JP 3-20, Security Cooperation - Joint Chiefs Of Staff

Transcription

ENHITTMT OF T HS W E' L LDEFEENDARDSTMTEERU NII CA MY DE PARJoint Publication 3-20AT E S O FASecurity Cooperation23 May 2017

PREFACE1. ScopeThis publication provides joint doctrine for planning, executing, and assessing securitycooperation activities.2. PurposeThis publication has been prepared under the direction of the Chairman of the JointChiefs of Staff (CJCS). It sets forth joint doctrine to govern the activities and performanceof the Armed Forces of the United States in joint operations, and it provides considerationsfor military interaction with governmental and nongovernmental agencies, multinationalforces, and other interorganizational partners. It provides military guidance for the exerciseof authority by combatant commanders and other joint force commanders (JFCs), andprescribes joint doctrine for operations and training. It provides military guidance for useby the Armed Forces in preparing and executing their plans and orders. It is not the intentof this publication to restrict the authority of the JFC from organizing the force andexecuting the mission in a manner the JFC deems most appropriate to ensure unity of effortin the accomplishment of objectives.3. Applicationa. Joint doctrine established in this publication applies to the Joint Staff, commandersof combatant commands, subordinate unified commands, joint task forces, subordinatecomponents of these commands, the Services, and combat support agencies.b. The guidance in this publication is authoritative; as such, this doctrine will befollowed except when, in the judgment of the commander, exceptional circumstancesdictate otherwise. If conflicts arise between the contents of this publication and thecontents of Service publications, this publication will take precedence unless the CJCS,normally in coordination with the other members of the Joint Chiefs of Staff, has providedmore current and specific guidance. Commanders of forces operating as part of amultinational (alliance or coalition) military command should follow multinationaldoctrine and procedures ratified by the United States. For doctrine and procedures notratified by the US, commanders should evaluate and follow the multinational command’sdoctrine and procedures, where applicable and consistent with US law, regulations, anddoctrine.For the Chairman of the Joint Chiefs of Staff:KEVIN D. SCOTTVice Admiral, USNDirector, Joint Force Developmenti

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TABLE OF CONTENTSEXECUTIVE SUMMARY .vCHAPTER ISECURITY COOPERATION IN STRATEGIC CONTEXT Introduction . I-1Security Cooperation Purposes . I-2Security Cooperation and the Instruments of National Power. I-4Strategic Direction and Guidance . I-5Security Sector Assistance and United States Foreign and Defense Policies . I-6Theater Strategy and Estimate . I-9Internal Defense and Development . I-10Information Sharing and Foreign Disclosure . I-11CHAPTER IISECURITY COOPERATION RELATIONSHIPS Introduction .II-1Security Cooperation Related Activities and Operations .II-1Security Cooperation and Joint Operations .II-9Security Cooperation Authorities and Programs .II-14Security Cooperation Roles and Responsibilities .II-15CHAPTER IIISECURITY COOPERATION PLANNING Introduction . III-1Security Cooperation Planning Characteristics . III-5Theater-Wide Security Cooperation Planning . III-10Identifying Resources and Authorities. III-16Timeline for Funding and Authorities . III-18Interagency Coordination. III-22Execution Authorities and Approvals . III-23CHAPTER IVSECURITY COOPERATION EXECUTION General . IV-1Services . IV-2Combatant Commands . IV-3Service Component Commands . IV-5iii

Table of ContentsCHAPTER VSECURITY COOPERATION ASSESSMENT, MONITORING, ANDEVALUATION Introduction . V-1Initial and Follow-On Assessment . V-2Monitoring . V-4Functional Evaluation . V-4Operation Assessment . V-5Assessment, Monitoring, and Evaluation Considerations . V-7APPENDIXABCDESecurity Cooperation: Related Programs and Authorities. A-1Security Force Assistance.B-1Notional Security Cooperation Activity Checklist .C-1References . D-1Adminstrative Instructions . E-1GLOSSARYPart IPart IIAbbreviations, Acronyms, and Initialisms . GL-1Terms and Definitions . gency Coordination Processes for Security Sector Assistanceand Integrated Country Strategy Objectives . I-8Notional Operations Across the Conflict Continuum .II-8Security Cooperation Planning Framework . III-9Notional Timeline for Security Cooperation Planningand Execution . III-19Security Cooperation Categories with Related Programsand Authorities . A-2Security Force Assistance Coordination .B-2Executive, Generating, and Operating Functions.B-6Security Force Assistance Activities .B-10Foreign Security Force Assessment (Workflow) .B-17JP 3-20

EXECUTIVE SUMMARYCOMMANDER’S OVERVIEW Presents Security Cooperation in Strategic Context Describes Security Cooperation Relationships Covers Security Cooperation Planning Explains Security Cooperation Execution Discusses Security Cooperation AssessmentsSecurity Cooperation in Strategic ContextSecurity cooperation (SC) providesways and means to help achievenational security and foreign policyobjectives.Security cooperation (SC) encompasses allDepartment of Defense (DOD) interactions,programs, and activities with foreign securityforces (FSF) and their institutions to buildrelationships that help promote US interests;enable partner nations (PNs) to provide the USaccess to territory, infrastructure, information,and resources; and/or to build and apply theircapacity and capabilities consistent with USdefense objectives. It includes, but is not limitedto, military engagements with foreign defenseand security establishments (including thosegovernmental organizations that primarilyperform disaster or emergency nce (SA) programs, combined exercises,international armaments cooperation, andinformation sharing and collaboration.SC PurposesSC helps develop partnerships that encourageand enable PNs to act in support of aligned USstrategic objectives. SC activities oftencomplement other United States Government(USG) foreign assistance to provide stability,help mitigate drivers of conflict, and assure keypartners and allies. Additionally, SC supportsUS military campaign and contingency planswith necessary access, critical infrastructure,and PN support and enables the achievement ofstrategic objectives, such as deterringv

Executive Summaryadversaries, preventing conflict, and enhancingthe stability and security of PNs.SC and the Instruments of NationalPowerSC programs and activities are normallyintegrated and synchronized with the otherinstruments of national power depending uponhow other interagency partners implement thenational strategy (e.g., national securitystrategy) to achieve strategic objectives.Security Sector Assistance and UnitedStates Foreign and Defense PoliciesIn accordance with foreign policy directionestablished by the Department of State (DOS),DOD leads on defense policy issues that involvenational security interests with military ordefense equities. Presidential Policy Directive(PPD)-23, Security Sector Assistance, details theUSG effort to implement security sectorassistance (SSA) more efficiently, including thestrategy to build security relationships, partnercapacity, and capabilities to achieve nationalsecurity objectives. PPD-23 establishes theintegrated country strategy (ICS) as the coreorganizing document for USG foreignassistance activities supporting a particular PN.ICSs link goals for the PN to US nationalsecurity priorities, SSA objectives, and ifappropriate, to regional security objectives.Theater Strategy and EstimateTheater strategy outlines a geographiccombatant commander’s (GCC’s) vision forintegrating resources and synchronizing militaryactivities and operations in conjunction with theapplication of other instruments of nationalpower to achieve theater objectives andGuidance for Employment of the Force-directedstrategic objectives. GCCs’ theater strategies,as reflected in their theater campaign plans(TCPs),typicallyemphasizemilitaryengagement, SC, and deterrence through routineshaping activities. The strategic estimate, whichis continually updated, helps to determine themissions, objectives, and potential activitiesrequired in the campaign plan.Theater strategy bridges nationalstrategic guidance and joint planning.Internal Defense and DevelopmentviInternal defense and development is the fullrange of measures taken by a nation to promoteits growth and protect itself from subversion,JP 3-20

Executive Summarylawlessness, insurgency, terrorism, and otherthreats to its security. It focuses on both securityand building viable civic, social, and economicinstitutions that respond to the needs of thatnation’s population.Security Cooperation RelationshipsSC Related Activities and OperationsDepartment of Defense (DOD) policysupports SC activities that enablebuilding security relationships,building partner capacity, andgaining/maintaining access.SC uses a combination of programs andactivities by which DOD, in coordination withDOS, encourages and enables countries andorganizations to partner with the US to achievestrategic objectives.Foreign assistanceconsists of a number of legally authorizedprograms that can be grouped into the ian assistance, and SA with thestrategic purpose of promoting long-term hostnation (HN) and regional stability. SA is agroup of programs the USG uses to providedefense articles, military training, and otherdefense-related services by grant, loan, credit, orcash sales to advance national policies andobjectives. SA is generally overseen by DOS,and in many cases administered by DOD as SC.SC is the group of programs or activitiesemployed by DOD in cooperation with PNs toachieve US security objectives, and some SC isforeign assistance, but not all. Security forceassistance is the set of DOD SC activities thatcontribute to unified action by the USG tosupport the development of the capacity andcapabilities of FSF and their supportinginstitutions, whether of a PN or an anization), in support of US objectives.Security sector reform (SSR) is acomprehensive set of programs and activitiesthat an HN government undertakes with USGassistance to improve the way it provides safety,security, and justice. Defense institutionbuilding (DIB) is a primary form of DODsupport to SSR. DIB comprises SC typicallyconducted at the ministerial/department,military staff/service headquarters, and relatedagency/supporting entity level to develop thevii

Executive Summarystrategic and operational aspects of a PN’sdefense institutions. Other SC-related activitiesand programs include military engagements;joint combined exchange training; RegionalDefense Combating Terrorism FellowshipProgram; combined exercises for training, trainand-equip initiatives, and international militaryeducation and training (IMET); andinternational armaments cooperation.SC and Joint OperationsviiiA significant number of SC activities areconducted as a part of the GCCs’ TCPs, butlimited contingencies, crises responses, or majoroperations can also involve some form of SC.The foreign internal defense program is theparticipation by civilian and military agencies ofa government in any of the action programstaken by another government, or otherdesignated organization, to free and protect itssocietyfromsubversion,lawlessness,insurgency, terrorism, and other threats to theirsecurity. Counterinsurgency (COIN) is thecomprehensive civilian and military effortdesigned to simultaneously defeat and containinsurgency and address its root causes. COIN isprimarily a political struggle and incorporates awide range of activities by the HN governmentof which security is only one, albeit an importantone. Counterterrorism are those activities andoperations conducted to neutralize terrorists andtheir organizations and networks in order torender them incapable of using violence to instillfear and coerce governments or societies toachieve their goals. Countering weapons ofmass destruction, across the three lines ofeffort (prevent acquisition, contain and reducethreats, and respond to crises), includesactivities conducted across the USG to counterefforts to coerce or attack the US, its ArmedForces, allies, partners, and interests withchemical, biological, radiological, or nuclearweapons. Counterdrug operations are thosecivil or military actions taken to reduce oreliminate illicit drug trafficking. Stabilityactivities include military missions, tasks, andactivities conducted outside the US incoordination with or in support of otherJP 3-20

Executive Summaryinstruments of national power to maintain orreestablish a safe and secure environment, andprovide essential governmental services,emergency infrastructure reconstruction, andhumanitarian relief. Foreign humanitarianassistance consists of DOD activities conductedoutside the US and its territories to directlyrelieve or reduce human suffering, disease,hunger, or privation.Peace operationsnormally include international efforts andmilitary missions to contain conflict, reestablishthe peace, shape the environment to supportreconciliation and rebuilding between two ormore factions within the indigenous population,and facilitate the transition to legitimategovernance. Civil-military operations are theactivities of a commander performed bydesignated civil affairs or other military forcesthat establish, maintain, influence, or exploitrelations between military forces, indigenouspopulations, and institutions, by directlysupporting efforts for stability within an HN ora region.Military information supportoperations are planned operations to conveyselected information and indicators to foreignaudiences to influence their emotions, motives,objective reasoning, and, ultimately, thebehavior of foreign governments, organizations,groups, and individuals in a manner favorable tothe originator’s objectives. Countering threatnetworks is the aggregation of activities acrossthe USG that identify, analyze, neutralize,disrupt, or destroy threat networks. Personnelrecovery is the sum of military, diplomatic, andcivil efforts to affect the recovery andreintegration of isolated personnel.SC Authorities and ProgramsSC activities are conducted with DOD funds,forces, and authorities, and with DOS SA fundsand authorities, administered by DOD.DOD SC Roles and ResponsibilitiesThe Under Secretary of Defense for Policy(USD[P]) oversees, integrates, and coordinatesDOD policies and plans for coordination of SCpolicies, goals, and priorities for the Secretary ofDefense(SecDef)withthe MilitaryDepartments (MILDEPs), DOS, and otherix

Executive Summaryinteragency partners to enable greater unity ofeffort in activities that support national securityobjectives. The Defense Security CooperationAgency (DSCA) represents the interests ofSecDef and USD(P) in SC matters and ischarged to direct, administer, and provide DODwide guidance to DOD components andrepresentatives to execute DSCA-managed SCprograms. The Under Secretary of Defensefor Acquisition, Technology, and Logistics isresponsible for establishing and maintainingpolicies for the effective development ofinternational acquisition, technology, andlogistics programs, including internationalarmaments cooperation (e.g., science andtechnology collaboration, logistics support), tosupport SC priorities. In conjunction withUSD(P), the Joint Staff reviews the SCactivities included in combatant command(CCMD) campaign plans to ensure the planningguidance has been met. Geographic CCMDsare the primary organizations for SC planningand integrating SC activities into their TCPs.Functional CCMDs prepare campaign plansthat integrate their forces, resources, andfunding for SC activities in coordination withthe geographic CCMDs, their Servicecomponents, international organizations and,when appropriate, the affected securitycooperation organizations (SCOs). US SpecialOperations Command coordinates SCactivities to be executed by special operationsforces (SOF) with the geographic CCMDsthrough their theater special operationscommands, including the deployment of specialoperations liaison officers, as well as SOFService components. MILDEPs and Servicessupport combatant commander (CCDR)campaign plans and simultaneously pursueService-specific SC objectives consistent withnational and theater strategic objectives. SCOswork under the authority of the chief of mission(COM). The SCO is responsible for assessingwhether a PN can build and sustain capacity andhas the greatest visibility over the executionof SC activities. The senior defensexJP 3-20

Executive Summaryofficial/defense attaché (SDO/DATT) servesas the diplomatically accredited defense attachéand chief of the SCO (if an SCO is present). TheSDO/DATT, or a designated member of theSCO, is the point of contact for SC planning anddevelopment of the country plan with the GCCplanners. Subject to COM approval, theSDO/DATT is the lead integrator for SCactivities with the PN. The National Guard mayappoint an officer to serve at the US missionunder the SDO/DATT as the State PartnershipProgram liaison for the partner state’s NationalGuard with the GCC and HN.Department of State SC Roles andResponsibilitiesThe chief of mission is the personalrepresentative of the President to thecountry of accreditation, and isresponsible to the Secretary of Statefor the direction, coordination, andsupervision of all US Governmentexecutive branch employees in thatcountry (except those under thecommand of a US area militarycommander).DOS maintains interagency coordination withrespective counterparts in DOD concerningfuture SA programs and SC activities with PNs.COMs facilitate the coordination of PNsecurity-related requirements that become partof the specific SA programs and SC activitiesconducted by US military with those PNs. Thecountry team is the senior USG coordinatingand supervising body in a foreign country. Withguidance from DOS and the COM, the countryteam develops the ICS regarding the PN, whichinfluences the CCDR’s development of acountry-specific security cooperation section(CSCS)/country plan for that PN. Bureau ofPolitical-Military Affairs (PM) is DOS’sprincipal link to DOD. PM provides policydirection in the areas of international security,SA, military operations, defense strategy andplans, and defense trade.Security Cooperation PlanningWhile SC activities are conductedprimarily for routine shaping as partof the theater campaign plan, SC canbe conducted in all phases of anoperation and across the range ofmilitary operations.As planners develop all the plans thatoperationalize the GCC’s strategy, DODcomponents plan and execute SC activities, suchas training, exercises, military engagement,SSR, experimentation, education, personnelexchanges, and armaments cooperationresourced through Services’ SC funds, SAprograms, and other funding lines andauthorities.xi

Executive SummaryICSs support SC planning by informing theCCDR’s strategy and the development ofCSCSs/country plans. The CSCSs/countryplans in turn inform the campaign plan and theGlobal Theater Security CooperationManagement Information System (G- Service components’ and special operationscomponents’ campaign support plans, whichTSCMIS) is the overall collaborativeshould support CCDR and national objectives.tool and authoritative data source forRoutine SC planning is conducted through theDOD SC assessment, planning,execution, monitoring, and evaluation. joint planning process, but also includes aprocess of “PN requirements planning” and thenUse of G-TSCMIS enhances visibility“mission planning” once funding and authoritiesof the range of SC activitiesare approved. An initial analysis of the PN(completed, planned, and ongoing)capabilitiesshouldidentifyspecificacross DOD components, facilitatesopportunities and requirements for successfultracking of resources spent on SC, toSC with the PN and highlight any PNinclude operation and maintenance,interdependencies across the security sector asand promotes the exchange of bestwell as the PN’s ability to sustain increasedpractices.capacity. At some point during the requirementsplanning, the execution or fragmentary order forthe TCP and other approvals for funding andauthorities will allow both headquarters andunits to begin mission planning for their SCactivities. TCP guidance and objectives providean overarching framework for SC activities, butthe CSCS/country plan should assess the PN’swillingness and propensity to support orimplementDODpriorities,improveinstitutional capacity, and build partnercapacity, all in the context of the DODenvisioned security role for the PN.SC Planning CharacteristicsTheater-Wide SC PlanningSC planning is required for each PN where theGCC intends to apply resources, and SCOsprioritize their PN’s requirements identified forSC activities/investments. Once coordinationwith the Office of the Secretary of Defense(OSD) and DOS authorizes and funds SCactivities, SC planning for each PN takes theform of mission planning among the geographicCCMD, DSCA, the applicable SCO and countryteam, the Service and special operationscomponent(s), and the PN representatives.Identifying Resources and AuthoritiesCCMD SC planners should be familiar with thevarious resources available to support theanticipated SC activities with the PNs in theirtheater. This includes Title 10, United StatesxiiJP 3-20

Executive SummaryCode (USC), funding for which the country maybe eligible, such as the various DOD SCprograms (e.g., Developing Country CombinedExercise Program) and other resources providedby MILDEPs through their theater Servicecomponents. Title 22, USC, funding, such asforeign military financing and IMET, is anotherkey resource.Interagency CoordinationWhile neither the COM nor DOS have formalapproval authority over CCMD CSCSs/countryplans, the plans should be consistent with theobjectives and priorities of the ICSs developedby the COMs for DOS and should align with thecountry plans of DOS, US Agency forInternationalDevelopment,andothergovernment agencies working in the securitysector of the PN.Security Cooperation ExecutionGeneralThe theater campaign order may be consideredthe beginning of the execution phase of the TCP,which includes the CSCSs/country plans andsupporting components’ plans, but that orderdoes not necessarily authorize execution of allSC activities. Collaborative planning among theSCO, PN, DOD component(s), OSD, DSCA,COM, DOS, and geographic CCMD results inthe timely release of authorities and orders forsynchronized execution of the approved andfunded SC activities throughout a GCC’stheater.ServicesVarious Service-to-Service memoranda ofunderstanding and memoranda of agreementgovern, inform, or shape Service SC activitieswith PNs. Service SC activities may followestablished timelines known years in advance,such as recurring Service-to-Service staff talks,or may present more extemporaneously, such asoffice calls, port visits, or Service chief or seniorleader attendance at trade shows or regionalconferences.Combatant CommandsThroughout the execution of SC activities,CCDRs and their staffs continually direct,xiii

Executive Summaryassess, monitor, evaluate, and adjust the SCactivities when possible and the CSCSs/countryplans as required, while the componentcommands do the same with their supportingplans. The CCMD issues annual orders andfragmentary orders to inform its subordinatesand force providers of the desired objectives andthe assigned tasks that have been identified toachieve TCP SC objectives.Service Component CommandsDepending on the resources available, the DODcomponents, in collaboration with the CCMD,decide which activities to conduct in thefollowing year and which activities to modify,postpone, or cancel.Security Cooperation Assessment, Monitoring, and EvaluationAssessment, monitoring, and evaluation of SCactivities inform decision makers as to preciselywhere to continue, cut, or change the allocationof SC applied resources, and why. Moreover,they inform strategic prioritization byidentifying areas of greatest SC effectiveness inareas and ways that best serve US interests.AssessmentAssessment informs decision making by helpingto establish information about the conditionspresent within a PN that are relevant to planninga successful SC initiative. Assessments serve atleast two critical functions: providing relevantinformation to inform the design of SC activities,programs, or initiatives; and providing baselineinformation to enable accurate measurement ofprogress as an activity, program, or initiativeprogresses.MonitoringMonitoring enables planners to understandchanges in the operational environment (OE)based on the implementation of SC initiatives,and it further informs a commander’s intent,guidance for planning, prioritization, andexecution. This includes monitoring individualtasks, normally using measures of performanceand measures of effectiveness, and functionalevaluation at the strategic level. Taskmonitoring includes tracking whether tasks arexivJP 3-20

Executive Summarycompleted as planned, whether tasks arecompleted according to the planned timeline,whether costs are as projected, and otherindicators used to determine whether plannedactivities are being executed successfully, and itinforms leaders and decision makers at all levels.Functional EvaluationFunctional evaluations allow planners toexamine the effectiveness of SC activities,programs, or initiatives at the tactical oroperational level, recognizing that impact maybe difficult to judge in light of broader USGsecurity-sector efforts and complex variablesassociated with PN actions, and at the strategiclevel. They are performed to understand theimpact and effectiveness of SC initiatives at thestrategic level and generate lessons learned toinform future SC planning. Functionalevaluations at all levels should be linked toclearly stated defense objectives and should beintegrated into program or initiative design fromthe outset.Operation AssessmentSimilar to functional evaluation, operationassessment is a continuous process that evaluateschanges in the OE and measures the progress ofexecuting tasks, creating effects, and achievingobjectives toward attaining the desired end stateof a particular military operation. Operationassessment informs planning; decision makerscontinuously analyze the OE and the progress ofoperations, compared to their

Peace operations normally include international efforts and military missions to contain conflict, reestablish the peace, shape the environment to support operations. activities. (1) (3) Security , and . and (2) . e. , Cooperation, Authorities