Political-Military Implementation Plan

Planning, in general, is a flexible tool, there cannot be one plan that covers all contingencies-each plan will change and adapt depending on the crisis at hand. However, the outlines of the Pol-Mil plan, as called for in PDD-56 are clear and hence this handbook can present a "generic" plan.

In fact, this appendix will present two "generic" plans-one general and one detailed. Both are presented here to provide the reader with a template to structure a Pol-Mil plan and raise questions and issues to consider in drafting a plan. These are not complete plans (although the second plan is clearly more detailed than the first). Each is intended as a guide of what to expect from a Pol-Mil plan.

First Version (General, Education and Training Version) of the GENERIC
POL-MIL PLAN

1.0 Introduction and Assessments

1.1 Overview

This section is a brief introduction, which should discuss:

  • why the plan is being written
  • what it pertains to
  • when it goes into effect
  • how the plan is structured
  • office with responsibility for authorship

1.2 Assessment of Situation

This section should briefly describe the interagency's assessment of the situation-- causes, dynamics, key characteristics and history--and the actors in the area, both friendly and hostile, and their interests in the crisis. Its aim is to provide participating agencies with a clear picture of the context in which they will be operating. Key sub-paragraphs should include, but are not limited to:

  • general situation (nature of the conflict, duration, participants, issues, outside actors, etc.)
  • political situation-host nation status, regional actors, international actors
  • military situation-threat level
  • economics
  • humanitarian and human rights
  • security/law and order
  • international involvement and presence
  • condition of the physical environment
  • entry conditions

2.0 Interests and Mission

This section succinctly states the overall US mission and objectives for the operation. As such, it is the centerpiece of the Pol-Mil plan. All parts of the plan must reflect and support this section, and each should be judged against it. Therefore, the NSC should obtain interagency consensus on the mission statement and USG objectives before tasking out the other parts of the Pol-Mil plan.

2.1 Assessment of US Interests at Stake and Capabilities

This section should succinctly state the US interests at stake in the crisis, how these will be served by the proposed intervention, and the capabilities the United States can use to protect its interests and resolve the crisis.

2.2 Mission Statement

In short, this is a clear and concise statement of who, what, when, why and how. The mission statement should include:

  • who is conducting the operation
  • what type of operation will be conducted
  • who has authorized the operation (UN, Congress, Presidential order)
  • legal authorities in place (e.g., SOMA/SOFA)
  • operation's primary objectives
  • key elements of the operational strategy
  • milestones
  • endstate/exit criteria

2.3 Objectives

This section lists key US objectives, which support the mission statement. These objectives should be both clear and realistic, and their achievement should constitute accomplishment of the mission. In a UN operation, objectives are usually outlined in the Security Council mandate. This section may include a discussion of what the USG will not do.

2.4 Desired Pol-Mil Endstate

This section discusses the conditions that should exist before the operation transitions to another operation or ends. These conditions should be clear and realistic, e.g., "Establish a security environment that permits routine relief operations to be conducted by ..." The endstate could be defined by a number of criteria, including: agreement compliance, territorial unification, military security, civil order and justice, humanitarian relief, resettlement of refugees or International Development Projects (IDP), or economic recovery. This section should also mention the longer-term U.S. projects or IDPs that will continue after the stated end of the operation.

2.5 Transition/Exit Criteria

This section describes plans for exiting the operation. The strategy is multidimensional, requiring the integration of both civilian and military plans and activities within the USG and with the international community.

3.0 Concept of Operations

3.1 Overall Concept of Operations

This section outlines conceptually how the various elements of US strategy (political, military, humanitarian, etc.) will be integrated to achieve USG objectives. It should include a general discussion of how the operation will unfold by phase. It should outline the primary objectives of each phase and the roles of the major agencies supporting or participating in the intervention by phase, to include the designation of a lead agency. It should also outline appropriate endstate criteria for each phase, exit criteria for particular agencies, and endstate conditions to signal the end of USG involvement. This is not to be confused with the detailed concepts of how the US government will implement the specific mission area plans (see part 6.0). Key to this process is identifying the mission areas that will be a part of the operation. While these will change depending on the situation, what follows are some characteristic priorities for consideration:

  • diplomatic/political
  • military/security
  • internal political
  • public security/law and order
  • humanitarian assistance
  • infrastructure and economic development
  • human rights and social development
  • information/public affairs

Recommended phases for an operation are as follows:

Phase I: Interagency Assessment

Phase II: Preparation, Movement, and Force Build-up

Phase III: Principal Operations

Phase IV: Security, Stability, and Rehabilitation Activities

Phase V: Security Transition and Military Drawdown

Phase VI: Host Nation Redevelopment

Phase VII: Endstate Sustainment

3.2 Lead US Agency Responsibilities

This section assigns areas of responsibility to different USG agencies based on the concept of operations. These responsibilities are determined through interagency discussions, which include:

  • State
  • Defense
  • Justice
  • USAID
  • USIA
  • OMB
  • CIA
  • Other agencies as appropriate

In some cases, it may also be helpful to clarify tasks or functions that fall outside an agency's area of responsibility.

3.3 US Government Organization

This section should briefly describe both the USG organization for the operation (both in Washington, DC, and in theater) and the chain of command.

3.3.1 Washington Interagency Elements:

Deputies Committee

Executive Committee (ExComm)

Planning Group

3.3.2 US Organization/Command Relations in theater:

Senior Steering Group (SRSG)

Civil Military Operations Center (CMOC)

Role of US Ambassador

Role of CJTF Commander

3.3.3 UN Organization in theater (if appropriate)

SRSG

Force Commander

Civil Affairs

Civilian Police

4.0 Preparatory Tasks

Papers in this section are designed to lay out USG strategy and agency responsibilities in key functional areas, such as funding for the operation, congressional relations, and public affairs. For each functional area, there may be multiple papers. Each paper should be drafted by one organization and coordinated with all interested agencies.

4.1 Diplomatic Strategy (State)

Advance diplomatic consultations with the UN, US allies, key regional powers, regional organizations and international organizations

4.2 Funding issues and authorities (OMB):

  • relevant funding authorities
  • interagency burdensharing--which agencies will pay for what
  • congressional actions required
  • funding challenges

4.3 Congressional strategy (State H):

  • initial strategy for gaining support for operation
  • plan for ongoing consultation with/reporting to Congress
  • identification of key members of Congress, pro/con
  • strategy for dealing with key members

4.4 Public affairs and PSYOPs strategy (State PA):

  • overall strategy
  • deployment strategy
  • PSYOPs plan
  • rules of the road for media once operation begins
  • telling the story as operation unfolds
  • key themes
  • identifying key media outlets/people

4.5 Logistics

  • host government support
  • agency needs and responsibilities
  • coalition partner needs and responsibilities
  • use of contractors

4.6 Intelligence

  • agency needs and responsibilities
  • coalition partner needs and responsibilities
  • intelligence sharing

4.7 Legal Authority (State)

  • specify the overall authority for the operation
  • identify key provisions/requirement of mandate and peace accord, if applicable

4.X Other functional areas or specific papers may be added as appropriate

5.0 Functional Element Plans

Each mission area team involved should write a mission area plan detailing the mission, objectives, and concept of operations in support of the overall Pol-Mil plan. Format for each of these sections should generally mirror that of the overall Pol-Mil plan.

Each of these documents should show how a given agency envisions its role, mission, and activities within the overall operation. Interagency review of these plans should highlight areas of interdependence between agencies (e.g., USAID cannot do x until DoD does y), areas of disagreement (e.g., two agencies each think the other should pay for x), and the degree of consistency between mission area plans and the overall Pol-Mil plan.

Although every operation will be different, below are some common mission areas for complex contingency operations and some of the key tasks within each area.

Diplomatic (State, USUN)

  • collaborate with the UN and regional organizations
  • consult with the host nation and other governments
  • consult with supporting international organizations
  • coordinate with "Friends Groups"
  • mediate and negotiate with the parties of the conflict
  • impose or lift sanctions/arms embargo
  • conduct war crimes investigations, tribunals, etc.
  • maintain compliance with the Peace Accord milestones and conditions
  • appoint a Special Envoy
  • gain diplomatic recognition of a government

Military (OSD, Joint Staff, CIA)

  • assess, train and equip coalition forces
  • conduct military operations to accomplish the mandate
  • provide intelligence support to the operation
  • establish a military observer mission
  • implement a weapons control regime
  • demobilize, re-integrate, or reduce military units
  • demilitarize a zone or region
  • conduct constabulary operations
  • establish confidence-building and security measures
  • professionalize/restructure military forces
  • establish mil-to-mil programs
  • coordinate NATO support to the operation
  • provide security assistance to the host nation
  • conduct transition planning, hand-off, and military drawdown

Internal Political (State)

  • establish an effective transition government
  • establish a mechanism for constitutional reform
  • staff and fund the transition government
  • conduct nation-wide elections
  • train newly-elected political leaders
  • provide advisors to government officials
  • monitor and report on corruption by government officials
  • transfer control of government functions to host nation officials
  • monitor government power-sharing arrangements

Public Security/Law and Order (State, Justice)

  • reform or disband existing police forces
  • establish a new police force
  • conduct police training for police forces
  • establish a CIVPOL monitor activity
  • provide advisors to police and criminal justice organizations
  • support the establishment of local police operations
  • assist in establishing humane prison system
  • eradicate police corruption
  • assist in establishing a legitimate legal system
  • support judicial reform and local dispute resolution
  • safeguard government institutions and key leaders

Humanitarian Assistance (State)

  • avoid generation of population movements from home towns
  • provide emergency humanitarian relief
  • provide health services, water, food, etc.
  • organize humanitarian assistance zones or relief areas
  • coordinate non-government and private organization activities
  • repatriate or resettle refugees and displaced persons
  • provide housing and public services for returning people
  • assist in capacity-building for humanitarian assistance
  • pre-position humanitarian relief stocks

Infrastructure and Economic Development (State, USAID)

  • restore basic public services
  • target development assistance such as road building
  • provide job training and employment for discharged military personnel
  • reform government economic policy
  • assist in economic integration and cooperation
  • streamline government licensing/eliminate corruption
  • initiate privatization under market economy
  • manage natural resources
  • seek investment capital

Human Rights and Social Development (State)

  • monitor human rights practices
  • promote human rights standards
  • establish civil affairs operations in local areas
  • assist in capacity-building for social institutions

Public Information and Education (State, OSD, Joint Staff)

  • conduct public information (e.g. PSYOPS) operations
  • promote civic education
  • provide unbiased historical information on the conflict
  • sponsor journalist training and professionalization

Others as appropriate

 

Second Version (General, Education and Training Version) of the GENERIC POL-MIL PLAN

Introduction

Overview

This section provides a brief overview on the Pol-Mil Plan:

  • why the plan is being written
  • what it pertains to
  • when it goes into effect
  • how the plan is structured
  • office with responsibility for authorship

Background on the Complex Contingency

This section introduces the reader to the complex contingency by providing a short summary of the crisis, U.S. equities at risk and our strategic purpose in responding to the situation, and the extent and nature of multilateral involvement in the operation.

1.0 Situation Assessment

This section describes the interagency's assessment of the crisis situation. It identifies essential elements of information that, in the aggregate, constitute a comprehensive assessment. Its aim is to provide participating agencies with a clear picture of the operating environment. Key sub-paragraphs for the situation assessment include:

1.1 General Situation

Present a short history of the conflict--its origin, major participants, causes, issues at stake, forces used and relative power, scope of violence, activities of outside actors both friendly and hostile. Identify regional hegemons, if any, and their participation. Outline U.S. equities at risk. Discuss the extent and nature of current multilateral involvement in the crisis. This paragraph provides a "big picture" perspective of the conflict.

1.2 Political Situation

Discuss the nation's internal political situation, nature of the host government, key centers of power, ruling party, opposition parties, points of internal political conflict (wealth, territory, resources, power, ethnic identity, religion, or ideology), intensity of grievances, level of political mobilization and polarization, nature of local government (e.g. clans, tribes, or community groups), status of democratization, degree of ethnic integration and accommodation, level of corruption, and government responsiveness to recent reform initiatives.

1.3 Military Situation

Discuss the military, para-military, and militia forces operating in the region, size of forces, type of equipment and its capabilities, degree of military discipline and cohesion within each warring faction, military balance, operational military objectives of the factions, types of forces and tactics employed, scope of violence and destruction, degree of political control over military organizations, and extent of arms flows-sources, type and quantity of weapons supplied. Characterize the support of the population's support for the military.

1.4 Weapons of Mass Destruction Situation

Discuss the types, numbers, and locations of weapons of mass destruction. Assess measures to safeguard their security. Describe recent and expected movements of WMD systems. Determine requirements for neutralizing WMD and their related platforms. Assess the potential for use of WMD during the operation. Outline possible consequences. Identify planning requirements (contamination, humanitarian toll, etc.) for consequent management.

1.5 Humanitarian Situation

Describe recent population movements, location and numbers of refugees and displaced persons. Discuss the level and nature of humanitarian suffering. Explain the distribution of the suffering by region, by class, or by groups. Identify requirements for water, food, sanitation, shelter, medical services, heating supplies, household kits, farm tools, or other humanitarian needs. Assess the potential for outbreaks of disease. Identify the most threatening diseases and the capacity to treat them. Assess stockpiles of urgently needed relief supplies in the region and the capability to get them to affected populations. Discuss current and projected activities of the international relief community in the region. Outline support provided by neighboring states to the operation. Specify transportation requirements for emergency relief efforts. Identify threats of ethnic violence and genocide. Outline any religious or ethnic restrictions or requirements, which could affect relief operations. Identify quick-impact education and training requirements.

1.6 Landmine Situation

Determine the extent and nature of the landmine problem in the country. Locate mined areas in the vicinity of key installations and cities. Assess whether mine awareness training is needed. Determine current level of de-mining capacity. Suggest mine clearance priorities.

1.7 Public Security/Law and Order Situation

State the level of crime, banditry and lawlessness within the country. Assess the threat of bandits and criminal gangs against international operations. Discuss the types of police forces, scale of law and order, degree of political control of police forces, cultural aspects of the legal system, amount of corruption, nature and scope of police violence, effectiveness of courts and administration of justice mechanisms, and nature of human rights practices and treatment of citizens.

1.8 Infrastructure and Physical Environment

Describe the potential effects of climate and terrain on the operation. Discuss the impact of the conflict/natural disaster on the country's physical environment. Assess the condition of power generation and transmission systems. Outline the condition of the country's available infrastructure such as railway systems, airports, roads, bridges, communications, utilities etc.

For each sea, air, rail, and river port, determine the size and type of vessels (including containerized cargo) to be received and the port's capacity for storage and its related support systems. Specify requirements for additional assets or facilities to conduct anticipated operations.

1.9 Economic Situation

Discuss the state of the economy, unemployment, distribution of wealth, types of natural resources, principal agricultural commodities, level and nature of production and trade, effect of sanctions (if appropriate), availability of electrical power, quality of the workforce, level of international investment, degree of financial market activity, degree of privatization, support of government bureaucracy to private businesses, effectiveness of the government's domestic business law and judicial system, extent of government graft and corruption in licensing, and quality and effectiveness of government economic policy.

1.10 Public Information/Communications Situation

Describe the public communications assets within the host country-television, radio, newspapers, etc. Determine who-which faction-controls each of the public information systems. Define the ownership/political orientation of local media and the content of its broadcasts or publication. Judge the impact of on-going media efforts by friendly nations or organizations. Assess the impact of "hate radio" broadcasts. Identify storylines and key points that impact on the population regarding the operation.

1.11 Socio-Cultural Situation

Discuss the country's culture, traditions, and social institutions that bear on the success of the operation. Highlight religious prohibitions or ethnic dietary restrictions, which could affect humanitarian assistance operations. Identify available coping mechanisms used by the population to cope with the crisis environment-extended family, corruption, tribal support & security, migration, etc. Identify cultural institutions and practices that could be leveraged to facilitate support to the mission-focus on structures of authority in ethnic groups and related institutions. Identify key opinion leaders and their willingness to support operations. Identify broad-based groups of residents at the village, community, and regional level that should be consulted concerning proposed activities.

1.12 Support of the Host Government

Discuss the level of cooperation by the host government with anticipated operations. Specify the host government's intent in supporting the operation. Outlined what is needed to achieve and maintain host government support. Assess the level of planning and operational capability to deal with both the military and civilian aspects of the operation. Verify that we have negotiated a SOFA for the force. Assess the host government's administrative capacity to provide support for the operation. Assess what it would take to gain host nation support and cooperation.

1.13 Support from Neighboring States

Describe neighboring state involvement with the host country. Assess each one's willingness to help with ensuring the success of the operation. Determine if they are actively committed to reinforcing the mission including its specified tasks that could include arms control, refugee return, demobilization, elections, sanctions, basing rights, logistic support, control of hate radio broadcasts, etc. Verify which neighboring states will (and those that will not) take constructive measures to support the operation.

1.14 Support from Regional and International Organizations

Outline the key regional actors, major powers, international actors, and other participants and their interests. Identify regional alignments with the factions, if any. Assess the unity of purpose among regional states regarding the operation, and consensus within the Security Council.

1.15 State of the Current International Presence

List what UN peacekeeping forces, relief operations, or other Non-Governmental Organizations (NGO) and Private Organizations (PVO) activities are operating in the region. Discuss the activities of private international business interests in the area and how those business interests affect the key players in the conflict.

1.16 Situation on the Consent of the Parties

Assess the ripeness of the conflict for resolution. Identify the parties to the conflict and the degree of consent for supporting the operations of the international force and related civilian activities. Explain why the consent of any one party may be problematic and identify vulnerabilities that could be exploited to ensure its consent is maintained. Assess the perspectives of each of the "warlords" involved in the conflict to identify how they will likely support (or hinder) implementation of key elements of the settlement.

1.17 Suitability of the Framework for Peace/Agreement/Settlement

Outline the political framework/agreement that governs the mission, if one exits. This framework for peace will normally result in a UN Security Council resolution that governs the operation. Such a framework/agreement/settlement provides the context in which the international mission will operate.

Key factors within the agreement include provisions for an interim system of government, incentives to insure compliance by the parties, mechanisms to resolve disputes, procedures for peaceful change, authority of the UN SRSG or the force commander to take action to interpret and facilitate implementation, and key areas not included in the agreement (economic development, etc).

Assess whether the provisions of the agreement and proposed courses of action reflect (or least do not go against) the history, traditions, culture, and values of the peoples involved.

1.18 Summary of the Situation--Immediate Entry Conditions

General situation -- a short history of the conflict--its origin, major participants, causes, and issues at stake.

  • political situation-key leaders, political goals and nature of influence
  • military situation-stage of fighting, military balance, threats to operations
  • humanitarian situation-population movements, relief requirements and capacity to respond under current threat conditions
  • host nation support-extent of political support for the operation and existing capabilities
  • regional support-support by neighboring states, regional hegemons, and regional actors
  • agreement-provisions of the settlement, if appropriate, and consent of the parties

2.0 U.S. Interests, Strategic Purpose and Mission

This section states the U.S. interests at stake, the overall USG strategic purpose in conducting the operation, and the Pol-Mil mission statement. Since these constitute the foundation of the Pol-Mil plan, all parts of the plan must be consistent with this section and be judged against it. Paragraphs 2.1 through 2.6 are intrinsically linked and must be tightly defined. There should be a top-to-bottom rationale that ties interests, purposes, objectives, and endstate. This rationale calls for continuity among these paragraphs. The NSC should obtain interagency consensus, and at times resolve disagreements, on these issues before tasking out other parts of the Pol-Mil plan.

2.1 U.S. Interests at Stake

State the U.S. interests at stake (or U.S. equities at risk) in the crisis-regional stability, protection of American citizens, facilities, or other rights, WMD proliferation, criminal activities or terrorism, threats to democratization, trade and market access, access to strategic materials, the human condition and human rights, and/or advancement of American values.

2.2 U.S. Strategic Purpose

Identify the U.S. strategic purpose or intent of the anticipated operation-what we hope to accomplish in conducting the operation. The USG's purpose may include any of the following:

  • deter aggression
  • contain the spread of conflict
  • avert or mitigate a humanitarian disaster
  • deter violence and mitigate human suffering
  • assist a government in establishing civil order and justice
  • support and implement a peace settlement
  • restore democratic government.

2.3 Mission Statement

Present a clear and concise statement of what type of operation the USG will seek to accomplish and by whom. The mission statement should include:

  • who is conducting the operation (U.S., UN, NATO, OSCE, or ad hoc coalition, etc.)
  • what type of operation will be conducted (relief, peace implementation, deterrence, enforcement, post-conflict peace building, etc.)
  • when mission transition is expected to occur/follow-on activities.

2.4 Pol-Mil Objectives and Specified Tasks

List the key objectives to be accomplished by the mission/intervention--these objectives are usually outlined in the Security Council mandate, if one exists. Then, list the specified tasks that the entire mission--both civilian and military components--is expected to accomplish over the duration of the operation. If necessary, state what tasks the operation will not attempt to accomplish.

2.5 Desired Pol-Mil Endstate

Describe the conditions that the mission is supposed to create before the operation transitions to a follow-on operation (e.g., perhaps one led by the UN or an OSCE monitoring mission). These conditions integrate military and civilian dimensions in a manner that describes mission success. In addition, the condition of the endstate should be clear and realistic--for example: "Establish a suitable security environment that permits relief operations to be conducted by ..."

The final political arrangement that the parties agree to implement is the key endstate. This endstate drives all other conditions, and early attention should be placed on determining the acceptable political arrangement. The central task in many complex contingencies in divided societies is to find an acceptable political framework that will mitigate conflict among ethnic groups/warring factions. The desired political framework, accepted by the parties, should establish institutions and practices that create incentives for warring factions to mediate their differences through legitimate institutions of a democratic state. Or, structure a political system that provides incentives and rewards political leaders who moderate divisive ethnic themes and persuade citizens to support moderation, bargaining, and reciprocity among ethnic groups.

Other endstate conditions should be stated as specifically as possible. One should be clear as to whether one desires a change in conditions on the ground (e.g. newly elected officials gain control in all provinces) or simply the completion of a task (e.g. complete elections in all the provinces). Either endstate condition may be appropriate, depending on how ambitious we want to be in establishing the objectives for the operation.

Overall, depending on the mandate, the scope of the desired endstate could involve several areas--for example, it could include such areas as political framework, agreement compliance, territorial unification, military security, civilian police reform, civil order and justice, humanitarian relief, refugee resettlement, demobilization, or economic recovery.

2.6 Transition/Exit Strategy

Describe the transition/exit strategy that is linked to the realization of the conditions for the desired endstate described above. Obviously, this strategy is multi-dimensional in character, focusing on tasks needed to be completed for a hand-off of responsibilities. A transition/exit strategy requires the integrated efforts of both civilian and military officials within the USG and the international community.

Management of a transition/exit strategy is an interagency effort. It should be coordinated by an interagency working group, which would advise the ExComm on the status of exit strategy planning and coordination within the USG and at the UN. The interagency working group would be composed of appropriate USG officials having political, humanitarian, military, regional, and UN expertise regarding operations in the region.

3.0 Concept of Operations, Organization, and Authority

This section describes conceptually how the mission will be accomplished--how the various components of USG policy (political, military, humanitarian, etc.) will be integrated to get the job done. Structurally, the concept of operations is a time-phased description of how the complex contingency operation will unfold. For each phase of the operation, task priorities are identified by functional component of the operation. In this way, various U.S. agencies and non-government organizations can understand how their priorities merge with those of other agencies to accomplish the mission.

3.1 Pol-Mil Concept of Operations

Mission accomplishment usually calls for the timely integration of several functional dimensions of activity: diplomatic engagement, military security, humanitarian assistance, political reform, and economic transition, among others. The Pol-Mil concept of operations for the mission typically has several phases, each of which will require priority efforts within many of the functional dimensions as noted below:

  • Phase I (Interagency Assessment and Preparation): The initial phase calls for a comprehensive interagency assessment, including deployment of assessment teams to gather information from all sources on the situation. Key agencies prepare appropriate organizations and forces for deployment to the crisis area. Critical functional task priorities for Phase I are stated by mission area (see listing of mission areas in para 5.0):

Diplomatic Engagement

Military Security and Regional Stability:

Humanitarian Assistance

Internal Political Transition

Civil Law and Order/Public Security

Public Diplomacy and Education

Infrastructure Restoration

Economic Restoration and Transformation

Human Rights and Social Reconciliation

  • Phase II (Rehearsal, Movement, Civilian and Military Activity Build-up): This phase calls for multi-agency planning and rehearsals, strategic movement of assets, forces and civilian activities, and the establishment of local security, communications, airheads, logistic bases, and transportation systems in-country and/or in neighboring states. Critical task priorities for Phase II should be stated as was done in Phase I above.
  • Phase III (Initial Civil-Military Entry Operations (NEO/Initial Entry/Emergency Relief): This phase may be executed nearly simultaneously with Phase II above, depending on the mission. Include critical task priorities for Phase III as noted in Phase I above.
  • Phase IV (Stability, Political Transition, and Restoration Operations): This phase constitutes the longest part of the operation, requiring unity of effort among civilian and military organizations. Include critical task priorities for Phase IV as noted in Phase I above.
  • Phase V (Post-conflict Peace-building, Transition & Military Force Drawdown): This phase calls for the continued evolution of the mission's priorities toward civilian implementation, transition and hand-off of security responsibilities to a follow-on force or the host government, and then the drawdown of military forces. The hand-off of security responsibilities is event-driven, based on exit criteria for military forces. Civilian operations continue to function and flourish. Include critical task priorities for Phase V.
  • Phase VI (Endstate Sustainment): This final phase calls for sustaining the endstate via activities consistent with long-term U.S. policy in the region. Include critical task priorities for Phase VI as noted in Phase I above.

3.2 Pol-Mil Synchronization Matrix

Summarize in matrix form the key task priorities of each component (as described in Phase I above) and synchronize each component's priorities with the another components' priorities.

3.3 Lead Agency Responsibilities

Define the areas of responsibility to different USG agencies and international organizations based on the concept of operations. These responsibilities are determined through interagency discussions. In some cases, clarify assigned tasks or functions that fall outside an agency's normal area of responsibility.

3.3.1 State

3.3.2 USUN

3.3.3 Defense

3.3.4 Joint Staff

3.3.5 USAID

3.3.6 Justice

3.3.7 USIA

3.3.8 Treasury

3.3.9 CIA

3.3.10 OMB

3.4 Pol-Mil Organizational Concept: Portray the U.S. organization for various components in Washington, DC, and in theater.

3.4.1 Washington Interagency Policy Elements

Executive Committee (ExComm)

Interagency Working Group (IWG)

      1. U. S. Organization in Theater

Senior Steering Group

US Ambassador and the Embassy Staff

CJTF Command and Staff

Coordinating Staff--CMOC

3.5 UN (or NATO, OSCE, Coalition MNF, etc.) Organization in Theater (if appropriate)

SRSG

Force Commander

CIVPOL Coordinator

Civil Affairs Office

Other key offices, including UNHCR

      1. Military Organization in Theater
      2. Humanitarian Relief Organization in Theater
      3. Economic Development Organization in Theater
      4. Information/Public Affairs Organization in Theater
      5. Coordination Plan (among all components)

3.6 Chain of Authority

Describe the chain of authority and associated reporting channels for the operation.

3.6.1 U.S. Chain of Authority

3.6.2 UN (or NATO, OSCE, Coalition MNF, etc. ) Chain of Authority

3.6.3 Authorities of the UN Special Representative of the Secretary-General.

4.0 Preparatory Tasks

This section lays out specific preparatory tasks to be undertaken by the interagency before the operation begins--these include such tasks as advance diplomatic consultations, troop recruitment, verification of legal authorities, funding for the operation, congressional consultations, and U.S. media relations. For each task noted below, there should be a discussion of the facts bearing on successful accomplishment of the task, requirements for action, agency responsibilities, and milestones for implementation. Each sub-section below (4.1, 4.2, etc.) is usually drafted by one agency and coordinated with all other interested agencies.

4.1 Advance Diplomatic Consultations (State)

Outline our strategy for UN consultations, consultations with key regional powers, major powers, and the host government, consultations with regional organizations and supporting international organizations (OSCE, UNHCR, etc.)

4.2 Coalition Leadership (JCS, OSD, USUN and State)

Determine the lead nation for the coalition. Prepare a charter for the Steering Group to provide policy control over coalition operations. Make provisions for both military and civil command and control. Establish coalition-planning staffs for both military and civilian activities.

4.3 Troop Recruitment (OSD, State, and USUN)

Determine the coalition force structure and identify force requirements. Identify potential troop contributors. Clarify progress in on-going recruitment efforts. Specify our plan for soliciting participation.

4.4 Legal Authority (All Agencies)

Specify the overall authority for conducting the operation, the key provisions of the mandate, requirements of the peace accord, if appropriate, the U.S. legal authority for providing support to the operation, and the status of SOFA arrangements.

4.5 Funding Requirements and Sources (OMB, State, and OSD):

Discuss the estimated USG cost of the operation, potential USG sources and adequacy of funding, interagency burden sharing--which USG agencies will pay for what, relevant funding authorities, and Congressional actions required for the expenditure of USG funds.

4.6 Financial Donors (State, AID and Treasury):

Determine overall financial requirements and identify potential donors. Establish a fund to receive contributions. Prepare appeals in consultation with relevant parties. Organize donor conferences. Collaborate with UN agencies, international financial institutions (IMF, World Bank, etc.), development banks, NGO's and bilateral donors.

4.7 Congressional Consultations (All Agencies):

Outline the strategy for gaining Congressional support for the operation, the requirements for consultation/reporting to Congress, plan for dealing with key Members.

4.8 U.S. Public Relations and Media Affairs (State):

Describe the overall strategy for telling the story, the rules of road for media once operations begin, key themes and critical events, and key media outlets/people.

4.X Other preparatory tasks may be added as appropriate

5.0 Major Mission Area Tasks

This section provides an inventory of the major mission area tasks that could be undertaken as part of the complex contingency operation. Although the content of this section will vary significantly from operation to operation, there are many mission area tasks which are usually addressed (or are consciously dismissed as not relevant) to an operation. Each sub-section below (5.1, 5.2, etc.) will be tasked to a specific agency for completion in coordination with other interested agencies in the USG.

Mission area tasks for a complex contingency operation are designed to address immediate problems that, left unresolved, could lead to the return of fighting. As such, mission area tasks are distinct from normal, long-term development tasks. The overriding criterion for the establishment of task priorities is political-military, consistent with the USG strategic purpose and mission as outlined in paragraph 2.0 above. This criterion offers a useful way of deciding whether, for example, an admirable humanitarian project fits in with the USG purpose and mission of the operation.

The set of mission area tasks undertaken for any given situation will vary from operation to operation. This inventory presents a list of tasks that may be undertaken-not all tasks will be applicable to every complex contingency operation. Further aspects of this inventory are highlighted below:

The selection of mission area tasks undertaken for a particular operation will have to account for the USG strategic purpose and mission, cooperation of the host government and the parties involved, and the resources available. This inventory of mission area tasks is illustrative rather than comprehensive. The inventory only lists tasks that are usually undertaken as part of a complex contingency operation. Accordingly, it can be used as a menu of potential tasks, based on lessons learned, to spur agency planners to consider the range of likely tasks appropriate for a given operation. Effort has been made to list sub-tasks within each mission area in some chronological sequence of execution, however, this sequence should not be interpreted rigidly. The inventory does not specify which entities within the USG, the United Nations, NATO, OSCE, or OAU, ASEAN, or other organizations will undertake the task. This needs to be developed as part of the overall Pol-Mil strategy.

In writing this portion of the Pol-Mil Plan, agencies should follow the general outline below:

  • current situation, operational objectives, and task priorities
  • concept of operations and key milestones
  • authorities/mandates that may apply
  • supporting U.S. agencies involved, their roles/responsibilities
  • local institutions involved and their state of play
  • other international organizations involved and their level of effort
  • unresolved issues, anticipated challenges/difficulties.

Note that each sub-task listed below under the various major mission areas does not identify the entity that will organize and implement the action, but rather only identifies the sub-task using an action verb. The agency planner must assess the situation and make of determination of the entity which is best able to perform the task, such as the USG, UN, NGO, the host nation, or a regional organization among others.

5.1 Diplomatic Engagement Tasks (State, USUN, OSD)

  • consult with the host nation and friends groups
  • consult with regional powers and neighboring states
  • collaborate with the UN and regional organizations (OAU, EU, ASEAN, etc.)
  • consult with supporting international organizations (UNHCR, Red Cross)
  • appoint a special envoy
  • support mediation efforts/negotiations with the parties of the conflict
  • develop a strategy for dealing with strongmen or de facto leaders
  • formulate resolutions for collective action
  • collaborate with troop-contributing nations
  • impose or lift sanctions/arms embargo
  • maintain compliance with the peace accord milestones and conditions
  • gain diplomatic recognition of a government

5.2 Military Security and Regional Stability Tasks (OSD, Joint Staff, CIA)

  • deter hostilities and armed attacks
  • assess, train, and equip coalition forces
  • conduct military operations to accomplish the mandate
  • provide intelligence support to the operation
  • establish a military observer mission
  • implement a weapons control regime
  • disarm, demobilize, or reduce military units
  • demilitarize a zone or region
  • re-integrate ex-combatants
  • conduct constabulary operations
  • implement confidence-building and security measures
  • professionalize/restructure military forces
  • establish mil-to-mil programs
  • coordinate NATO support to the operation
  • provide security assistance to the host nation
  • conduct transition planning, hand-off, and military drawdown
  • develop U.S. position on compensation/payments for collateral damage
  • establish a foundation for post-conflict regional stability

5.3 WMD Control/Consequence Management (OSD, Joint Staff, State, DSWA)

  • prevent the sale, transfer, or migration of WMD systems and technical knowledge
  • control/neutralize/remove WMD threat and capabilities
  • safeguard/secure/dismantle WMD research personnel, records , facilities, etc
  • conduct consequence management contingencies

5.4 Humanitarian Assistance Tasks (State, USAID, OFDA OSD)

  • humanitarian relief
  • pre-position humanitarian relief stocks
  • provide emergency humanitarian relief-water, food, shelter, medical supplies
  • organize humanitarian assistance zones or relief areas
  • coordinate non-government and private organization activities
  • restore damaged potable water sources, storage facilities, and distribution systems
  • repair sanitary latrines and capabilities for sewage disposal
  • assist in restoring local health delivery services
  • rehabilitate damaged food production capacities
  • provide special assistance to vulnerable groups
  • provide basic training and education in preventive measures

Refugees

  • avoid generation of population movements from home towns
  • repatriate or resettle refugees and displaced persons
  • provide housing and public services for returning people
  • organize food-for-work efforts (de-mining, road repair, security, etc.)

De-mining Operations

  • assess landmine clearance problem
  • solicit financial support for landmine clearance operations
  • organize mine awareness training

5.5 Internal Political Transition Tasks (State)

  • conceptualize a workable political framework for the peace process
  • encourage adoption of effective power-sharing arrangements
  • release and assist political prisoners
  • create confidence-building measures among warring factions
  • foster the establishment of an effective interim or transition government
  • develop staffing and funding for the interim or transition government
  • create consensus-building mechanisms-national commissions, etc.
  • assist in restoring the government's administrative apparatus
  • develop a political action plan for collaboration on functions for civil administration
  • assist in the conduct of free and fair elections nation-wide
  • assist in informing and educating newly-elected political leaders
  • offer advisory assistance to government officials
  • monitor and report on corruption by government officials
  • transfer control of administrative functions from UN to host nation officials

5.6 Civil Law and Order/Public Security Tasks (State, Justice)

  • reform or disband existing police forces
  • establish a new police force
  • provide equipment and conduct police training for police forces
  • establish a civpol monitor activity
  • recruit qualified civilian police monitors
  • provide advisors to police and criminal justice organizations
  • support the establishment of local police operations
  • provide capabilities to deal with civil disturbances
  • rebuild the criminal justice system
  • assist in establishing a humane prison system
  • assist in establishing a legitimate legal system
  • eradicate police corruption
  • support judicial reform and local dispute resolution
  • combat organized international crime activity and corruption
  • safeguard government institutions and key leaders

5.7 Infrastructure Restoration Tasks (State, USAID)

  • reconstitute energy supplies and restore basic services
  • rehabilitate agricultural capacity
  • restore facilities for power generation and transmission
  • repair transportation facilities and systems
  • restore communications systems
  • advise on planning for mineral and industrial production revitalization
  • advise on natural resource management
  • monitor environmental damage controls

5.8 Economic Restoration/Transformation Tasks (State, USAID, Treasury)

  • restore opportunities for employment and private home ownership
  • provide job training and employment for discharged military personnel
  • assist in economic integration and cooperation
  • streamline government administration and licensing
  • eliminate corruption
  • initiate privatization under a market economy
  • monitor natural resource management
  • mobilize domestic and foreign investment capital

5.9 Public Diplomacy and Education Tasks (State, USIA, OSD, Joint Staff)

  • conduct public diplomacy (e.g. PSYOPs) operations
  • conduct public opinion research
  • assist in establishing open broadcast networks
  • discourage "hate radio" broadcasts
  • promote understanding of civic values, rule of law, and citizen responsibilities
  • provide unbiased historical information on the conflict
  • sponsor journalist training and professional standards
  • conduct public education and media training programs

5.10 Human Rights and Social Reconciliation Tasks (State)

  • establish civil affairs operations in local areas
  • assist in capacity-building for social institutions
  • arrange for travel and reunion of families
  • seek removal of corrupt and lawless military, police, and judicial officials
  • consult on appointing a UN special reporter to advise on human rights matters
  • assist in establishing a truth commission or international tribunal
  • seek the deployment of a human rights monitoring mission
  • collect information on human rights abuses
  • provide human rights training to military, police and judicial officials
  • monitor human rights practices and promote human rights standards
  • conduct war crimes investigations, tribunals, etc.
  • seek legislation for amnesty of ex-combatants
  • search for evidence of missing persons
  • consolidate freedom of expression
  • strengthen mechanisms to ensure government accountability

5.X Other functional component areas may be added as appropriate

6.0 Agency Plans

This section contains key agency plans written by USG or UN agencies that pertain to critical parts of the operation. For each critical sub-task of the operation, the ExComm will task USG agencies to write an agency operational or support plan for implementation--note below some of the common operational and support plans required for a complex contingency. The ExComm determine, in consultation with NSC staff, which agency plans will be written for the complex contingency operation.

The format for these plans should follow a standard pattern for consistency. Agency plans should at least discuss:

  • purpose of the plan
  • background on how the plan supports the overall operation
  • planning assumptions
  • current situation
  • mission, strategic and operational objectives
  • desired endstate and measures of success
  • concept of operations--how the operation will unfold and milestones
  • organizational framework for operations and chain of command
  • responsible U. S. agencies involved and their roles/responsibilities
  • local institutions involved and their roles/responsibilities
  • other international actors/organizations involved
  • specific operational and support coordinating instructions
  • unresolved issues and anticipated challenges/difficulties

The interagency (usually the ExComm) will review or rehearse each of these plans to identify areas of interdependence between agencies (e.g., USAID cannot do x until DoD does y), areas of disagreement (e.g., two agencies each think the other should pay for x), and the degree of consistency between agency plans and the overall Pol-Mil plan. The interagency review or rehearsal will normally take place off-site at the National Defense University, Ft. McNair, Washington D. C. or the U. S. Army War College, Carlisle Barracks, PA., and will include Director-level participation or higher. In addition, the Deputies Committee will review the Pol-Mil plan and supporting agency plans prior to commencement of operations.

Depending on mission requirements, here are some common major mission areas that will require an agency plan for a complex contingency operation:

6.1 Plan for Military Operations (Joint Staff)

6.2 Plan for Humanitarian Relief Operations (USAID)

6.3 Plan for Demobilization of Forces (OTI)

6.4 Plan for Civilian Police Equip and Train (State, Justice)

6.5 Plan for Election Support Activities (State)

6.6 Plan for De-mining Operations (OSD, State, USAID)

6.7 Plan for Infrastructure Restoration (USAID)

6.8 Plan for Refugee Return (State)

6.9 Plan for Professionalizing Armed Forces (Joint Staff)

6.10 Plan for Human Rights (State)

6.11 Plan for Public Diplomacy (USIA)

6.12 Plan for Intelligence Support (CIA)