that international forces must consider as the
pillars of any such exercise. Such an undertaking should not be the responsibility of
216 S. Mustafa et al.
References
15.1 Introduction
ment a wide range of activities. Depending on each agencys mandate, they may
have different positions with regard to military cooperation. It is crucial to under-
stand these potential differences.
It is also critical to recognise that the military, including peacekeeping forces,
have responsibilities towards humanitarian operations that are based in international
law. Humanitarian law provides an evolving body of rules aimed at allowing and
facilitating and/or ensuring access for humanitarian agencies to civilian populations
in need. In addition to humanitarian law, international human rights law confers
rights upon civilian populations, including refugees and displaced people, which
peacekeeping forces and parties to armed conflict are expected to respect and pro-
tect. These formal responsibilities and roles of military forces provide the primary
context in which their relationship with humanitarian operations and personnel is
defined. Section 15.2 provides a brief overview of specific provisions in interna-
tional law for the protection of non-combatants, including displaced persons and
refugees. These provisions constitute obligations for all actors, including peace-
keeping forces.
For their part, humanitarian organizations are expected to adhere to principles of
humanitarianism, neutrality, impartiality and non-discrimination in the discharge of
their responsibilities. This is sometimes at odds with the political goals of military
intervention and can lead to tensions between humanitarian and military players.
There may be a risk for humanitarian agencies that too close cooperation with the
military, or even the perception of such, may compromise the available space for
neutral and impartial humanitarian action. It may also expose humanitarian opera-
tions to increased security risks, as their personnel may become targets.
Effective coordination may be hampered by significant differences in organiza-
tional cultures as well as the lack of awareness thereof. A clear understanding of and
respect for each organizations mandate, principles and operational objectives is cru-
cial. Section 15.3 offers summary profiles of the main humanitarian players and their
mandates, as well as an overview of the major areas of interface with the military. It
also addresses the most common risks and limitations in mutual cooperation.
In Sect. 15.4 examples are given of situations in which military players may be
requested to provide support to humanitarian actors. Thereafter, case studies are
presented to illustrate potential areas of cooperation including risks and challenges
and how they were dealt with. The chapter ends with a brief Conclusion.
International human rights law and international humanitarian law both apply in
situations of armed conflict. They share the common goal of preserving the dignity
and humanity of all those involved and are complementary and not mutually
exclusive. While the key human rights instruments do not generally refer
1
The recently issued Handbook on the Normative Framework (Version 1.0) on Humanitarian
Access in Situations of Armed Conflict by the Swiss Federal Department of Foreign Affairs (2013)
provides a valuable framework for discussion of these key issues.
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 223
2
The ICCPR (International Covenant on Civil and Political Rights) permits no derogation on the
right to life (Article 6), the prohibition of torture (Article 7), the prohibition of slavery (Article 8,
paras 1 and 2), the right not to be held guilty for crimes that did not previously constitute crimes
(Article 15). the right to be recognised as a person before law (Article 16) and the right to freedom
of thought, conscience and religion (Article 18).
3
Fundamental Principles of the International Red Cross and Red Crescent Movement, proclaimed
in Vienna in 1965 by the 20th International Conference of the Red Cross and Red Crescent
Movement. The International Red Cross and Red Crescent Code of Conduct includes principles
beyond the core four principles endorsed by the General Assembly (Resolution 47/182 of
December 1991). In addition, humanitarian organizations may find that some of these additional
principles have particular meaning in certain contexts (for example, participation is often cited
as an important humanitarian principle). Conceptually, many other principles can be linked back
to the four endorsed by the General Assembly.
224 C. Mougne and F. Groot
ICRC, may offer its services to the parties to the conflict.4 Both International
Humanitarian Law and International Human Rights Law include multiple refer-
ences to the fundamental importance of access5 as rules of access have developed
over time. Since 1999, it has been established that failure to provide access to
humanitarian aid may be considered as a war crime.6
In treaty law, the basic rules are laid down in the Fourth Geneva Convention of
1949 on the protection of civilians in time of war. The 1977 Protocols Additional to
the 1949 Geneva Conventions complement and reinforce these rules and regulate all
situations in which civilian populations lack adequate supplies in time of armed
conflict.
The UN General Assembly has adopted numerous resolutions on humanitarian
assistance. In a landmark resolution (46/182) in 1991 it called upon States whose
populations are in need of humanitarian assistance to facilitate the work of interna-
tional organizations and NGOs in implementing such assistance for which access
to victims is essential. The UN General Assembly has also urged all States to takes
measures to ensure the safety and security of humanitarian personnel. In December
1994, following an upsurge in targeting of humanitarian workers in Former
Yugoslavia and the Great Lakes operations, the UN Security Council adopted the
Convention on the Safety of United Nations and Associated Personnel.
While the responsibility of States to provide instruction in international humani-
tarian law to their armed forces has long been codified in the Geneva Conventions,7
its application to international peacekeeping and peace-enforcement troops is com-
paratively recent. As early as 1965, the 20th International Conference of the Red
Cross emphasized that it was of paramount importance that governments provide
adequate instruction in the Geneva Conventions to contingents made available to the
United Nations before they leave the country.
It was not until 1999, however, as a result of events occurring during the course
of the Kosovo operation, that the Secretary-General issued to United Nations forces
their first standing guidance of international humanitarian law (Secretary-General
of the United Nations 1999). Similarly, in a resolution on the protection of civilians
in armed conflict in 2000, the UN Security Council reiterated the importance of
providing appropriate training in international humanitarian law for personnel
involved in peacemaking, peacekeeping and peace building activities.8
4
Common article 3 to the Geneva Conventions.
5
Special protection and right to relief for wounded, sick and children (Additional Protocol II,
articles 4,5,7 and 11); Prohibition of attacking or destroying objects indispensible for the survival
of civilian population (Additional Protocol II, article 18); Security Council resolution 794 (1992)
condemning the deliberate impeding of the delivery of food and medical supplies essential for the
survival of the civilian population in an internal armed conflict (Somalia).
6
The denial of humanitarian assistance as a crime under international law. International Review of
the Red Cross, No, 835, 30.09.1999.
7
Article 47, 1949 Geneva Convention, based on similar provisions in the Geneva Conventions of
1906 and 1929. See also ICRC. Rule 142. Instruction in International Humanitarian Law within
Armed Forces.
8
UN Security Council Resolution 1296 (2000).
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 225
9
UN Security Council Resolution 1894 (2009).
10
Particular focus has been placed on the protection of children in armed conflict. See UN Security
Council Resolutions 1612 (2005) and 1882 (2009).
226 C. Mougne and F. Groot
etc. In the context of violent conflict and a peace operation, any situation of mass
displacement usually constitutes de facto a humanitarian crisis because of the urgent
protection and survival needs of the populations concerned.
When forces deploy, they generally meet humanitarian agencies that have already
been operating in the area for some time. These agencies tend to be visible and
mobile: their vehicles are marked with agency logos. They are, however, highly
diverse in mandate and mission, modes of operation and institutional cultures, as
well as areas of expertise. Common elements include democratic styles of manage-
ment and lines of authority that may not always be immediately evident to military
outsiders. Particularly NGOs may be significantly less hierarchical than the military
(see Chap. 3 by Frerks, this volume).
International humanitarian agencies deploy professional and experienced teams
to the Field comprised of trained managers and technical staff. Agencies strive to
deploy teams that are gender-balanced (as many women as men) and to exhibit
diversity in respect of nationality, race and religion. All teams, with the frequent
exception of national NGOs, comprise international and national staff. Many of the
larger organizations employ security advisors who will liaise directly with the mili-
tary on security-related matters. The UN Office for the Coordination of Humanitarian
Affairs (OCHA) will often deploy a dedicated Civil Military Coordination
(CimCord) Officer to an operation to liaise and coordinate with peacekeeping forces
on behalf of all or most humanitarian organizations working in the area.
The main players likely to be encountered in a complex humanitarian emergency
are UNHCR, UNICEF, WFP, UNHCHR, OCHA, ICRC and IFRCS, IOM and vari-
(continued)
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 227
ous international NGOs and local (i.e. based in the host country) NGOs. Textbox 15.1
summarizes the most important aspects of their respective mandates.
Humanitarian activities range from emergency life-sustaining material relief to
longer-term development oriented assistance including capacity-building, demin-
ing, return and reintegration of refugees and IDPs, rehabilitation of productive
activities and livelihoods, and reconstruction of essential infrastructure such as
roads, bridges, schools and clinics. Emergency interventions seek to address basic
human survival needs in areas such as physical protection; distribution of food and
non-food items; water supply, sanitation and hygiene (WASH); health; shelter; edu-
cation; livelihoods and community services. These areas are commonly referred to
as sectors, or areas of response, and have their own internationally recognized
standards, targets and standard operating practices (SOPs).
As humanitarian crises are invariably complex, resources scarce, and a large
number and variety of organizations are involved, close inter-agency coordination
and delineation of respective areas of responsibility are vital to minimize gaps and
overlaps. This includes essential coordination with the national authorities. It should
be recalled that international governmental and non-governmental agencies operate
in a country at the invitation of the national Government or, at the very least, with
their express consent. During recent years, considerable progress has been made in
the coordination of these multiple actors, thus increasing their effectiveness and the
overall impact of joint operations.
Once the needs in a particular (thematic) area of response have been assessed and
agreed upon, humanitarian agencies and the national authorities operating within
that area meet and create a cluster (e.g. the water and sanitation cluster, or the
protection cluster). The cluster approach is a system of coordination in which a
lead organization, designated for a specific priority area of response, is responsible
for organizing coordination at the global and country level and for acting as the
provider of last resort (see also Chap. 8 by Heraty, this volume).
At the global level, certain organisations have been designated global cluster lead
agency. They are provider of last resort for the designated cluster and are responsi-
ble for global standard setting and development of policies. For example, by virtue
of its mandated responsibility for refugee protection, in refugee operations, UNHCR
leads the Protection cluster, as it does in many IDP situations. For the Water,
Sanitation and Hygiene (WASH) cluster, UNICEF is designated global lead, as well
as for the Education and Nutrition Clusters and the Child Protection Sub-Cluster.
The Global Logistics Cluster and the Food Security Cluster are WFPs responsibil-
ity while WHO has responsibility for the Health Cluster. UN OCHA generally has
responsibility for inter-cluster coordination, and for providing Humanitarian brief-
ings. The latter can provide a useful entry point for the military to encounter the
humanitarian actors. At country level, designation may be more situation-specific
and a cluster lead agency need not necessarily be the same agency as the respective
global cluster lead agency.
The cluster approach has been gradually introduced since 2005 as part of a
UN-led humanitarian reform initiative. A key objective has been to strengthen the
effectiveness of humanitarian response to emergencies across the globe through
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 229
Unusual as it may sound, close cooperation with others in a humanitarian crisis does
not speak for itself. In this paragraph, we will discuss the concept of humanitarian
space and how it affects potential cooperation between humanitarian organizations
and the military. We will address the variables of Timing and Information Sharing,
both of which may prove of assistance in the process of establishing how much
room for cooperation exists. There have been many instances when military forces
and humanitarians have interacted successfully in the past. This section provides
some practical examples.
thereby restricting the potential for mutually beneficial cooperation in the future.
The cultural divide between the military and humanitarian agencies, including a
lack of mutual familiarity and common language, can also present a significant
obstacle to effective cooperation (see Chap. 3 by Frerks, this volume).
Given these limitations, it is useful to distinguish between the potential for coop-
eration at different phases of a crisis. In the context of continued violent conflict, the
risk is at its highest, putting severe restrictions on the scope of potential coopera-
tion. As progress is made towards achieving comprehensive agreements between
parties and ultimately peace consolidation, the possibilities for cooperation grow
accordingly.
Information Sharing
Exchanging information will usually form the first step in any attempt at coopera-
tion (Chap. 3 by De Coning in this volume), but even that has its limitations. The
military manage information that they may deem too sensitive to share, but so do
humanitarian agencies (Frerks 2010 and Chap. 7 by Shetler-Jones in this volume).
Care should therefore be taken to avoid the perception on either side that informa-
tion sharing is not balanced. This can be prevented by appropriate forward planning
and by allowing time to invest in promoting familiarity and understanding of each
others goals and operations (Chap. 7 by Shetler-Jones in this volume). Active and
regular participation in coordination platforms will also help build relationships and
mutual understanding.
Cooperation may start with exchange of information: for example, on local con-
ditions and communities, and on each others operational objectives and strategies.
In subsequent stages, joint planning and continuous information exchange can help
to articulate the conditions under which the most effective form of cooperation with
humanitarian agencies may be pursued.
In all phases of the force deployment, it is important to liaise and work closely
with relevant agency staff to build up an accurate picture of what each organization
is doing and/or planning to do in the humanitarian operation whether or not there is
currently any active cooperation on the ground. Unless the military have, at all ranks
and levels, a sound knowledge and understanding of the key aspects of the overall
humanitarian operation in the area, any further exploration of cooperation will be
hampered. Obviously, this works both ways. For their part, the humanitarian agen-
cies also require accurate knowledge of the goals and strategy of the peace operation
for them to engage in discussions on cooperation.
Information sharing should start as early as possible. As humanitarian agencies
will often have been operational for a considerable time in the area where the mili-
tary forces are planning to deploy, they will have developed an appreciation of local
conditions and established good relations with local communities. They can there-
fore be useful sources of information during the planning and preparatory stages of
force deployment. The objective is to learn from the agencies experience of the
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 231
area and to avoid compromising their humanitarian goals (see also Chap. 10 by
Melkon et.al. this volume).
Meanwhile, humanitarian agencies can help to disseminate advance information
to local and displaced populations to explain why there will be a military presence
and what the peacekeeping contingent will and will not be able to do. They can thus
play a critical role in facilitating understanding among the local and displaced popu-
lations of the objectives and plans of the peace operation.
Humanitarian Access
During recent years, due to the changing nature of conflict, it has become increas-
ingly difficult to identify genuine refugees amongst those who flee an area of violent
conflict, as persons belonging to regular armed forces, paramilitary or militia groups
or dissident armed bands mix in with civilian refugees. Militarized camps []
threaten the physical safety of refugees, compromise the neutrality of aid work,
pose a security threat to the host state and surrounding countries and challenge the
institution of asylum (Yu 2002). Therefore, UNHCR may call upon a peacekeep-
ing force to assist in dealing with this problem (e.g. by disarming the armed ele-
ments or by separating them from the civilian refugee population).
Against this background, UNHCR maintains the rule that refugee camps need to
be located at a minimum distance of 50 km from the border with the country of
origin to ensure their physical safety and to reduce the risk of cross-border
infiltration.
232 C. Mougne and F. Groot
In addition, the military may be called upon to provide support by deploying readily
available assets and expertise in critical situations. For instance, engineering sup-
port may be required in the rehabilitation, construction and upgrading of roads and
bridges. A frequent event in humanitarian programs is that these critical relief sup-
ply routes become impassable due to floods or torrential rains or have been dam-
aged during the course of armed conflict.
Also, the military force may be requested to provide urgent medical assistance and
to allow access to the forces field-based medical facilities for seriously ill or injured
agency staff. Facilitation of urgent medical evacuation to appropriate care facilities
elsewhere may also be requested (see Chap. 11 by Rietjens and Bollen, this volume).
Conclusion
Cooperation between the military and humanitarian agencies can only be effective
if based on a sound understanding of and respect for each organizations mandate
and role in, respectively, the humanitarian or the peace operation. Effective coordi-
nation is a shared concern and can range from cooperation to coexistence (see
Chap. 2 by De Coning, this volume). The military may participate in the agencies
coordination structures or it may instigate a separate platform for regular informa-
tion exchange and coordination depending on the context and the phase in the
evolving conflict. What will count ultimately is the promotion of mutual under-
standing and, as the situation develops, the joint determination of the scope and
form of cooperation to deliver the desired results.
In the paragraphs above we have provided an overview of the policies and guide-
lines developed by humanitarian agencies (particularly the UN Inter-Agency
Standing Committee, IASC, and OCHA) on the parameters of their relationship with
military forces at strategic and operational levels. In addition to these generic guide-
lines, country-specific coordination guidelines have been developed to address the
management of operational engagement in each of the complex environments in
which humanitarians and military interface, in more detail (Metcalfe and Berg 2012).
Kosovo11
During the regional Kosovo crisis of 1999, previously unexplored areas of coopera-
tion between the military (NATO, which crucially lacked UN Security Council
authorization for their efforts at peace enforcement) and humanitarian agencies
11
The Kosovo Refugee Crisis. An Independent Evaluation of UNHCRs emergency preparedness
and response. February 2000.
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 233
were developed. NATO, as party to a war that directly and indirectly produced
large-scale displacement, was intent on showing it was committed to help alleviate
the humanitarian consequences. So keen, in fact, that in some areas in Albania it set
up humanitarian assistance operations without consulting and coordinating with the
major humanitarian actors. The complex humanitarian crisis, by its massive scale
and sudden onset, threatened to overpower the capacities of the humanitarian agen-
cies. They were thus keen to receive (coordinated) support and were interested in
cooperating with a military that could contribute significant and readily available
resources.
Areas of cooperation were identified and agreed early on. These included the
creation of a joint air control cell to coordinate humanitarian flights with the mili-
tary use of air space (of strategic importance as the military operation included a
time-limited but intense campaign of air strikes inside Serbia (strictly speaking:
Yugoslavia, as it was still called at the time) and deployment of forces into neigh-
bouring countries). However, more problematic were military activities that were
more visibly linked to the humanitarian operation and where the distinction between
the humanitarian and the military spheres of work was increasingly blurred. These
ranged from military personnel unloading and storing humanitarian supplies at air-
ports and transporting these to refugee camps to the actual building of refugee
camps. In some cases, it extended to NATO forces providing security at refugee
camps. Humanitarian agencies were concerned that such visible military involve-
ment, however welcome from a practical perspective, might ultimately expose the
camps and the staff working there as military targets. They also feared that it might
facilitate the use of camps by non-state belligerents (as a rear base or for recruit-
ment) thereby violating the strict civilian nature of refugee camps and the non-
political character of the humanitarian operation.
In the end and after much soul-searching, most agencies, including UNHCR who
played a lead role in this regional refugee emergency, decided to accept the military
assistance on offer. They did so because of the imperative that saving lives and alle-
viating human suffering required cooperation with NATO, but at the same time were
well aware of the serious risks involved.
In the event, problems did not materialize to the extent that might have been
expected, which may largely be attributable to the fact that the war turned out to be
short-lived. Moreover, it ended with a NATO victory that permitted the speedy
return of the refugees. As a result of this fortuitous outcome, adverse effects that
might have followed from a continued blurring of the military-humanitarian distinc-
tion were limited.
As several key humanitarian agencies involved in the operation viewed coopera-
tion with military forces that were a party to the war as inherently problematic, a
longer and more inconclusive war might well have resulted in a split between the
agencies with potentially adverse consequences to the humanitarian operation.
Thus what had started out as a genuine effort by NATO forces to support the
humanitarian operation could have ended up weakening it. In considering lessons
learned from the Kosovo operation, the agencies concluded that mutual transpar-
ency and a sharp distinction between the humanitarian and military missions are
prerequisites for effective cooperation.
234 C. Mougne and F. Groot
The DRC provides multiple examples of the complex challenge of maintaining the
civilian character of refugee/IDP camps. Tragic examples are provided by the
extraordinary situations of the mid-1990s in the refugee camps in Kivu (as well as
in Tanzania), where armed elements (interahamwe, gnocidaires) terrorized
Rwandese refugee communities with impunity for years. When this refugee situa-
tion started to unfold, in July 1994, hundreds of thousands of people crossed the
border in a matter of hours, arriving into very inhospitable areas. Facing massive
challenges in providing shelter and sanitation, and with unprecedented death rates,
humanitarian agencies had no choice but to involve these armed elements in the
distribution of aid. In so doing, they inadvertently entrenched these groups violent
hold over the refugee population that went on to last for years with consequences for
the DRC that can be observed to the present day. A similar, yet much less disastrous,
situation arose in DRCs Equateur Province a few years later (Yu 2002).
In 2001, a group of some 26,000 persons from the Central African Republic
(CAR) had fled across the border river into the town of Zongo in the DRC. They had
settled among the local population, in public buildings and private homes. The local
authorities spotted the presence of some 1000 Central African Republic soldiers
(FACA) and their family members among the refugees and wanted them separated
before the refugees could be transferred to a camp. This was to be done in order to
prevent infiltration of armed elements into the refugee population. Previous similar
situations had clearly taught an important lesson: that demobilization and/or disar-
mament of combatants need to happen before encampment as this become opera-
tionally nearly impossible to achieve afterwards (as happened in Kivu in 1994).
Ultimately, the ex-FACA and their dependents were successfully relocated to a sec-
ond site prior to encampment. This separation was led by UNHCR with the support
of the UN peacekeeping mission in the DRC (MONUC).
The extent of MONUCs collaboration was limited, as, under its mandate, it did
not consider the operation to be a main task because those involved were not a party
to the Congolese war. The mandate also did not grant the peacekeepers the ability
to use force to coercively to disarm soldiers. MONUC [was] mandated, inter alia, to
monitor a cease fire. [...] MONUC would be powerless to forcefully engage the ex-
FACA [soldiers] if they met resistance during the movement (Yu 2002). On these
grounds, MONUC initially decided that they could not be involved. However, the
Special Representative of the Secretary General (SRSG) in Kinshasa was ultimately
able to broker an agreement that enabled MONUC to assist UNHCR in this opera-
tion, by limiting the peacekeepers involvement to a set of carefully worded activi-
ties that managed to remain within their mandate and avoided the risk of forceful
engagement. With these restrictions in mind, MONUC decided to participate in a
limited capacity: by checking that the ex-FACA were without weapons, by liaising
with the local authorities on the security aspects of the operation and by escorting
the UNHCR-organized movement from Zongo town to the new camps. In order to
defuse any possible tension, UNHCR decided to exceptionally provide food
assistance to the ex-FACA soldiers although assistance to non-civilians is forbidden
under its mandate.
15 Human Rights and Refugee Protection: The Interface with Humanitarian Actors 235
15.6 Conclusion
Managing the interface between military and humanitarian actors in conflict zones
has evolved considerably over the past 25 years. The two case studies illustrate the
way in which actors have worked together through challenging situations to identify
appropriate ways forward to protect civilians while safeguarding respective man-
dates. This is clearly an ongoing process, as each new scene of operations presents
unanticipated obstacles and dilemmas.
The Kosovo operation was fortunately resolved quite quickly and in a way that
avoided multiple potential problems, allowing both NATO and the UN to reflect on
the experience, analyse the lessons learned and take steps to prevent or at least to
minimize similar problems in the event of more protracted conflicts in the future.
Early and on-going consultation between military and humanitarian players in
large-scale rapid-onset emergencies is clearly critical to avoid either party taking
irrevocable action that might undermine the objectives of the other, or compromise
an eventual cooperation in the short, medium or long-term.
The DRC example provides a useful illustration of the importance of close coop-
eration at field level between senior military and humanitarian leaders and of work-
ing together to identify solutions to specific local problems by approaching them
with flexibility and pragmatism.
The state of affairs in international human rights law and humanitarian law, and
in discussions about mandates of international military forces, point to the growing
importance of humanitarian action as a rationale for and an element of peace opera-
tions in the near future. Effective cooperation thus becomes ever more important.
Based on recent experience in Kosovo, the DRC and other theatres, and with
reference to Chaps. 5 by Thynne and Cherne and 16 by Olsthoorn and Soeters, mov-
ing forward in effective cooperation between military and humanitarian actors may
benefit from the following suggestions:
1. In-depth training of both military and humanitarian players on respective gov-
erning principles, mandates and programmes/operations (general as well as
situation-specific), and international humanitarian/human rights law, PRIOR to
deployment;
2. Identification of effective negotiators for civ-mil interface;
3. Early consultation and agreement on the scope of initial cooperation;
4. Regular on-going consultation to update and revise cooperation as required;
5. Coordinated lessons-learned exercise at the conclusion of each operation.
236 C. Mougne and F. Groot
References
20th International Conference of the Red Cross and Red Crescent Movement. (1965). Fundamental
principles of the International Red Cross and Red Crescent Movement.
Fundamental Principles of the International Red Cross and Red Crescent Movement, proclaimed
in Vienna in 1965 by the 20th international conference of the Red Cross and Red Crescent
Movement.
Geneva Conventions of 1949 including Additional Protocol II.
Global Public Policy Institute (GPPi), & Groupe Urgence, Rhabilitation, Dveloppement (Groupe
URD). (2010, April). Cluster approach evaluation 2, Synthesis report.
International Committee of the Red Cross. (year). Rule 142. Instruction in international humanitar-
ian law within armed forces. (date, year).
International Covenant on Civil and Political Rights.
International Red Cross and Red Crescent Code of Conduct (Resolution 47/182 of December
1991).
International Review of the Red Cross. (1999, September 30). The denial of humanitarian assis-
tance as a crime under international law. International Review of the Red Cross, No. 835.
Metcalfe, V., & Berg, M. (2012, August). Country-specific civil-military coordination guidelines.
Humanitarian Policy Group (HPG) and Overseas Development Institute (ODI).
OCHA. (2006). Guidelines on the use of military and civil defence assets to support United
Nations Humanitarian Activities in Complex Emergencies (MCDA guidelines). OCHA, Rev 1,
January 2006.
OCHA. (2015). United Nations Humanitarian Civil-Military Coordination, UN-CMCoord field
handbook. OCHA.
Secretary-General of the United Nations. (1999, August 6). Observance by United Nations forces
of international humanitarian law. Secretary-Generals Bulletin, ST/SGB/1999/13.
Swiss Federal Department of Foreign Affairs. (2013). Handbook on the normative framework
(Version 1.0) on Humanitarian Access in Situations of Armed Conflict.
UN Security Council Resolution 794. (1992).
UN Security Council Resolution 1296. (2000).
UN Security Council Resolution 1612. (2005).
UN Security Council Resolution 1882. (2009).
UN Security Council Resolution 1894. (2009).
UNHCR. (2000, February). The Kosovo Refugee Crisis, An independent evaluation of UNHCRs
emergency preparedness and response.
Yu, L. (2002, August). Separating ex-combatants and refugees in Zongo, DRC: Peacekeepers and
UNHCRs ladder of options. New Issues in Refugee Research No. 60.
Chapter 16
Leadership and the Comprehensive Approach
16.1 Introduction1
Like many of todays militaries, the Dutch armed forces plan and implement their
contribution to military missions in close cooperation with other, non-military
actors and organisations in a comprehensive approach designed to achieve the
desired result (Ministry of Defense 2012a: 13). Throughout this chapter, we will
use the term comprehensive approach for this cooperation between military and
civilians actors. Surprisingly, seeing the militarys preoccupation with leadership,
little has been written on what kind of leadership fits such an approach best; for
instance, a recent volume on leadership and the comprehensive approach
(Woycheshin and De Graaff 2013) has a lot to say on the comprehensive approach,
but is somewhat silent on the implications for leadership. Most outspoken is the
Swedish contribution to that volume: within the comprehensive approach, a leader
has
to include other actors within coordination efforts. The leader should be aware of the value
that other actors have to offer and, within efforts to coordinate all actors, give them credit
for their ideas, a chance to be heard and have an openness to implement ideas decided upon
together (Ohlsson et al. 2013).
In line with that remark, and based on the scarce research that is available (see
for instance Mockaitis 2004: 49; Rietjens 2006: 160), this chapter assumes that,
1
Parts of this chapter draw on a previous paper on military leadership (see Olsthoorn and Soeters
2013).
P. Olsthoorn (*)
Netherlands Defence Academy, Breda, The Netherlands
e-mail: phj.olsthoorn.01@nlda.nl
J. Soeters
Netherlands Defence Academy, Breda, The Netherlands
University of Tilburg, Tilburg, The Netherlands
Now, nearly all Western militaries already stress the need for decentralization of
leadership, but at the same time their doctrines want their leaders to be strong and
visionary. The first aim of this chapter is to sketch these opposing tendencies, and to
see which of these tendencies wins through in practice.
To that end, the first section explains how the Netherlands Armed Forces as one
of Europes typical, even if not fully representative, armed forces views leader-
ship. This introducing section describes how leadership is envisaged in the
Netherlands Defense Doctrine, the joint leadership vision of the Dutch forces, and
the theory that underpins it. As is the case in most Western militaries, these docu-
ments emphasize the importance of strong, visionary leaders, but they also stress
the need for decentralization of leadership in todays comprehensive approach
two demands that seem hard to reconcile. After that outline of official views, we
will briefly describe some results of leadership research into the functioning of
Dutch commanders in Bosnia and in Afghanistan; especially that latter mission is
considered to be a typical example of a comprehensive approach to military
missions.
But it was especially the research into the leadership in the missions in Bosnia in
the 1990s that warns us that how it works on paper is not always how it works in the
real world. And that brings us to the second aim of this chapter: based on the find-
ings of the first two sections, we will introduce the notion of unobtrusive leadership.
This concept could complement all those doctrines, visions, and theories that put
the strong, visible leader to the foreground, and we suggest that this might be a style
of decentralized leadership that would fit the comprehensive approach.
once; NATO adopted the term in 2006 (Guo and Augier 2013: 20). That the doctrine
deems decentralization of leadership so important is mainly because of the unstable
and unpredictable circumstances in which many of todays missions take place
(Ministry of Defense 2005: 90). The doctrine states that the style of command that
is needed under such complex circumstances
is based on the decentralisation of authority for the execution of all military operations, on
the basis of the historical experience that, in all the chaos and friction to be expected, deci-
sions can best be made at the level directly involved in the operation (Ministry of Defense
2005: 89).
A high level of mutual trust is, according to that same doctrine, an important
prerequisite for the decentralization of leadership (Ministry of Defense 2005: 90).
Interestingly, trust is also mentioned as a precondition for the comprehensive
approach in the Joint Doctrine Publication 5 Command and Control, meant as a
supplement to the general doctrine: Good cooperation and coordination of activi-
ties is only possible if there is a basis of mutual trust (Ministry of Defense 2012a:
27). So on first sight the matter seems clear cut enough: commanders are expected
to practice decentralized leadership, and to trust their subordinates, thus leaving
ample room for their subordinate commanders to take initiative, and act on their
own best judgment. But the doctrine also states that while
command and control will be mission-oriented [i.e., decentralized] in theory, a higher or
even the highest command level will in certain cases be required to decide how the mission
is to be conducted, in which case it could still be necessary to impose directions and restric-
tions (Ministry of Defense 2005: 89).
The just mentioned Command and Control publication states that the degree of
freedom allocated to a commander depends on a number of factors, and among
them is the cohesion between the military and non-military activities within the
comprehensive approach (Ministry of Defense 2012a: 33). Regrettably, the publi-
cation is here still silent on the nature of that relationship, but one would expect that
planning and implementing in cooperation with civilian partners requires a suffi-
cient degree of freedom for the militarys leaders that work on the operational level.
Not so: later on in the same document there are some clues as to what might
amount to a sufficient ground to opt for a more directive, centralized style of leader-
ship; the publication explicitly mentions no less than eight reservations (Ministry of
Defense 2012a: 5960). Among them are the maturity of the commander and sub-
ordinates, the commanders personal style, and the general culture in individual
services and countries. Some of the factors listed, such as political sensitivity and
multinationality, will be of influence in virtually all missions Western militaries
conduct. More relevant for us, however, is that, contra the (admittedly scarce)
literature on leadership and the comprehensive approach, the collaboration with
non-military actors is now explicitly mentioned as a possible reason to not practice
decentralization of leadership (Ministry of Defense 2012a: 5960).
Negatively put, these doctrinal publications provide every commander who has
some doubts about the benefits or feasibility of decentralized leadership with a
loophole, at least in theory. This is in line with the emphasis on strong leaders
240 P. Olsthoorn and J. Soeters
elsewhere in the doctrine, which defines leadership as the projection of the person-
ality and character of an individual, usually the commander, to motivate soldiers to
do what is expected of them (Ministry of Defense 2005: 91). Although the doctrine
acknowledges that [t]here is no formula for leadership, and states that each com-
mander will motivate his soldiers in different ways, it is revealing that it mentions
using persuasive powers, coercion, the strength of his personality, charm or a com-
bination of these methods as examples of these different ways (Ministry of Defense
2005: 91). Necessary leadership qualities are vision and intelligence, originality,
insight and good judgment, intuition, initiative, professional expertise, courage and
resolve, self-confidence (if based on his own qualities), knowledge and experience,
integrity and the ability to set an example, as well as the ability to communicate and
to act in an ethically correct manner (Ministry of Defense 2005: 92).
That accent on strong leaders that characterizes military doctrine and culture is
also present in the leadership vision, and it appears to have grown stronger with
each new version that saw the light; something that shows especially from the theo-
retical frameworks chosen. In the years before 2007, Hersey and Blanchards theory
of situational leadership formed the basis for the leadership vision. Put briefly, this
theory holds that the maturity of the subordinates (showing in competence and com-
mitment) determines which combination of task-oriented and relations-oriented
behavior a leader should use. This theory still allowed a leader to keep on the back-
ground, for instance because his or her followers were both capable and willing. In
2007 a new vision appeared, which still sees a role for situational leadership, but
that at the same time incorporates (in tune with more modern leadership theories)
elements of charismatic, inspirational, and transformational leadership. It stresses
the importance of setting a good example, and states that leading people is more
than just managing them.2
A new leadership vision that appeared in 2013 does not refer to any leadership
theory or model at all. But a look on the underlying documentation (which mentions
the comprehensive approach only in passing) learns that the new vision incorpo-
rates quite a few leadership perspectives, such as transformational leadership, team
leadership, authentic leadership, adaptive leadership, servant leadership, and ethical
leadership (Ministry of Defense 2012b). But central to the whole enterprise is
Quinns competing values model (1984), which distinguishes (in addition to 24
competencies) no less than eight leadership roles an effective leader can, when
needed, function as an innovator, broker, producer, director, coordinator, monitor,
facilitator, and mentor. Quinns leader does everything, and is everywhere.
2
That last remark, incidentally, pays homage to the especially in the military popular view that
leadership is superior to management. Although one could question if such views are accurate (see
Soeters, Winslow, and Weibull 2003), this preference for leaders over managers is probably due to
the view of leaders as being strong, visionary, and active, as opposed to inactive, merely bureau-
cratically operating managers. It is the question whether such visible leadership is needed at all
levels: Keith Spacie, a retired Major General of the British Forces, thinks it obvious that the
requirement at the lower end of the spectrum [of authority] will be more for practical and prag-
matic leadership, at the higher end more (but not entirely) for that of a visionary kind (2002: 45).
16 Leadership and the Comprehensive Approach 241
Quinns theory is fairly typical in this aspect, though: most modern leadership
theories put much stress on the omnipresence and omniscience of the leader, and
many military leadership doctrines build on these theories (Vogelaar 2007: 36).
Such theories tend to assume that to be effective a leader has to have a lot of influ-
ence on his or her subordinates, while less visible leadership is negatively associ-
ated with laissez-faire leadership (see for instance Bass 1996).3
Militaries want strong, persuasive, and visionary leaders, yet at the same time they
consider decentralization of leadership important too. The question is which ten-
dency wins through in todays military practice. Fortunately, militaries have some-
what of a tradition of researching the way its leaders lead, and also the extent to
which they practice the so much desired decentralization of leadership has been a
topic of interest. On the whole, the findings were mixed.
Research by Vogelaar and Kramer (2004) showed that during the missions in
Bosnia in the 1990s, Dutch commanders practiced a more top-down style than one
would expect on the basis of the leadership doctrine of that moment, which empha-
sized the importance of decentralizing leadership as much as the current doctrine
does. Interestingly, that same doctrine nonetheless backed commanders who moni-
tored fairly closely; reminding of the long list of reservations in the more recent
Joint Doctrine Publication 5 Command and Control, it deemed mission command
less feasible in the case of political sensitive missions; international cooperation;
combined units; and when decentralization would cause differences in implementa-
tion (Ministry of Defense 1996: 51). Evidently, commanders could thus always find
a reason to not decentralize leadership (see also Kramer 2007: 2134), and in
practice most leadership tended to be rather centralized. The strict impartiality that
was required, the often unclear and ambiguous objectives, the deployment of mixed
units and the ensuing lack of trust, the development of routines, the stress on safety
precautions, and finally the availability of online information, all contributed
3
A good example is the theory of transformational leadership, popular in many militaries today,
which is also mainly about charismatic, visionary leaders. But to avoid some of the pitfalls of the
popular theory of charismatic leadership suffers from charismatic leadership is thought to lead to
more centralization and to the suboptimal development of subordinates (Keithly and Tritten 1997:
131) transformational leadership stresses the importance that of intellectual stimulation and indi-
vidual consideration too. Leaving aside the many conceptual issues the theory suffers from, and the
fact that [t]he term transformational has been broadly defined by many writers to include almost
any type of effective leadership, regardless of the underlying influence processes (Yukl 2002:
261), it is not clear to what extent transformational leadership really resolves the problems of
charismatic leadership. There is, for instance, a tension between the elements of inspirational moti-
vation (i.e., vision) and idealized influence (i.e., charisma) on the one hand, and intellectual stimu-
lation on the other. Although () transformational leaders can share vision building (Bass 2002:
6), this is not likely to happen under a truly charismatic and visionary leader.
242 P. Olsthoorn and J. Soeters
4
Later Vogelaar argued that central commanders tend to centralize authority too much and keep
things too much under strict supervision (2007: 29) because in the military a the higher-ranking
person is supposed to have more power than the lower-ranking one (Vogelaar 2007: 38). Because
military leaders have more coercive power at their disposal than leaders in many other organiza-
tions, they can always choose to force obedience (Vogelaar 2007: 38). And as commanders are the
ones that are likely to be held responsible for what happens during a mission, they will want in-
depth insight in the situation at hand, and in the military central commanders are in the position
to control information (Vogelaar 2007: 38).
5
The terms reconstruction-mission and fighting-mission were used by both parliament and in
the media, but hardly within the Defence organization itself, which, instead, used the term counter-
insurgency, which covered both aspects.
6
According to some military partners of the Dutch in Uruzgan that non-directive style of leader-
ship was pushed a bit too far. As two Australian officers put it: Among the Dutch there is a very
high willingness of subordinates to say Yes, but to discuss endlessly about decisions, about
plans, about anything (Soeters et al. 2012: 163).
16 Leadership and the Comprehensive Approach 243
argue that the degree of discretion these platoon commanders themselves have
depends on their commanders having a similar leadership attitude.
[a] leader is best when people barely know he exists. Not so good when people obey and
acclaim him. Worse when they despise him. But of a good leader who talks little when his
work is done, his aim fulfilled, they will say We did it ourselves (cited in Manz and Sims
1991).
This is what we would like to call unobtrusive leadership. We have loosely based
this concept on the notion of unobtrusive research measures in the social sciences.
Webb, Campbell, Schwartz and Sechrest came up with that term in their book
Unobtrusive Measures (1966), which is a plea to not always opt unthinkingly for the
usual research methods, such as the interview and questionnaire. The rationale
behind that plea was a moral one: in the view Webb et al., the usual methods often
invade the privacy of research subject (1966). Observing, using archived material,
and studying physical traces (wear of floor tiles tells about visitor flows in a museum)
are examples of less obtrusive measures (Webb et al. 1966: 2, 36). Now, that in
war, victory goes to those armies whose leaders uniforms are least impressive
(the so-called Sukhomlinov Effect, named after the handsomely dressed General of
the Imperial Russian Army Vladimir Sukhomlinov, who allegedly lost World War I
for the Russians) can be seen as an example of a result of unobtrusive research, as
Webb and Weick do (1979). But perhaps one could see that same finding also as an
argument for unobtrusive leadership
We think that the following qualities could typify such an unobtrusive form of
leadership:
Like the leadership of many successful CEOs such as Bill Gates, unobtrusive
leadership lacks charisma; on the contrary, it emphasizes modesty, inconspicu-
ous, quiet and even introvert, behavior of the leaders (Cain 2012);
It provides opportunities for the employees to regulate themselves through iden-
tification and internalization, that is, through linking the legitimacy of the orga-
nizations rules with the employees social values, instead of using a
command-and-control approach (Tyler and Blader 2005). In that aspect, it per-
haps somewhat resembles the notion of Innere Fhrung of the German
Bundeswehr;
It emphasizes team-leadership, which entails the organic that is to say, not in a
planned manner distribution of various leadership tasks (downward, outside,
and upward; details, pressures, and politics) among the employees with leader-
ship roles (Mintzberg 1997);
It uses informal dialoguing and facilitates collaborative talk among employees
(focusing on similarities and shared interests), at the same time not suppressing
assertive talk, through which employees want to influence and frame the discus-
sions that go on within them; more than anything, unobtrusive leadership is
leadership by talking around enabling a close touch with everydays practice
(Hardy, Lawrence, and Grant 2005);
In the same vein, unobtrusive leaders do not (coercively) transfer, diffuse or
transform existing or new knowledge throughout the organization. They facili-
tate processes of thinking along by co-workers and leadership in finding cre-
ative, new solutions for complex cross-boundaries problems, while retaining
each others specialization and identity (Berends et al. 2011);
16 Leadership and the Comprehensive Approach 245
16.5 Conclusion
This chapter identified a number of factors that go against the heart of the idea of
decentralized leadership, which as we have argued is vital to the comprehensive
approach. Among them were military doctrine, the equation of effective leaders
with strong leaders in most leadership theories, and the personal style of many mili-
tary leaders. To start with that last factor: in the military, the personal style of a
commander will more often than not be a rather visible, imposing style of leader-
ship (one could perhaps even say it is more of a military style than a personal style).
7
The story behind this syndrome is, of course, that of one military leader, King David, killing
another military leader, Uriah, over the latters wife, Bathsheba.
246 P. Olsthoorn and J. Soeters
If true, that personal style could well have a negative influence on the amount of
decentralization of leadership, and, thus, the extent to which mission command will
(or can) be practiced. As to doctrine and leadership theories: we have seen that most
military doctrine (and the Dutch doctrine is an example of that) seems to presuppose
a strong leader. In doing so, it is in line with nearly all leadership theories, including
those underlying the leadership vision (old and new) of the Netherlands Armed
Forces, which tend to emphasize the strong leader, and are often about how to aug-
ment ones influence as a leader. That, too, is a factor that contributes to the fact that
decentralization is less common than ideally would be the case.
We have proposed a different view on leadership, which we coined unobtrusive
leadership, to somewhat counter that tendency. This approach is of course not meant
as a substitute for the existing ones, but as a complement to traditional views of
leadership. We think that such a leadership style would fit the comprehensive
approach. This comprehensive approach is not something that comes naturally to
the military. The military is very much a species of its own, an island within wider
society, with its own social constructions of reality and its own internal lines of
command. But todays protracted and often complicated intranational conflicts
require the military to cooperate with other organizations, be they militaries from
other nations or organizations outside of the military, such as governmental organi-
zations, humanitarian agencies and even commercial firms. As has become clear
from various other chapters in this volume, this need for cooperation is likely to
come along with perceived status differences, including stereotyping, ideological
domain discussions (who is responsible for what?), differing operational styles,
varying resources and competences, and in general with non-optimal degrees of
mutual trust between the partners.
Clearly in such conditions, a direct centralized style of leadership on one side
or all sides of the cooperating partners is not conducive to reach a full degree of
cooperation between the partners involved. That is because leaders of one organiza-
tion simply have no say over other organizations people. By consequence, in the
comprehensive approach there is no room for a vertical, one-size-fits-all-leader-
ship style, let alone a leadership style in which one leader knows it all. Instead, it
needs a leadership style that fosters the development of horizontal, collaborative
practice and mutual trust in everydays reality by staying modestly present and
facilitating the ongoing processes of negotiation and collaboration unobtrusively.
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Chapter 17
Civil-Military Interaction, CIMIC
and Interacting with Gender
17.1 Introduction
The views expressed herein are those of the author and do not necessarily reflect the views of the
United Nations.
G.H. Gjrv (*)
University of Troms, Troms, Norway
e-mail: gunhild.hoogensen.gjorv@uit.no
T.T. Kleppe
Office of the United Nations High Commissioner for Human Rights (OHCHR),
United Nations Human Rights Council (UNHRC), Geneva, Switzerland
as CIMIC, Gender Field Advisers (GFAs) as well as a brief discussion about Female
Engagement Teams (FETs). The chapter draws upon doctrine and policy, scholarly
analyses, interviews with different military practitioners as well as with women in
Afghanistan. The end result is intended to be a critical but accessible and ideally
honest account of to what extent gender has been prioritized and implemented
international operations.
In this chapter we begin by providing some central definitions of gender concepts
currently in use in NATO, and examine why the concept is relevant to the military. To
do so, we use the concept of security as an explanatory tool, in particular human
security, which provides a broader security lens that allows operators to better under-
stand the civil-military interface. We follow with the policy background and rationale
for implementing gender perspectives. We lastly consider challenges in implement-
ing gender awareness, the potential competition between, or integration of, gender
adviser and CIMIC, and the importance of gender balance for effectiveness of mili-
taries. Implementing gender or doing a gender analysis within the context of a
military operation is never an easy task. There are no quick dos and donts, which
is why it is important to have gender specialists as well as train the average soldier in
gender. Assumptions and expectations about men and women change as gender
interacts with class, ethnicity, race, geography, and social position. The purpose of
this chapter is to increase the awareness of the military practitioner about how gender
is understood and relates to security, so that she or he is better capable of conducting
a complex and relevant analysis to increase the success of the operation.
Terminology that has become more commonplace in the military operation include
gender perspective, gender mainstreaming, and gender analysis (see Textbox
17.1). All of these refer to tools or methods to increase operational effectiveness, as
stated in NATOs cornerstone policy tool for gender mainstreaming of its operations,
the Bi-Strategic Command Directive 40-1 entitled Integrating UNSCR 1325 and gen-
der perspective into the NATO Command Structure. The Directive, first adopted in
2009, aims to give instructions and guidance in regard to using gender awareness as a
means to the end of establishing stability and security. But what does this really mean?
The concept of gender goes beyond the biological perception of the two sexes,
referring to socially constructed identities and differences between men and women.
Gender roles are context and time specific, and hence each culture and moment in
history will give its own interpretation to what a real man or woman is. Mens and
womens social roles are interdependent and can be seen as dynamic processes that
develop in parallel. As Inger Skjelsbk notes, the relationships between the catego-
ries of masculinity and femininity is a matter of constant negotiation and renegotia-
tion (2001). Thus gender does not simply mean a womens perspective, but refers to
both men and women within socially and culturally defined norms of what each
gender should be like and what they represent. Yet, gender perspectives are often
interpreted as solely womens perspectives (a problem we will get back to later).
17 Civil-Military Interaction, CIMIC and Interacting with Gender 251
When United Nations Security Council Resolution (UNSCR) 1325 was adopted in
year 2000, it was a historic moment for the international womens movement. Until
then, little attention had been given to the fact that men and women, girls and boys
experience conflict differently, and that conflict has been understood and managed
from a dominant masculine perspective. With the UN Security Council women,
peace and security framework came, the responsibility for all governments to
17 Civil-Military Interaction, CIMIC and Interacting with Gender 253
ensure that the security conditions and perspectives of women were recognized and
understood as relevant when analysing and operating in any armed conflict. The
framework stipulated that states include women as part of the peace solution by
seating more women at the negotiation table. It was additionally recognized that
women were not just helpless civilians, but also combatants. Additionally armed
forces deployed in complex operations needed more women to better accomplish
their goals towards a successful end state in an operation. As a result and since the
adoption of UNSCR 1325 various governments around the world have designed
national action plans for the implementation of the Women, Peace and Security
Resolutions, and international organizations have outlined guidelines and policies
for gender sensitive action in armed conflict and peace building. UNSCR 1325 and
its sister resolutions not only address the need to focus on womens perspectives
and roles in and after armed conflict, but also champion a more comprehensive but
at times also rather abstract requirement: to integrate gender perspectives into
the security sector and peace work, and especially in the armed forces as the major
actor in peacekeeping and stabilization missions.
NATO has adopted its own directives on how to integrate gender perspectives
and UNSCR 1325 in its work and missions (CWINF 2007; NATO 2009). These
require NATO operations to take measures to protect women and girls from sexual
and gender based violence in armed conflict, and to interact with local women and
women leaders, in addition to their male counterparts. The directives and guidelines
also stress the importance of a thorough integration of gender perspectives, but
this is not explained in detail. In the example of Afghanistan, ISAF had given orders
to the allied troops to actively engage more Afghan women and seek their support
as a part of counter-insurgency operations (ISAF HQ 2010; ISAF JC 2010). This
was done particularly through the creation of female engagement teams (FETs),
consisting exclusively of female ISAF officers that patroled the areas of operation
and sought to engage with local women. The assumption that talking to local women
led to the integration of gender perspectives did not often materialize however
(Fleming 2014a). The UN Department for Peacekeeping Operations (DPKO 2010:
11) has also attempted to concretize gender guidelines, which state among other
things that for Strategic Military Guidance and Policy, it is essential to underline
the value of implementing mandates on women, peace and security to enhance
operational success in the work of the military. This refers to UNSCR 1325, but
little is said of what this statement actually means, considering the broad area of
implementation that is covered by the Resolution.
NATOs gender policy Bi-SCD 40-1 nevertheless does well in outlining why
gender perspectives are important in their operations, as well as attempting to pro-
vide an idea of how this can be done. To begin with, the Directive stipulates what
general criteria are relevant to every operation, including that the Gender adviser
(GENAD) should have an important role in planning, execution and evaluation of
all NATO-led operations. Monitoring and evaluation mechanisms are required and
lessons learned are expected to feed back into the system. Gender training is not
simply a requirement, but the Directive requires that all pre-deployment training
include a clear gender dimension by, among other things, highlighting the
254 G.H. Gjrv and T.T. Kleppe
importance of protection, rights and needs of women, girls and boys; providing
information on how to engage with, and increase the participation of, local women
and how to exchange information with women; and offering cultural awareness
training based on an analysis of gender relations (NATO 2009: 10). It also empha-
sises the importance of male and female troops working together: a gender-mixed
force enhances the sharing of information, knowledge, intelligence, and is instru-
mental in garnering trust and credibility (ibid).
A comprehensive security perspective that includes gender is thus essential for
complex mission design and mandate implementation, and for a well-functioning
and efficient organization. NATOs gender policy Bi-SCD 40-1 states that an effec-
tive operational response, based on a comprehensive approach, needs to take all
members of society into account in order to address the various layers of conflict
and contribute to peace and stability. Gender is essential component in these efforts.
Gender analyses provide a tool to increase operational effectiveness by making sure
that all parts of the local population are being considered, men as well as women.
Integrating gender perspectives is thus both a matter of rights the rights of all
civilians regardless of sex to be heard and protected and a matter of the efficiency
of the military to comprehensively collect information, analyse the situation on the
ground and identify the needs of women as well as men among the local population
in order to act and respond adequately to fulfil the operational requirements. In
other words, military practitioners need to engage in gender analysis, which means
gathering gender data, assessing what this data says about power and security and
how these potentially affect the operation, resulting in gender perspectives for that
time and place that can be further implemented into military planning. Gender anal-
ysis is thus the tool resulting in integrated gender perspectives, which is both a goal
in and of itself, as well as a factor contributing to the larger goal of increasing suc-
cess for the military operation.Operations that do not have a gender analysis and
perspective incorporated into their plan are in most cases not gender neutral (as is
often assumed), but gender blind, as they lose out on understanding the full range of
situations, needs and opportunities of the local population.
What does this all mean for the military practitioner on the ground what does
one do to integrate a gender perspective? The how often implies an assumption
about a series of checklists, signs to watch out for, specific people to talk to, etc (see,
for example, DPKO 2010). A checklist is often difficult and unreliable, because of
the complexity of each context we do not want to reduce the gender analysis for a
complex operation to a simplistic checklist or a series of dos and donts. What we
want to emphasise here is that integrating a gender perspective first and foremost
means that practitioners must think about the impacts of gender on security, the
impacts of (military and state) security on gender, and the role of gender in the
society in which the operation is taking place. Thinking gender and its impacts on
security should be as automatic as thinking about the enemy and its impacts on
security. Integrating gender demands that the practitioner draw on her/his skills as
an analyst.
To begin with this means thinking critically about who has power. Practitioners
need to ask themselves if they know how power is distributed in that society, be it
17 Civil-Military Interaction, CIMIC and Interacting with Gender 255
their own, or a society to which the practitioner does not belong. Who has power
and why? Is power distributed evenly between men and women (rare), and how is
power distributed between men and women? Knowing the specific circumstances in
which power operates, and between men and women, gives the practitioner a wealth
of information about where to get different types of information, and who in the
community can influence the outcome of the operation and how. Falling back on
assumptions that men always have power, and women do not, exactly the sort of
assumption UNSCR 1325 tries to address and correct, reduces the field of influence
for the operation.
Second, the military practitioner has to think critically about security, and along
the lines of a complex, broad human security. An operation cannot afford to neglect
marginalized groups, including women. To be inclusive and applicable for all indi-
viduals, the security needs and perspectives of men and women need to be taken
into account on an equal basis. Armed conflicts affect men and women in different
ways. For example, in the work of clearing land mines, the tasks of women in many
cultures, such as collecting water, often make them more knowledgeable of where
landmines are and how to find them than men reason why leaving out women in
these kind of fact finding missions can have lethal consequences. Additionally, rape
and sexual violence is in many settings used as a weapon of war, especially target-
ing women and girls, although it cannot be forgotten that men and boys also are
victims of wartime sexual violence which also can have profound impacts on the
community and community relations (Eriksson Baaz and Stern 2009). The recon-
struction phase in the aftermath of conflict will also affect men and women differ-
ently, when it is mostly men who are heard and invited to the negotiation table.
Third, military practitioners work in gender-mixed environments, and as a result
it is imperative that militaries ensure that women soldiers and officers are an inte-
gral part of the operation. A now familiar scenario is the combat and/or stabilization
mission that takes place in cultures where women have less access to public spaces
than men and where men and women are culturally segregated, it becomes extra
important for the missions to have female soldiers who can identify, interact and
meet with relevant women. The advantages of women military personnel interact-
ing with either male or female civilians, or other military, are also relevant for less
gender segregated societies, as gender still matters in all societies. Thus a more
gender balanced military increases its operational assets in all manner of operations,
no matter the culture or geographical location. Recruitment of women soldiers is for
these reasons an important part of operational readiness. But to be a woman does
not mean that one automatically has a greater understanding of gender roles and
dynamics. All staff members women as well as men, commanders as well as sol-
diers need to learn about the often complex dynamics of how gender affects peo-
ples choices and behaviours, how it makes some more vulnerable to specific kinds
of violence and abuse, and what culturally specific gender roles exist in the relevant
context. Gender training sessions can provide staff with this, as well as tools for
both male and female personnel on how to interact with all parts of the population
girls, boys, men and women.
256 G.H. Gjrv and T.T. Kleppe
Considerable work has been done demonstrating that civil-military interaction has
much to benefit from an increased focus and understanding of gender issues in the
civil-military environment. Efforts by CIMIC specialists have included multiple
conferences or workshops on the relevance of gender awareness, as well as publica-
tions, including the Gender Makes Sense booklets (Houdijk et al. 2008;
Groothedde 2013). This is in addition to more than three decades of academic work
that has been dedicated to gender and security, much by feminist scholars who have
tended to focus on what goes on during war and on individuals, both civilian and
military and how their lives are affected by conflict (Tickner 2011). Security is
often perceived differently by individuals and local populations than by security
elites (ibid). CIMIC, and CMI more broadly speaking, is a bridge between realms;
between military actors and mandates and civilian actors from local populations to
civilian aid agencies, national and international organizations, and governing
authorities. Given this focus, one would assume that CMI would have been very
early active in promoting and operationalizing gender perspectives.
The role of the gender concept and how it is supposed to inform and improve
international operations has often been unclear however, particularly for practitio-
ners on the ground. As a contributing factor, policy makers many times lack the
contextual knowledge or the know-how in order to create policies that are easy to
implement for the practitioners and this is often in addition to having an abstract
understanding themselves of what it really means to integrate a gender focus in
17 Civil-Military Interaction, CIMIC and Interacting with Gender 257
Attempts to integrate gender perspectives into CIMIC have previously had well-
intended yet half-hearted results. These above reports have also indicated that
CIMIC functions in themselves usually do not contribute to a greater gender aware-
ness in operations (ibid), pointing to a lack of gender sensitization among CIMIC
officers. In addition, given the close and intricate interaction many of these civil-
military functions have with the civilian environment, it is necessary to understand
the ways in which civilians perceive these activities and the extent to which the
current strategies to integrate gender perspectives are considered helpful.
Thus, for all the attention that is given to gender and gender-based rights by mili-
tary practitioners, the functions and effects have been far less than ideal, and raise
the question as to whether these GFA, FET and CIMIC activities indeed do any-
thing positive for women in local communities? Lastly, the tenuous bridge between
gender and culture must be raised, as the ways in which gender is practiced is deeply
embedded within cultures, while at the same time there are gendered practices (ie:
domestic violence) that transcend culture. How does the practitioner distinguish
between complex social structures like gender and culture, and then try to influence
these domains, for the purposes of completing the mission?
For gender responsiveness to be more than a political argument, it needs to be
understood in the light of operational needs and of the situation among the local
population an understanding that must integrate the insights from on-the-ground
operators. These operators or practitioners must e able to read and interpret any
gender policies to fit the context that they are in, which is one of the most important
tasks of a gender analysis.
258 G.H. Gjrv and T.T. Kleppe
17.6 Conclusion
By being gender aware, and knowledgeable about gender roles, means to have a
more complex picture of security that reflects the whole of society, not just parts of
it. It also means that one avoids stereotypical assumptions such as women have no
power, or men have all the power, or that all women are vulnerable, and no men
are vulnerable. Where women may have limited power in some public spaces, they
may have otherwise increased power in private spaces and within and amongst fam-
ily settings that men often do not have access to, although we cannot forget that this
can still be extremely limited at times (Azarbaijani-Moghaddam 2014). In spaces of
reduced power, which includes many countries beyond the well known context of
Afghanistan, women often have access to networks and markets that are essential in
building/re-building communities, and they must also be recognized for the security
roles they play in ensuring to the best of their ability that families are taken care of
and removed from harm. It is also important to recognize the ways in which men are
reduced of their power within their own societies, where joblessness can have an
overwhelming impact on the vulnerabilities of men, reduce their freedom and sense
of contribution to their families and communities, resulting in (potentially) increas-
ing violence both at home as well as in the community through insurgent recruit-
ment or criminal activity. Research demonstrates that there are few differences
between men and women regarding their attitudes towards war (Aharoni forthcom-
ing). But what gender perspectives expose are the constructs in which we categorize
men and women, where we place them as a part of our politics of social order.
Though mens and womens opinions may not differ so much, their opportunities to
participate differ vastly. Given the diversity of roles that women and men play, and
the attendant power that is associated with all of these roles, one does not obtain a
clear picture of the civil situation without having the analytical clarity that gender
awareness brings to a situation. Textbox 17.2 clearly illustrates this.
260 G.H. Gjrv and T.T. Kleppe
As difficult as it may be to make sure that gender becomes more than a political
flashcard in civil-military contexts, it is essential to invest in getting it right. As
noted in this chapter, intergrating gender perspectives is about rights as well as
efficiency. The need for gender-focused military functions like GENAD, GFA and
FETs are crucial (though they still need development), but to increase efficiency
these functions need to also cooperate with and assist other civil-military functions
like CIMIC. CIMIC is not the gender expert per se, but requires many of the insights
across the breadth of the work in this function. CIMIC, and CMI more generally
speaking, is not about being only a gender expert (gender training), an aspiring
anthropologist (cultural awareness training), or a political scientist (governance),
but about using the appropriate analytical tools to have a better understanding about
how all these factors in relation to military activity influence the security dynamic,
and thus the overall mission (Hoogensen Gjrv 2014).
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Chapter 18
Improving Evaluation of Civil-Military
Cooperation
18.1 Introduction
P. Essens (*)
TNO, The Hague, The Netherlands
University of Groningen, Groningen, The Netherlands
e-mail: peter.essens@tno.nl
T. de Vries
University of Groningen, Groningen, The Netherlands
better insight in how a program achieved its overall outcome. Third, evaluations are
often too superficial to allow for strong follow-up processes, such as best practices
or guidelines for future operations (Jugdev 2012; Robson 2000; Spilsbury et al.
2007). For example, even the widely propagated after action review sessions fre-
quently fail in providing detailed knowledge of the factors that contributed to the
success or failure of operations, because the sessions are ineffectively organized and
executed (Bliss et al. 2011; DeGrosky 2005). Moreover, evaluations of cooperation
are often based on subjective opinions, with little support from systematic empirical
data (Metcalfe, Haysom, and Gordon 2012).
Such issues have already been broadly recognized in the mid 1990s. Driven by
the need for improved effectiveness and accountability of programs more system-
atic approaches appeared, such as the prominent program logic approach. The pro-
gram logic approach was developed in 1969 for the US Agency for International
Development (USAID 2006) to improve specification of the implementation of pro-
grams and its effects in order to improve evaluation of the programs. This approach
has been adopted widely for the planning and evaluation of programs (e.g.
WorldBank 2005; Innonet 2013). While the approach is wide spread in civil context
we have not seen it being applied in evaluation programs in military context. A first
effort was reported recently to use the program logic approach to improve military
planning and campaign assessment (Mazourenko and Jobst 2014).
In the next sections we present a generic model of the logic approach and an
example of this approach for an imaginary intervention program. Subsequently, an
evaluation logic model that fits the example program is developed. Then we discuss
an evaluation from practice (Common Effort) with an evaluation logic model
focused on cooperation.
Program Logic
The program logic approach (also referred to as logical framework, logic model,
logframe) is an analytical tool to plan, monitor, and evaluate programs. A logic
model is defined as: a systematic and visual way to present and share your under-
standing of the relationships among the resources you have to operate your pro-
gram, the activities you plan, and the changes or results you hope to achieve
(Kellog Foundation 2004). One step in this approach entails the specification of
clear, tangible goals and objectives of the intervention; a second step involves iden-
tifying which processes, conditions and resources enable the realization of these
objectives. Hence, the program logic approach specifies the anticipated outcomes of
an intervention, as well as the boundary conditions and processes that enable the
realization of such outcomes.
Figure 18.1 shows a generic model that illustrates how resources and structures
(Inputs) translate into products (Outputs) through activities (Processes), resulting in
effects (Outcomes). The Inputs component represents elements such as: people,
organization, procedures, financial resources, and facilities that are needed to enable
266 P. Essens and T. de Vries
Fig. 18.1 Logical framework approach of a program aiming for short-mid-long term effects,
showing a programs internal and external feedback loops (LL lessons learned)
the processes to function. The processes may require, for example, specialized
expertise, such as language and interpersonal skills, equipment, and so on. The
Processes component comprises the activities through which the inputs generate
outputs. Example processes include information sharing, coordination, communi-
cating, etc. The Outputs component comprises the products that are realized by the
program, such as a training system, a social network, a guide, etc. Outcomes specify
what effects on the short, mid and long term are expected from the program. The
external conditions (Environment) can influence the effects as well as the program
elements, which may confound the expected program effects. Feedback loops are
used to monitor progress against pre-planned performance steps, effects develop-
ment and intermediate (e.g. milestones) and end goals. Feedback may result in an
adjustment of how processes are performed or change the allocation of inputs for
the processes (e.g., additional or different resources may be made available) or even
result in rethinking the elements of inputs, processes and outputs.
The first step in designing a logic model is analyzing the objectives (if given) or
formulating these. Then the short term midterm and long term effects are specified
determining what effects need to be achieved to get to achieve the objectives. In the
next step the focus goes to the implementation of the program with the outputs that
should cause the effects, the activities to realize the outputs and the conditions to
able these. Below we describe an example of a logic model approach for a hypo-
thetical intervention; other examples can be found elsewhere (e.g. Innonet 2013;
Kellog Foundation 2004). Imagine an intervention program that aims to improve the
long-term quality of living in a suburban area (the target system) through growing
economic activities (defined as midterm) and higher street safety (short term).
To achieve this, the development of a neighborhood watch is set up (the output).
In order to function effectively, the neighborhood watch needs support from key
leaders and the residents in the area, which, in turn, requires cooperation building in
the community (Processes). The conditions (Inputs) should enable the processes
and outputs to be achieved. As it happened, a new access to a highway was opened
(Environment) which made the area more accessible for external threats and poten-
tially affected the assumed development of effects.
Figure 18.2 graphically depicts this case as a sample logic model, representing a
summary of inputs, processes, outputs and effects. The effects specification, here
summarized in one block, is usually represented as a chain of successive states of
18 Improving Evaluation of Civil-Military Cooperation 267
Fig. 18.2 Sample logic model of a (imaginary) program plan for improving quality of living in a
target area (feedback loops omitted)
the target system, which is a sequence of changes that are triggered by the outputs
of the program and evolve in the intended end state, where the objectives are real-
ized. The same counts for the outputs that also can be realized in time linked with
specific short term effects. For instance, the installation of the community support-
ing system could trigger self organization resulting in actions to cleaning up the
streets as indication of neighborhood control.
The program logic model provides a basis for the evaluation to build upon.
This can be done comprehensively for all elements of the program, intended effects
and means implementation, or for a critical selection that is considered to represent
the progress.
Fig. 18.3 Set of evaluation elements matching the sample programs logic model (EV means
evaluation of Inputs (EV-I), Processes (EV-P), Outputs (EV-O) and Effects (EV-E))
program plan, which can be a factual assessment. Or a judgement can be asked from
the program participants or even from the involved persons in the communities, if
they think that the right expertise is available and what may be missing. How to
measure and which indicators reveal the status of the element depends largely on
what is asked and expected by the stakeholders and what the evaluators think is
needed to give a matching and solid answer (for examples of measurement see
NATO HFM 2011).
In this example building and maintaining cooperation was not specified as a
separate effort in the program logic, although support from the external parties, such
as schools and community leadership, is obviously critical to realize a successful
program. Even if not a separate effort, quality of cooperation should be assessed and
be part of the overall evaluation scheme. For instance, in the example appreciation
by key leaders is used to see if the program fits well in the community. In the next
section we will focus on cooperation in a civil-military exercise and discuss how to
represent cooperation objectives in a logic model.
The First German Netherlands Corps (1GNC) organized, together with the
Ministries of Foreign Affairs of Germany and Netherlands, the project Common
Effort. Common Effort was a cooperation set up to plan and execute an interna-
tional, inter-agency peace-support exercise developing civil-military cooperation in
a realistic, complex scenario. The motto of the project was Cooperation should
start before we meet abroad in a crisis (1GNC 2011). The exercise was performed
in Muenster (Germany), September 2011, and included approximately 300 military
and 140 civilian participants from 33 different organizations. An evaluation study
was set up to assess cooperation between these participants and organizations
(Essens et al. 2012).
The first question in the development of an evaluation model of cooperation is
what to measure. Cooperation can show itself in many forms, for some it may mean
to plan together for others just to exchange information. Involvement of the partici-
pating organizations was crucial in order to specify their expectations, objectives and
18 Improving Evaluation of Civil-Military Cooperation 269
Fig. 18.4 Program logic (interpreted) and evaluation logic of exercise Common Effort (after
Essens et al. 2012)
Table 18.1 A three step approach to the development of a logic model for the evaluation of
cooperation
Step 1. Identify/Specify The program logic model is based on the program
Program Logic Model documentation, supplemented by interviews with the
stakeholder. The logic model definition is developed
backwards starting with an intended end state and then
working toward the conditions/inputs. First the objectives and
then the specification of the intended sequence of long term
midterm and short term effects to the means implementation
needed to achieve these effects, with outputs, activities and
supporting conditions/inputs, and the environmental factors
that may affect the project and its outcomes.
Specify Objectives Long term effects Mid term effects Short
Outcome elements term effects
Specify Output Processes Conditions Environment characteristics
the other elements
Step 2. Specify/Add The evaluation model with its measures is added to the
Evaluation Model program logic, linking it to the programs effects, outputs,
processes, and conditions, and affecting environment factors
Step 3. Specify/Add The cooperation model with its measures is added as part of
Cooperation model the evaluation logic. The cooperation model represents the
building blocks that are instrumental for building and
maintaining cooperation
272 P. Essens and T. de Vries
18.5 Conclusion
Evaluations help to learn what works and what does not, and why. Despite its value
and relevance, analysis has shown that evaluation in a military context is a challeng-
ing activity and in need of improvement to achieve its full purpose. A similar con-
clusion, in other domains, was drawn some 20 years ago. The need was identified to
more explicitly define the programs objectives, to separate outputs and outcomes
and specify the assumed effects chain towards the objectives, hence to reduce proj-
ect risks. This project definition approach should result in more realistic objectives
and meaningful performance and effect indicators. To support this change in program
specification the program logic model approach was developed. The logic model
aims to provide a succinct, diagrammatical, overview of what outcomes are planned
to be achieved in short, mid and longer terms, and what products and activities and
resources are needed to realize this.
Such an approach is also proposed to be applied for evaluations in military con-
text to arrive at improved evaluations. In fact, the logic model discussion addresses
a broader and more general issue, i.e. that any operation needs to be thought through
in terms of a logical framework with a theory of change or a plausible effects narra-
tive. Such reasoning will not only serve to aid intermediate and post-hoc evaluations
but more importantly will help all involved understand what effects are being sought
and what conditions and activities are needed for this. An argument that is sup-
ported with a recent proposal to complement military planning with a logic model
approach (Mazourenko and Jobst 2014).
The logic model approach is simple in its format, which is a benefit to get a
quick overview, but some limitations of the logic model approach have been noted
(e.g. Wisconsin 2002). Dwelling on details results in inconvenient models. Focusing
on the key elements helps to balance depth and detail which makes evaluation of
achievement easier. Output-effects relationships can be hard to define and take time
and broad expertise to specify in enough detail that they can be measured. Extra
expertise may be required, which is good to deliver a better result, but may slow
down the development. Moreover, reality is dynamic not linear, whereas an effects
chain may suggest that. Unexpected outcomes and side effects are easily underesti-
mated if focus is solely on expected outcomes; those that the program would like to
see to prove its existence. Positive effects are easily attributed as caused by the
program, whereas negative results will likely be seen as coming from other sources.
A logic model works with assumed causal connections, not with real direct cause-
effect relationships. Only with long longitudinal evaluations under comparable
conditions evidence may develop on the causality of specific outputs and specific
outcomes.
Working in operational conditions with multiple parties, in particular in civil-
military cooperation, effects assumptions and what outputs are needed to achieve
those will likely be different and result in multiple models, which adds to the com-
plexity of handling the program and its evaluation. Positive may be though that the
logic model approach will bring more clearly to the surface what prevailing
18 Improving Evaluation of Civil-Military Cooperation 273
assumptions are used by the diverse parties. This may result in improved insight,
less inarticulate friction, and an opportunity potential to harmonization of assump-
tions or at least respect for the multiple models that exist in parallel.
Cooperation is key to complex missions. The use of a logic model approach as a
tool to support dialogue and consultation can help to further this. In addition, we
have seen that cooperation needs development in itself. Our approach was to formu-
late, in operational context, cooperation as an objective, rather than a means to an
end, as a general quality that requires investment in resources and capabilities,
directed activities and products to achieve sustained effects of effective cooperation.
The Common Effort case of civil-military cooperation demonstrates how a logic
model was developed and how quality of cooperation was measured. This case rep-
resented a single event. With longer missions or series of exercises a logic model for
cooperation should also address the longer term effects and how the quality of civil-
military cooperation impacted the effectiveness of their intervention programs.
Such studies with repetitive assessment have yet to be done.
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Chapter 19
Civil-Military Interaction: From Practice
to Theory
Sebastiaan Rietjens
1
http://archive.atlantic-community.org/index/Open_Think_Tank_Article/The_Future_of_Peace_
Operations (Accessed March 3, 2014).
2
Security Council addresses comprehensive approach to peace-building, Press Release SC/7014,
20 February 2001.
S. Rietjens (*)
Netherlands Defence Academy, Breda, The Netherlands
e-mail: basrietjens@gmail.com
Civil-Military Cooperation (AJP 3.4.9.) (NATO 2013) that focuses on the interaction
between civilian and military actors, while its Comprehensive Approach Planning
Directive (COPD) (NATO 2010) addresses NATOs contribution to a comprehen-
sive approach and emphasizes civil-military planning and situational awareness.
These and similar EU and UN documents are intended to provide, or at least
contribute to, the frame of reference or mental model of armed forces deploying to
a mission area. This type of guidance, whether in the form of policy or operation-
alised in doctrines or handbooks, however has its flaws. First, most guiding docu-
ments devote much attention to formulating the desired results in the future, but less
to analyzing empirical data, let alone that they are based upon a structured compari-
son between different empirical datasets or case studies. Second, doctrines and
handbooks are almost entirely developed by defence personnel. As a result, the
perspectives and concerns of civilian actors such as NGOs, IOs or local authorities
are included only to a limited extent. Third, since policymaking is the result of poli-
tics, the policy, doctrine or guideline that is developed reflects the interests of and
the power balance between the members of the organisation. It is thus more a mirror
of the interests of the member states of the organization than a program promoting
the interests of the host nation and its citizens. Fourth and last, the guiding docu-
ments often provide a generalized, one size fits all approach, thereby overlooking
situational differences such as in geography, time or actors.
Largely as a result of the mismatch between these guiding documents and prac-
tice, civil-military interaction remains often improvisational, pragmatic, and ad hoc.
When meeting on the ground in theater, personnel works out solutions overcoming
differences for the common good. As such, coordination evolves over time in
response to specific needs on the ground (Rietjens et al. 2013b). Some say there is
merit in this ad hoc approach that allows for flexibility in dynamically evolving
circumstances. That being true, searching for constants and patterns can help build
on experiences and become more effective. And it can help in training and preparing
to become more proficient.
The objective of this chapter is therefore to identify recurring patterns within the
practice of civil-military interaction to international peace operations and to provide
suggestions on how to craft a more adequate theory of civil-military interaction that
can in turn inform policymaking and doctrine development. To meet this objective,
Sect. 19.2 describes the different types of civil-military interaction. The subsequent
sections identify recurring patterns in the preparation (Sect. 19.3), execution (Sect.
19.4) and evaluation phases of civil-military interaction in peace operations (Sect.
19.5). Section 19.6 concludes the chapter and thus the book, outlining proposals to
develop a more coherent, evidence-based theory on civil-military interaction.
19 Civil-Military Interaction: From Practice to Theory 277
Three recurring patterns in the preparation phase are identified and discussed below:
(1) training and education, (2) situational awareness and (3) civil-military planning.
Already in 1973, General William DePuy, first commander of the U.S. Armys
Training and Doctrine Command, emphasized that it was necessary to expose soldiers
to realistic battlefield conditions before experiencing actual combat (Reeson 2006).
3
This paragraph is based upon Rietjens et al. (2013b).
278 S. Rietjens
Fig. 19.1 Civil-military interaction framework (De Coning and Friis 2011)
The exposure was to improve the soldiers preparation and thereby their internal
efficiency, which in the long run should enable external effectiveness. This belief
was widely shared and led to the development of new training methods and a train-
ing philosophy that is often referred to as train as you fight.
The effectiveness of complex peace operations depends on combining military
expertise on security with civilian expertise on governance, human rights, rule of
law and economic development. To realize this, and following the logic of train as
you fight, civil-military interaction in training is of crucial importance. Most mili-
tary training institutes in the US and Europe still focus on developing a combat
ready force that is physically and psychologically prepared to fight and win wars
(see e.g. Leonard et al. 2006). Over the past few years however, several training
initiatives have come about that aim to facilitate the exchange of military with
civilian expertise. These include training courses offered by the NATO accredited
Civil-Military Cooperation (Cimic) Centre of Excellence and the German Cimic
Competence Centre. Also, a simulation based game named Go4It has been
developed to create a deeper understanding of the dynamics of the comprehensive
approach (see Van der Hulst et al. 2014).
Another initiative is a series of international exercises hosted by the 1 (GE/NL)
Corps: Common Effort (2011), Odyssee Sword (2011), Peregrine Sword (2012) and
19 Civil-Military Interaction: From Practice to Theory 279
Reliable Sword (2014). These exercises take place within a comprehensive scenario
and have attracted considerable numbers of civilian participants from NGOs, IOs as
well as from governmental departments outside the Ministries of Defense. In such
exercises, one frequently observes an imbalance in resources (for a more detailed
account see Chap. 5 by Thynne and Cherne). This not only relates to personnel, but
also to finances and time to prepare the exercise. In this respect it is important to
know that military organizations are normally tasked to train during peacetime. For
UN agencies, IOs and NGOs, however, this is not the case, mostly because it is an
unaffordable luxury in terms of money and time. For this reason, IOs and NGOs
have far smaller budgets and numbers of personnel available for participation in
such exercises.
Situational Awareness
A second pattern that recurred in many of the chapters concerns situational aware-
ness. In their chapter Kitzen and Vogelsang (see Chap. 6) emphasize the need for
situational awareness with their analysis on population centric intelligence, while
Melkon et al. (Chap. 10) focus on the importance of establishing a common operat-
ing picture.
In complex and dynamic environments, situational awareness seems critical for
decision-making (see e.g. Salmon et al. 2011). The difficulty with gaining situa-
tional awareness in a peace operation is that many things are happening at the same
time, which complicates the gathering and interpreting of information by the vari-
ous different actors. Using Endsleys well-known 3-level Model of Situational
Awareness (SA) (Endsley 1995; Endsley et al. 2003) some of the patterns can be
further discerned that occur in gaining situational awareness within a comprehen-
sive approach.
The first level in Endsleys SA model concerns the perception of elements and
involves perceiving the status, attributes and dynamics of task-related data in the
surrounding environment (Endsley 1995). At this level, the data are merely perceived
and no further processing of the data takes place. Within civil-military interaction,
there are a number of factors that contribute to uncertainty at this level. With regard
to the quality of the data, these include missing data, unreliability of the data,
incongruent or conflicting data, timeliness of the data and ambiguous or noisy data.
Factors that relate to the distribution of data include the many confidentiality and
security restrictions held by the military, as well as the sensitivity of data of civilian
organizations (Rietjens 2008; Studer 2001).
The second level in Endsleys model the comprehension stage involves inte-
grating many pieces of data to form information, and prioritizing that combined
informations importance and meaning as it relates to achieving the goals of the
operation (Endsley et al. 2003). In particular within military organizations databases
seem notoriously ill-structured. Participants are often unsure what information they
280 S. Rietjens
exactly need. As a result, the focus is on gathering data rather than analyzing it. A
study into the practice of assessing progress in Afghanistan showed that:
the assessors had little insight into the usefulness of the data presented in terms of represen-
tational value, validity, timeliness, and central tendency (deviations from the average). They
did not, however, mind very much, it seemed. The figures were often used as objective
indicators and extrapolations were made that may lead to seeming certainties. Certainly,
qualitative information was also used, but convincing narratives, level-headed accounts to
clarify data, were left out. After all, We should not have too much information on one
sheet, said one British colonel chairing a large working group on effect assessment.
(Rietjens et al. 2011)
The third and highest level of situational awareness involves predicting the future
states of the system and elements in the environment (Endsley 1995). A failure to
accurately project [level 3 situational awareness] from level 2 situational awareness
may be due to insufficient mental resources (if the person is overloaded with
other information processing, for example), or due to insufficient knowledge of the
domain (Endsley et al. 2003, p. 18). With regard to civil-military interaction one
observes significant difficulties in obtaining level 1 and level 2 situational aware-
ness, which makes it very difficult to develop good situational awareness at level 3.
This situation is compounded by the very nature of civil-military interaction as it
calls for a much broader analysis of the situation on the ground with a view to the
achievement of much broader goals, but in the process relies on planning cells
that are equipped with the same levels of knowledge, power and authority they
possessed before.
Civil-Military Planning
this to preserve the element of surprise, while civilian planners may want to keep
their planning processes independent and objective, until such time as plans have
been authorized by mandated, often elected, officials. Shetler-Jones argues that
legitimate motives for secrecy, however, may also be mixed with a less honorable
desire to avoid accountability, in case the plan goes wrong.
Despite these similarities, military and civilian planning processes show consid-
erable differences. Although both forms of planning focus on the human elements,
military planning is mostly concerned with the enemy, while most civilian organiza-
tions aim at restoring material conditions and freedoms to the individual. This may
create tension in the relationship between military and civilian organizations. In
particular when planning objectives are in contradiction over differential treatment
of an individual or group that has been designated as the enemy (Shelter-Jones).
Another major difference concerns timing. Civilian organizations that focus on
the root causes of the conflict are often prepared to stay in the area for a far longer
period than the military. By contrast, military efforts are often planned on the expec-
tations of achieving a decisive result as quickly as possible. This means that they
often fall out of synchronization with each other, creating different opinions
concerning for instance, what is reasonable progress during a certain time period
(Rietjens 2008).
Interagency Coherence
Interaction between military forces and IOs and NGOs is an oft-debated topic in the
domain of civil-military interaction. Interdependency between these different orga-
nizations is apparent and is caused by overlapping tasks and scarce resources in
mission areas (see e.g. Chap. 9 by Williams). The relationship between military and
282 S. Rietjens
civilian actors such as IOs and NGOs is bound with many challenges. Military and
civil operations affect each other at all levels and there is a serious risk that they
counteract each other. Within military as well as civilian circles, multiple and
conflicting stances on the appropriateness of civil-military interaction are part of
everyday reality (e.g. see Chap. 3 by Frerks; Chap. 15 by Mougne and Groot and
Chap. 8 by Heraty). Some IO and NGOs are reluctant to be associated with a military
force and thereby lose their protective patina of neutrality. In Chap. 3, Frerks refers
to these organizations as being principled, whereas pragmatic organizations gener-
ally interact more easily with military forces.
Another challenge for this type of civil-military relationship is the temporary
nature of the coalition parties involved. Since civil actors and their military counter-
parts frequently have different objectives and different ways of achieving these (see
e.g. Chap. 2 by De Coning; Rietjens 2008) they look favorably on cooperation as
long as they expect it to serve their best interests (Seiple 1996). This can easily lead
to opportunistic behavior. Further contributing to this complexity are differences in
organizational culture (e.g. see Chap. 3 by Frerks; Chap. 10 by Melkon et al.;
Scheltinga et al. 2005), expertise, leadership (for a detailed account see Chap. 16 by
Olsthoorn and Soeters) and methods and objectives between the two sets of actors
(see Chap. 12 by Lucius).
Whole-of-Government Coherence
Over the last years, we have seen a significant rise of civilian experts in mission
areas that originate from other departments than a countrys Ministry of Defense
(for a detailed account see Chap. 4 by Seppen and Lucius). These representatives
include policemen, political advisors, cultural advisors, development advisors, rule
of law advisors, agricultural advisors and counternarcotics advisors. A recurrent
characteristic in situations where military and civilian experts work side by side, is
the imbalance in human and financial resources. While 99 % of the personnel tends
to be military, only 1 % may be civilian. With regard to the financial resources, the
division is just the opposite. Civil representatives often have control and direction of
greater financial resources than military personnel.
A second pattern is the division of tasks and responsibilities. In many instances,
the division of labor is unclear, especially when it comes to tasks and responsibili-
ties at the edge of an organizations domain. Within many military organizations,
CIMIC officers used to take care of the liaison with IOs and NGOs in their mission
area. However, with their steady influx, civilian representatives have slowly taken
over the communication with IOs and NGOs. Often this was because these repre-
sentatives were more comfortable in dealing with IOs and NGOs and had better
connections with these organizations. This often left the CIMIC officer with a
marginalized role. Similarly, it is often not clear under what circumstances training
and education of local police forces is done by military police personnel and when
by regular policemen.
19 Civil-Military Interaction: From Practice to Theory 283
The dual roles of civilian representatives form a third recurring pattern. In many
cases, civilian representatives have a mandate and responsibilities of their own, such
as running a development program, as well as an advisory role towards their mili-
tary colleagues. This means that contrary to virtually everyone else on the com-
pound, the civilians reporting lines run outside the wire and they tend not to be
subordinated to the missions commander. This independence may become a cause
of friction, in particular working with military organizations that value unity of
effort and clear lines of command (see Chap. 13 by Holmes-Eber and Chap. 4 by
Seppen and Lucius).
Finally, information exchange between military and civilian representatives
proves to be difficult in practice. It is often hampered by technological means (e.g.
civilians not being able to access military systems), or competing goals (e.g. the
military spending development money aimed at winning the hearts and minds of
the population).
External-Internal Coherence
Complex peace processes that are driven by external actors are often unsustainable.
These processes must be based on the needs of the internal actors, and the priori-
ties, sequencing and pace of delivery need to be informed by the dynamics of the
conflict system, through local ownership and meaningful internal/external coordi-
nation (De Coning and Friis 2011, p. 267). There are several recurring patterns
concerning the coherence between internal and external actors. Barakats (2005)
comparative research concluded that many reconstruction processes use too short a
time horizon and reduce reconstruction to a technical fix instead of a process of
reordering state-society relations and power. He also states that local actors are
often left out of the equation (see also Chap. 3 by Frerks). Chapter 13 by Holmes-
Eber on culture as well as Chap. 17 by Hoogensen and Tnisson Kleppe on gender
clearly illustrate this. Moreover, reconstruction processes are often too concerned
with national-level reconstruction (Rietjens et al. 2009), overlooking the localized
threats to individual security or the reconstruction effort itself (Hilhorst 2008).
Another pattern relates to the motives of military forces. In Afghanistan as well
as Iraq, military forces often favored activities that increased the safety of own
forces over projects aimed at improving security at the grass-root level. In their
research on external-internal coherence in Afghanistan Rietjens et al. (2009) illus-
trate this as follows:
In Baghlan province, the Dutch [military] carried out a number of activities for the direct
benefit of the community. A considerable number of these activities, however, were con-
ducted in close proximity to the military compound. This was often referred to as the six-
mile rule, describing the tendency to positively influence those communities located within
six miles of the compound. Military motives based on force protection may thus create
inequality in addressing the needs of the population living in a confined area, both quanti-
284 S. Rietjens
tatively and qualitatively. Many Afghans remain doubtful about ISAFs intentions, a fact
which hinders local participation (Rietjens et al. 2009).
A last recurring pattern to be addressed here concerns the limited resources and
capacities of the local actors in the host country. In many mission areas, external
actors, be they military or civilian, find it hard to identify credible local actors to
engage with (see e.g. Chap. 9 by Williams). This is because the parties emerging
out of conflict typically represent ambiguous groups, and there are often conflicting
claims of ownership and support (De Coning and Friis 2011, p. 268). Other reasons
that hamper meaningful engagement with external actors include the low level of
education that many internal actors have, the lack of proper wages, an absence of
accountability systems, and in many places, corruption (see e.g. Chap. 14 by
Mustafa et al.) and illicit trade in narcotics (Rietjens et al. 2009) or other forms of
criminality.
Two recurring pattern are identified in the evaluation phase, namely (1) adaptation
and organisational learning and (2) performance measurement.
Conflict and war invariably throws up challenges that require all actors involved,
military as well as civilian, to adapt. It is virtually impossible for actors to anticipate
all of the problems they will face, however much they try to do so. This relates to
many different domains, such as technological adaptation, but also organizational,
mental and strategic adaptation (see e.g. Farrell et al. 2013). The necessity for
adaptation is stressed in many of the chapters within this book. In Chap. 5 Thynne
and Cherne address the need to adapt training and education programs for the armed
forces to better fit the civilian environment, while Essens and De Vries in Chap. 18
analyze the difficulty of shaping traditional evaluation methods to the complex
operational environments in which civil-military interaction takes place.
Closely linked to adaptation is the issue of organizational learning. Researchers
and critical practitioners have often identified problems within the participating
organisations or during operations and introduced paths to improving the efficiency
of these organisations. However, despite such observations organizations often fail
to adapt and implement new lessons. In their research Noll and Rietjens (2016) have
studied NATOs learning process with regard to civil-military interaction. Doing
this they adopted theoretical insights from Huysman (2000) and Crossan et al.
(1999), amongst others. The study clearly shows an internal learning process
19 Civil-Military Interaction: From Practice to Theory 285
consisting of at least three different stages. In the first stage the knowledge of an
individual is externalized by means of providing a presentation or writing a document
amongst others. When communicated among a group of people the information
may become objectified and, when confirmed by a dominant coalition within the
organization, become organizational knowledge. This is stage two. Finally, in stage
three the organizational knowledge is internalized and reaches the individual again.
In addition to this internal learning process, organizational members are also
influenced by external knowledge. Such external learning is often seen as an
extension of the internal learning process. External learning proceeds through two
ways: first of all the individual reacts to feedback information from his environ-
ment. And second, the organization learns from experiences of other organizations
(Huysman 1996).
Within both the internal as well as the external learning process several bottle-
necks can be distilled that may obstruct learning (see Noll and Rietjens 2016).
Internally, bottlenecks obstruct the knowledge to flow from one stage to the next
stage (e.g. from individual to group level). An example of such a bottleneck is
simultaneous learning, which obstructs the process of objectifying knowledge. It
occurs when different units in the organization face confusing experiences. This can
result in different and even conflicting learning outcomes. It is a barrier between the
group and organization, as conflicting learning experiences between different units
hamper the transfer of unambiguous knowledge.
External learning is affected by several different obstacles (for a full overview
see Noll and Rietjens 2016). One of these is learning under ambiguity. This occurs
when changes in the environment cannot be clearly identified. Learning takes place,
the individual affects organizational action and the action affects the environment
but there is no insight about the meaning of these changes.
Performance Measurement
Both during and after the execution phase, monitoring and evaluating performance
is important for several reasons including increased transparency and accountabil-
ity, the evaluation of outputs, and improved communication and coordination
between participating organizations (see e.g. Chap. 18 by Essens and De Vries;
Rietjens et al. 2011). Carrying out monitoring and evaluation activities in the
domain of civil-military interaction is however intrinsically difficult. To start with,
the actors involved use many different systems for measuring performance. These
systems are often disconnected, using different methodologies and terminology
(Cohen 2006). And while some of these systems focus on inputs and processes of
an organization, others aim for outputs or outcomes.
Applying accounting and control concepts (see e.g. Merchant and Van der Stede
2007) leads us to see several recurring patterns. First, despite an increased focus on
metrics within many institutions, selecting the right measures remains a difficult
286 S. Rietjens
issue. Glenn and Gayton (2008) state that many organizations must balance the
desire for simple, easily assessed and comprehensible metrics with a very rigorous
approach, in which increased data collection and subsequent analysis attempt to
satisfy all prospective users requirements.
Second, finding a causal relationship between actions and the effects or out-
comes is difficult in general, but particularly so in complex peace operations. To
establish causality requires that very specific, in fact impossible, conditions be met
(Davids et al. 2011). Hence, there are significant difficulties to determine outcomes
and identify causal relationships between the effects and an organizations actions
(Glenn and Gayton 2008).
Finally, measurement easily increases bureaucracy (see e.g. De Bruijn 2007).
When an organization emphasizes performance measurement it often assigns
considerable resources to producing data and information on performance results
and if possible impact. This may lead to an undesirable large increase in bureaucracy.
Power (1994) refers to this as the audit explosion or audit society. A clear
example of such a situation was found within ISAF headquarters in Kabul where an
entire organization (i.e. the Afghan Assessment Group) was established which
focused on measuring dozens of indicators in order to make sense of the progress in
Afghanistan (Rietjens et al. 2011). Not only was it difficult for a military organiza-
tion like ISAF to amass and analyze so much non-military data, it also raised the
question of the political appropriateness of a foreign force aiming to influence social
and economic developments in a host country.
As the previous sections have shown, several recurring patterns can be identified in
the practice of civil-military interaction that challenge the validity of its policies and
doctrines. What is clear is that the policies do not carry the weight of a proper theo-
retical framework. They are not based on structured comparison between different
empirical datasets, often lack the inclusion of perspectives of civilian actors and
tend to confuse the desirability of all stakeholders working neatly together towards
one set of goals with the reality of stakeholders political, legal and budgetary
independence.
Identifying recurring patterns contributes a lot to understanding the domain, but
it still does not make a theory. Following Weick (1989, p. 517), we may define a
theory as an ordered set of assertions about a generic behavior or structure assumed
to hold throughout a significantly broad range of specific instance. In the practice
of civil-military interaction, there is little proven knowledge and there are no fixed
standards available about how to achieve the intended objectives (Rietjens et al.
19 Civil-Military Interaction: From Practice to Theory 287
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Index
A Bosnia-Herzegovina, 214
Afghanistan, 14, 18, 21, 30, 31, 33, 34, 3942, Brocades Zaalberg, T.W., 4
45, 4750, 53, 55, 57, 61, 65, 68, Brown, G., 275
7787, 125, 138, 139, 141, 143, 147,
148, 154164, 170, 178, 180183, 187,
194, 197, 198, 202, 205, 207215, 238, C
242, 250, 253, 258, 259, 275, 277, 280, Campbell, D.T., 244
283, 286 Charismatic leadership, 241, 245
Afghanistans health sector, 154 Christmas, B., 198
Afghanistan Rietjens, 283 CIMIC Projects, 169189
Aid, 17, 29, 3143, 47, 50, 94, 98, 104, 106, Civilians, 21, 25, 2942, 4559, 61, 6365,
108, 114, 120, 125, 127129, 132, 135, 6774, 79, 82, 83, 89101, 109, 120,
145, 154158, 162, 163, 169171, 123126, 128, 130132, 134, 135,
176178, 180, 183, 188, 207209, 212, 137142, 144149, 154157, 160,
213, 221, 223, 224, 231, 234, 256, 272 162164, 169, 174, 179, 185, 191194,
Aid agencies, 33, 36, 104, 109, 111112, 120, 199, 200, 202, 207, 212, 215, 216,
123, 134, 256 221226, 229, 231, 233235, 237239,
Assessment, 6, 19, 23, 27, 40, 66, 90, 92, 93, 249, 252254, 256258, 268, 275, 276,
100, 112, 116, 130, 133, 143, 146, 182, 278284, 286
202, 209, 213, 214, 217, 218, 265, 267, Civilian healthcare, 153165
269, 273, 280, 286 Civilian staff, 4548, 51, 53, 55, 83, 92
Australian Defence Force (ADF), Civil military, 11, 12, 14, 18, 20, 22, 24, 27,
61, 62, 68, 71 2933, 35, 40, 42, 49, 57, 6174,
89101, 104122, 125, 130, 131,
137147, 149, 155, 157, 164, 191, 212,
B 227, 249, 250, 256258, 260, 263273,
Bader, H., 137149 275282, 284288
Barakat, S., 283 Civil-Military Cooperation (CIMIC),
Batson, C. (Major), 199 249260, 282
Belief Systems, 192, 198200 Civil-military interaction, 18, 1127, 2942,
Beneficiaries, 55, 108, 169, 170, 178, 188, 6174, 91, 98, 104, 121, 137149, 164,
226, 229 180, 249260, 275288
Bilas, J.F., 195 Cluster coordination, 228
Bock, T., 205218 Coherence, 1127, 93, 94, 277, 281, 283
Bollen, M., 153165 Col Bor, H., 196
R
Recurring patterns, 7, 276, 277, 283, 285, 286 T
Refugees, 15, 34, 46, 70, 104, 105, 107, 109, Tatham, P., 3
111113, 117120, 124, 162, 172, Theory, 3, 68, 12, 52, 57, 92, 93, 135, 186,
221235 214, 238243, 264, 269, 272, 275288
Refugees and internally displaced Thom de Vries, 7, 263273
persons, 162 Threat assessment solutions, 205, 215218
Reliable Sword, 279 Toolkit, 7, 205, 214
Relief Operations, 224 Training, 24, 34, 42, 46, 47, 49, 51, 57, 58,
Research, 35, 7, 8, 14, 18, 40, 61, 82, 97, 6174, 91, 92, 96, 97, 120, 143, 144,
154, 155, 163, 164, 169, 172, 173, 179, 149, 157, 160, 161, 163, 164, 172, 180,
187, 189, 192, 211, 213, 237, 238, 241, 192, 195, 196, 202, 210, 212215, 217,
244, 258, 259, 283, 284, 287, 288 224, 235, 249, 253, 255, 256, 258, 260,
Resources, 19, 24, 33, 43, 52, 55, 63, 72, 73, 264, 266, 269, 276279, 282, 284
91, 92, 104108, 112, 114116, 119, Trucks, 105, 108, 109, 112, 116119, 121,
120, 126, 128, 130133, 135, 137, 138, 128, 193
140143, 145149, 156, 157, 160, 163, Typology, 14, 15, 18, 20, 206, 208,
185, 187, 192, 193, 201, 208, 210, 214, 216, 277
216, 228, 233, 246
Rietjens, S., 18, 153165, 183, 275, 284
Risk, 14, 22, 34, 42, 46, 5052, 99, 139, 155, U
156, 160, 162, 163, 175, 176, 180, Unity of effort, 19, 39, 137, 139142, 144,
205208, 210, 211, 214, 216, 222, 148, 149, 283
229231, 233, 234, 282 Uruzgan, 49, 50, 55, 77, 7983, 157, 158, 162,
Rose, N., 200 163, 170, 178181, 183, 184, 186, 187,
Rousseau, D.M., 287, 288 189, 241243
Rubenstein, L.S., 156, 199
Rubinstein, R.A., 155
V
Varhola, C.H., 193
S Varhola, L.R., 193
Sapcanin, A., 129 Vogelaar, A.D.L., 241
Schwartz, R.D., 244 Vogelsang, W., 7787
Index 295