SSD 4 Module 4 Answers

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What affects military operations?
Unpredictability of human behavior
____ is the exercise of authority and direction by the commander using mission orders to enable disciplined initiative within the commander’s intent to empower agile and adaptive leaders in the conduct of unified land operations.
Mission command
The exercise of mission command encompasses how you apply the foundational mission command ____ of command together with the mission command warfighting function, guided by the principles of mission command.
What does the mission command warfighting function consist of?
Related tasks and a mission command system that supports the exercise of authority and direction by the commander
When applying the philosophy of command, what do commanders expect of subordinates after providing their intent, the purpose of the operation, the key tasks, the desired end state, and resources for the mission?
Exercise disciplined initiative to respond to unanticipated problems.
How do commanders develop trust to build cohesive teams?
o Provide opportunities for Soldiers to share successful experiences and training. o Accomplish the mission while taking care of Soldiers’ welfare and sharing hardships and danger.
Commanders and staffs actively build and maintain shared understanding within the force and with unified action partners by continual ____ throughout the operational process.
What is clear and concise expression of the purpose of the operation and the desired military end state?
Commander’s intent
____ is action in the absence of orders, when existing orders no longer fit the situation, or when unforeseen opportunities or threats arise.
Disciplined initiative
Which of the following are directives that emphasize to subordinates the results they need to attain, not how they are to achieve them, and provide subordinates the maximum freedom of action in determining how to best accomplish missions?
Mission orders
____ is a deliberate exposure to potential injury or loss when the commander judges the outcome in terms of mission accomplishment as worth the cost.
Prudent risk
____ Consist of unprocessed signals communicated between any nodes in an information system.
____ Should be the basis for decisions.
____ Information analyzed to provide meaning and value or evaluated as to implications for an operation.
____ The meaning a human assigns to data by means of the known conventions used in their representation
In which form of communication within the military organization do subordinates send commanders information and commanders provide subordinates decisions and instructions?
Traditional view of all communication
Effective commanders do not take the importance of communication for granted. They use multidirectional communication and suitable communication media to achieve objectives. Commanders choose appropriate times, places, and means to communicate. They use face-to-face talks, written and verbal orders, estimates and plans, published memos, electronic mail, Web sites, social media, and newsletters.
Traditional View
The traditional view of communication within military organizations is that subordinates send commanders information, and commanders provide subordinates with decisions and instructions. This linear form of communication is inadequate for mission command. Commanders and staffs communicate to learn, exchange ideas, and create and sustain shared understanding. Information needs to flow up and down the chain of command as well as laterally to adjacent units and organizations. Separate from the quality or meaning of information exchanged, communication strengthens bonds within a command. It is an important factor in building trust, cooperation, cohesion, and mutual understanding.
Effective commanders conduct face-to-face talks with their subordinates to ensure subordinates fully understand them. Humans communicate by what they say and do and by their manner of speaking and behaving along with nonverbal communication. Commanders and staffs should communicate face-to-face whenever possible, however, this does not mean they do not keep records of information communicated or follow-up with written documentation. Records support understanding over time, whereas memory may distort or even omit elements of the information required or passed.
Which of the following helps commanders exercise authority skillfully and master the systems and procedures that help forces accomplish missions?
Applying the mission command philosophy
How do commanders use the mission command warfighting function?
To balance the art of command and the science of control in order to integrate the other warfighting functions
What are the mission command warfighting function tasks that commanders are responsible for?
o Drive the operations process through their activities of understanding, visualizing, describing, directing, leading, and assessing operations; o Develop teams, both within their own organizations and with joint, interagency, and multinational partners; and o Inform and influence audiences, inside and outside their organizations.
With the operations process being the overarching framework for exercising mission command, the major mission command activities performed during operations are planning, preparing, executing, and continuously ____ the operation.
Mission Command
The major mission command activities performed during operations are planning, preparing, executing, and continuously assessing the operation
Commanders, assisted by their staffs, integrate activities within the headquarters and across the force, as they exercise mission command. Commanders drive the operations process through the activities of understanding, visualizing, describing, directing, leading, and assessing operations.
Commanders continuously develop, test, and update their understanding throughout the conduct of operations. They actively collaborate with other commanders, the staff, and unified action partners to create a shared understanding.
As commanders begin to develop an understanding of the operational environment, they start visualizing the operation’s end state and potential solutions to solve problems.
After commanders visualize an operation, they describe it to their staffs and subordinates. This description facilitates shared understanding of the situation, mission, and intent.
Based on this understanding, commanders make decisions and direct action throughout the operations process. Commanders use the operations process to lead Soldiers and forces by providing direction and guidance.
Commanders assess operations continuously to better understand current conditions and determine how operations are progressing. Commanders incorporate the assessments of the staff, subordinate commanders, and unified action partners into their personal assessment of the situation. Based on their assessment, commanders modify plans and orders to better accomplish the mission. If their assessment reveals a significant variance from their original commander’s visualization, commanders reframe the problem and develop a new operational approach
The commander’s focus on understanding, visualizing, describing, directing, leading, or assessing throughout operations varies during different operations process activities. For example, during planning, commanders focus more on understanding, visualizing, and describing while directing, leading, and assessing. During execution, commanders often focus more on directing, leading, and assessing, while improving their understanding and modifying their visualization as needed.
What are the mission command warfighting function tasks that staffs are responsible for?
o Conduct the operations process: plan, prepare, execute, and assess, o Conduct knowledge management and information management, o Synchronize information-related capabilities, and o Conduct cyber electromagnetic activities.
____ is the process of enabling knowledge flow to enhance shared understanding, learning, and decisionmaking.
Knowledge Management
Knowledge Management
o Is the process of enabling knowledge flow to enhance shared understanding, learning and decisionmaking, o Facilitates the transfer of knowledge between staffs, commanders, and forces, and aligns people, processes, and tools within an organization to distribute knowledge and promote understanding, and o Enables the transfer of knowledge between individuals and organizations.
Information Management
o Information management is the science of using procedures and information systems to collect, process, store, display, disseminate, and protect data, information, and knowledge products. o Commanders are constantly seeking to understand their operational environment in order to facilitate decisionmaking, so the staff uses information management to assist the commander in building and maintaining understanding. The staff studies the operational environment, identifies information gaps, and helps the commander develop and answer information requirements. o Collected data are then organized and processed into information for development into and use as knowledge. Information becomes knowledge, and that knowledge also becomes a source of information. o As this happens, new knowledge is created, shared, and acted upon. During the course of operations, knowledge constantly flows between individuals and organizations. Staffs help manage this constant cycle of exchange.
Knowledge Transfer
Knowledge transfer occurs both formally through established processes and procedures and informally through collaboration and dialogue. Participants exchange perspectives along with information. They question each other’s assumptions and exchange ideas. In this way, they create and maintain shared understanding and develop new approaches. Teams benefit and forces enhance integration and synchronization.
____ is the science of using procedures and information systems to collect, process, store, display, disseminate, and protect data, information, and knowledge products.
Information Management
Military Deception
o Commanders may use military deception to establish conditions favorable to success. Military deception is actions executed to deliberately mislead adversary military decisionmakers as to friendly military capabilities, intentions, and operations, thereby causing the adversary to take specific actions (or inactions) that will contribute to the accomplishment of the friendly mission. o Commanders use military deception to confuse an adversary, to deter hostile actions, and to increase the potential of successful friendly actions. It targets adversary decisionmakers and affects their decisionmaking process. o Military deception can enhance the likelihood of success by causing an adversary to take (or not to take) specific actions, not just to believe certain things.
Civil Affairs Operations
o Commanders use civil affairs operations to engage the civil component of the operational environment. Military forces interact with the civilian populace during operations. A supportive civilian population can provide resources and information that facilitate friendly operations. A hostile civilian population can threaten the operations of deployed friendly forces. o Commanders use civil affairs operations to enhance the relationship between military forces and civil authorities in areas where military forces are present. Civil affairs operations are usually conducted by civil affairs forces due to the complexities and demands for specialized capabilities.
o Commanders rely on technical networks to communicate information and control forces. Technical networks facilitate information flow by connecting information users and information producers and enable effective and efficient information flow. o Technical networks help shape and influence operations by getting information to decisionmakers, with adequate context, enabling them to make better decisions. They also assist commanders in projecting their decisions across the force.
Airspace control
o Commanders conduct airspace control to increase combat effectiveness. Airspace control promotes the safe, efficient, and flexible use of airspace with minimum restraint on airspace users, and includes the coordination, integration, and regulation of airspace to increase operational effectiveness. o Effective airspace control reduces the risk of fratricide, enhances air defense operations, and permits greater flexibility of operations.
Information Protection
Information protection is active or passive measures used to safeguard and defend friendly information and information systems. It denies enemies, adversaries, and others the opportunity to exploit friendly information and information systems for their own purposes. It is accomplished through active and passive means designed to help protect the force and preserve combat power.
What are some of the reasons commanders organize a mission command system?
o Support the commander’s decisionmaking, o Collect, create, and maintain relevant information and prepare knowledge products to support the commander’s and leaders understanding and visualization, o Prepare and communicate directives, and o Establish the means by which commanders and leaders communicate, collaborate, and facilitate the functioning of teams.
In what areas does Culture influence a society
o Actions and ideas, including what to do, how to do something, and with whom to interact; o What circumstances the rules shift and change; o How to make judgments about what is right and wrong; o Assessing what is important and unimportant; and o Categorizing things and dealing with things that do not fit into existing categories.
Cultural Influences
History Language Geography Religion Communications Politcal Science Military Arts and Science Sociology Cultural Anthropology Economics Education Art, Music, Entertainment Literatue Food and Drink Psycology Law and Criminal Justice Science and Technology Philosophy
Cultural Variations
o Values Individualism vs Collectivism Power Distance Formality vs Informality Uncertainty Avoidance Relationship vs Deal Focus Long vs Short Term Orientation Time Orientation o Cognition Reasoning Styles
Cultural Manifestations
Planning Style View of Authority Negotiation Styles Willingness to Compromise Risk Avoidance Time to Decision
Elements of Culture
History/Politics Geography Religion Language/Communication/Education Arts Social Sciences Law/Science Economics
History/Politics (Element of culture)
*Identify the following characteristics of the population’s history, politics, and military: o History •Major wars, massacres, conflicts that shaped the culture •Great leaders, heroes, legends, villains •Significant eras o Political Science •View of the host nation government •Roles of civilian community leaders •Major political parties •Constitution, documents, or guidelines for the government and people o Military Art and Science •Respect level for the military •Famous leaders •Anti-government forces
Geography (Element of Culture)
*Identify the following characteristics about the population’s geography: •Community or neighborhood traits •Migrants •Local natural and man-made landmarks and structures
Religion (Element of Culture)
*Identify the following characteristics about the population’s religion: •Main religions •Events and holidays •Tensions from differences in religion
Language, Communication, Education (Element of Culture)
*Identify the following characteristics about the population’s language, communications, and education: o Language •Common languages and dialects •Standard words and phrases •Common sayings o Communications •Methods •Information sources •Gathering places o Education •Literacy rate •School attendance rules •Whether public schools are secular or religious •Influence of local universities
Culture (Elements of Culture)
*Identify the following cultural art characteristics for the population: o Literature •Children’s stories •Stories and fables passed down through families/communities •Famous characters •Legends •Popular books o Art, Music, and Entertainment •National anthem importance •Types of music and movies •Celebration of holidays •Popular hobbies and recreation o Food and Drink •Local cuisine •Traditional food and drink •Cultural prohibition of certain food or drink
Social Sciences (Element of Culture)
*Identify the following social science characteristics for the population: o Sociology •Organizations or affiliations of the people •Major problems •Core values •Daily or weekly schedule of most citizens o Psychology •Fears •Importance of religion, family, tribe, country, political parties, and ethnic groups •Ranking of needs like esteem, safety, self- actualization, love, and physiological o Cultural Anthropology •Whether warring groups have ever lived together peacefully •Traditional family roles •Key cultural aspects of locals
Law and Science (Element of Culture)
*Identify the following law and criminal justice and science and technology characteristics for the population: o Law and Criminal Justice •Law makers and enforcers •Basic rules of the road •Organized crime •Feelings about corporal and capital punishment •What causes dishonor o Science and Technology •Availability of Internet service •Whether the enemy uses the Internet •Which Internet sites are forbidden or blocked •Inventions from the country
Identify the following economic characteristics for the population: o Economics •Exports or local products •Infrastructure needed to support economic growth •Wages •Bribes for businesses, government officials, and police •Black markets •Fixed or negotiable pricing
Characteristics of Culture
o Learned o Shared o Patterned o Changeable o Arbitrary o Taken for granted o Perceived as natural
Cross-Cultural Competence
Cross-cultural competence includes general cultural knowledge, skills, and attributes. You must devote time to developing cross-cultural competence. It forms the foundation for understanding any culture and is developed by studying the humanities, including movies and other media, traveling to other countries, and interacting with people from other countries.
Regional Competence
Regional competence includes culture-specific knowledge, skills, and attributes that pertain to a given country or region. Regional competence is developed by lifelong study of a region and tailored training during preparation for a deployment.
Which statement best describes the difference between cross-cultural and regional competencies?
Cross-cultural competence is developed by traveling to other countries and interacting with other cultures, whereas regional competence is developed by a lifelong study of a region.
Cultural Awareness
When you have cultural awareness, you have: •Basic cross-cultural competence; •A minimal level of regional competence necessary to perform assigned tasks in a specific geographic area; and •The ability to describe key culture terms, factors, and concepts.
Cultural Understanding
When you have cultural understanding, you have: •Well-developed cross-cultural competence; •A comprehensive level of regional competence that allows you to accomplish the mission in a specific geographic area; •The ability to apply relevant terms, factors, concepts, and information to tasks and mission; •Familiarity with a specific region and the ability to identify economic, religious, legal, governmental, political, and infrastructural features of the region; and •Awareness of regional sensitivities regarding gender, race, and local observances and perception of the U.S. and its allies.
Cultural Expertise
When you have cultural expertise, you have: •An advanced level of cross-cultural competence; •An advanced and sophisticated level of regional competence pertaining to a specific geographic area; •The ability to integrate and synthesize terms, factors, concepts, and regional information into plans, programs, and advice; •Proficiency in relevant languages; •Proficiency in the skills that enable effective cross-cultural persuasion, negotiation, conflict resolution, influence, or leadership; •Understanding of the most salient historic and present-day regional structural and cultural factors; and •The ability to advise commanders of the region on military operations.
Behavior (Sensed actions)
Living and operating among the population is essential to understanding its behavior. Culturally competent units understand and train to recognize behaviors as a means to identify insurgent actions, anticipate actions, and detect subtle changes. Actions inconsistent with behavioral norms could be indicators of guerrilla activity, internal conflict, or confirmation or denial of intelligence.
Values (Evaluation Principles)
Values are concepts that describe beliefs and are identity based. Never attempt to change a population’s values, confuse its interests with its values, or use its interests in an attempt to alter its values. During tactical operations, counterinsurgent forces prioritize a population’s values over its interests to demonstrate the host nation government’s legitimacy in supporting the population.
Interests (Beneficial Desires)
Interests are often perceived as a right and can change, as they are linked to situations. You should not dictate interests because the insurgency likely understands and exploits them to gain support. A vulnerable population gravitates towards who it feels best understands and satisfies its interests. During tactical counterinsurgency operations, you must know the difference between a population’s needs and wants and not operate with a cultural bias.
Which of the following is the best and most essential way of understanding population behavior?
Living and operating among the population
____ are often unchangeable.
During tactical counterinsurgency operations, which things are most important?
o Know the difference between a population’s needs and wants o Do not operate with a cultural bias
Achieving Situational Awareness
o You have begun to achieve culturally influenced situational awareness when you can accurately answer the following questions: •What is my adversary thinking and why? •What are my host nation security forces thinking and why? •What are groups of people thinking and why? •What will my adversaries, groups of people, adjacent units, coalition partners, and host nation security forces do if I take action X, and why? •How are cultural factors influencing my operations? •How can I make groups of people and host nation security forces do what I want them to do?
Culturally influenced situational awareness allows you to:
•Detect subtle indicators of change or threat in the operational environment, and •Understand how this will affect insurgent decisions and planning.
In a counterinsurgency environment, which thing is the most important daily activity for Soldiers?
In a counterinsurgency operation, your daily interaction with the local population is essential to developing culturally influenced situational awareness. When doing so, you must maintain situational awareness and be prepared to react immediately to a range of situations. When interacting, ensure another Soldier is available to provide security.
Host Nations (Situational Awareness)
If properly organized, trained, and equipped, a host nation security force unit is uniquely able to protect the local population because they understand the operational environment far better than U.S. Forces.
Interacting with the Population (Situational Awareness)
In a counterinsurgency operation, your daily interaction with the local population is essential to developing culturally influenced situational awareness. When doing so, you must maintain situational awareness and be prepared to react immediately to a range of situations. When interacting, ensure another Soldier is available to provide security.
In a counterinsurgency environment, which is the most important daily activity for Soldiers?
Interacting daily with the local population.
How does the U.S. Army benefit the host nation when establishing culturally-influenced situational awareness in counterinsurgency operations?
o Understanding o Protection
Middle East challenges include:
o Proliferation of ballistic missiles and WMD o Iran’s development of a nuclear weapon capability o Israel’s security
Middle East challenges
In the Middle East, the Arab Awakening presents both strategic opportunities and challenges. Regime changes, as well as tensions within and among states under pressure to reform, introduce uncertainty for the future. But they also may result in governments that, over the long term, are more responsive to the legitimate aspirations of their people, and are more stable and reliable partners of the U.S. U.S. defense efforts in the Middle East will be aimed at countering violent extremists and destabilizing threats, as well as upholding our commitment to allies and partner states. Of particular concern are the proliferation of ballistic missiles and weapons of mass destruction (WMD). U.S. policy will emphasize Gulf security, in collaboration with Gulf Cooperation Council countries when appropriate, to prevent Iran’s development of a nuclear weapon capability and counter its destabilizing policies. The U.S. will stand up for Israel’s security and a comprehensive Middle East peace.
The U.S. will work with NATO allies to develop a “____” approach to pool, share, and specialize capabilities as needed to meet 21st century challenges.
Smart Defense
Euro-Atlantic Integration (Bolster NATO)
Security challenges and unresolved conflicts persist in parts of Europe and Eurasia, where the U.S. must continue to promote regional security and Euro-Atlantic integration. The U.S. has enduring interests in supporting peace and prosperity in Europe as well as bolstering the strength and vitality of NATO, which is critical to the security of Europe and beyond.
Euro-Atlantic Integration (Focus on Future Capabilities)
Most European countries are now producers of security rather than consumers of it. Combined with the drawdown in Iraq and Afghanistan, this has created a strategic opportunity to rebalance the U.S. military investment in Europe, moving from a focus on current conflicts toward a focus on future capabilities. In keeping with this evolving strategic landscape, our posture in Europe must also evolve.
Euro-Atlantic Integration (Develop a “Smart Defense” Apporach)
In this resource-constrained era, the U.S. will work with NATO allies to develop a “Smart Defense” approach to pool, share, and specialize capabilities as needed to meet 21st century challenges. In addition, our engagement with Russia remains important, and we will continue to build a closer relationship in areas of mutual interest and encourage it to be a contributor across a broad range of issues.
The al-Qa’ida threat
The demise of Osama bin Laden and the capturing or killing of many other senior al-Qa’ida leaders have rendered the group far less capable. However, al-Qa’ida and its affiliates remain active in Pakistan, Afghanistan, Yemen, Somalia, and elsewhere. Violent extremists will continue to threaten U.S. interests, allies, partners, and the homeland. The primary locations of these threats are South Asia and the Middle East.
The al-Qa’ida threat (U.S. Approach)
With the diffusion of destructive technology, these extremists have the potential to pose catastrophic threats that could directly affect our security and prosperity. For the foreseeable future, the U.S. will continue to take an active approach to countering these threats by: •Monitoring the activities of non-state threats worldwide, •Working with allies and partners to establish control over ungoverned territories, and •Directly striking the most dangerous groups and individuals when necessary.
The primary locations of violent extremist threats to U.S. interests are ____ and ____.
o South Asia o Middle East
The Primary Missions of the U.S. Armed Forces (Deter and Defeat Aggression)
U.S. forces will be capable of deterring and defeating aggression by any potential adversary. Credible deterrence results from both the capabilities to deny an aggressor the prospect of achieving his objectives and from the complementary capability to impose unacceptable costs on the aggressor.
The Primary Missions of the U.S. Armed Forces (Conduct a Combined Arms Campaign across all Domains)
As a nation with important interests in multiple regions, U.S. forces must be capable of deterring and defeating aggression by an opportunistic adversary in one region even when our forces are committed to a large-scale operation elsewhere. Planning envisages forces that are able to fully deny a capable state’s aggressive objectives in one region by conducting a combined arms campaign across all domains—land, air, maritime, space, and cyberspace.
The Primary Missions of the U.S. Armed Forces (Operate in Two Regions)
Even when U.S. forces are committed to a large-scale operation in one region, they will be capable of denying the objectives of—or imposing unacceptable costs on—an opportunistic aggressor in a second region. U.S. forces will plan to operate whenever possible with allied and coalition forces. Ground forces will be responsive and capitalize on balanced lift, presence, and prepositioning to maintain the agility needed to remain prepared for the several areas in which such conflicts could occur.
U.S. Forces must be capable of ____ aggression by an opportunistic adversary in one region even when our forces are committed to a large-scale operation elsewhere.
deterring and defeating
The Primary Missions of the U.S. Armed Forces (Counterterrorism and Irregular Warfare)
Acting in concert with other means of national power, U.S. military forces must continue to hold al-Qa’ida and its affiliates and adherents under constant pressure, wherever they may be. Achieving the core goal of disrupting, dismantling, and defeating al-Qa’ida and preventing Afghanistan from ever again being a safe haven will be central to this effort.
The Primary Missions of the U.S. Armed Forces (Global Counterterrorism Efforts)
America’s global counterterrorism efforts will become more widely distributed and will be characterized by a mix of direct action and security force assistance. Reflecting lessons learned in the past decade, the U.S. will continue to build and sustain tailored capabilities appropriate for counterterrorism and irregular warfare, and will also remain vigilant to threats posed by other designated terrorist organizations, such as Hezbollah.
America’s global counterterrorism efforts will be characterized by a mix of ____ and ____.
o Direct action o Security force assistance
The Primary Missions of the U.S. Armed Forces (Provide a Stabilizing Presence)
U.S. forces will conduct a sustainable pace of presence operations abroad, including rotational deployments and bilateral and multilateral training exercises to: •Reinforce deterrence; •Help build the capacity and competence of U.S., allied, and partner forces for internal and external defense; •Strengthen alliance cohesion, and •Increase U.S. influence.
The Primary Missions of the U.S. Armed Forces (Creative Solutions Needed)
A reduction in resources will require innovative and creative solutions to maintain U.S. support for allied and partner interoperability and building partner capacity. However, with reduced resources, thoughtful choices will need to be made regarding the location and frequency of these operations
U.S. forces will conduct rotational deployments and bilateral and multilateral training exercises for which of these reasons?
o Strengthen alliance cohesion o Reinforce deterrence o Increase U.S. influence
Differentiate between Needed and Deferrable Investments
The U.S. has sought to differentiate between those investments that should be made today and those that can be deferred. This includes an accounting of our ability to make a course change that could be driven by many factors, including shocks or evolutions in the strategic, operational, economic, and technological spheres.
Reversibility Concept
The concept of “reversibility” is a key part of the decision process, including our: •Industrial base, •People, •Active-reserve component balance, •Posture, and •Partnership emphasis.
When differentiating between those investments that should be made today and those that can be deferred, the concept of ____ is a key part of the decision making process.
Maintain a Ready and Capable Force (Rebuild Readiness)
Readiness must not be sacrificed in order to retain force structure; in fact, readiness will be rebuilt in areas that were deemphasized over the past decade.
Maintain a Ready and Capable Force (The All-Volunteer Force)
An ill-prepared force will be vulnerable to corrosion in its morale, recruitment, and retention. Unless the nation is prepared to send confident, well-trained, and properly equipped men and women into battle, the nation will risk its most important military advantage—the health and quality of its all-volunteer force.
What is the nation’s most important military advantage?
the health and quality of its all-volunteer force
Maintain an Adequate Industrial Base
The DOD will make every effort to maintain an adequate industrial base and our investment in science and technology, and encourage innovation in concepts of operation.
Uncontested Environments
Over the past ten years, the U.S. and its coalition allies and partners have learned hard lessons and applied new operational approaches in the counterterrorism, counterinsurgency, and security force assistance arenas, most often operating in uncontested sea and air environments.
Contested Environments
Similar work needs to be done to ensure the U.S., its allies, and partners are capable of operating in A2/AD, cyber, and other contested operating environments. To that end, the DOD will encourage a culture of change and balance reductions with the imperative to sustain key streams of innovation.
Which of these are generally uncontested operating environment?
o Air o Sea
Civilian Elites and Military Leaders
Elected and appointed civilian leaders at the federal level–executive and Congress–as well as state and local levels of government work with military leaders to create and execute U.S. national and homeland security policies. Other civilian elites who are part of this relationship include university researchers and faculty, business leaders, and members of the media.
In a civil-military relationship, who are some of the participants military leaders interact with to create and execute U.S. national and homeland security policies?
o President o Researchers
(Military Institutions and American Society) Members of the U.S. military who volunteer for service come from the larger American society, retaining their rights and obligations as citizens. Being in a military profession leads to the consideration of some important issues including whether:
o U.S. armed forces are able to attract and recruit sufficient volunteers; o Those serving in the military are representative of the society they serve; o Military professionals view themselves, or are viewed, as so different or as so separate from society that an undesirable gap exists; and o Civilian values sufficiently infuse the military ethics under which U.S. forces are deployed and employed.
Since U.S. military members who volunteer for service come from the larger American society, what are questions to ask in a relationship between military institutions and the American society?
o Are U.S. armed forces able to attract and recruit sufficient volunteers? o Are those serving in the military are representative of the society they serve
The ____ of the mindset and expertise of military professions in the relationship between strategic leaders and junior professionals influences institutional capabilities.
Military Leaders and Their Professions
Relationships between strategic leaders and junior professionals in the military affect their mindset and expertise as their professions evolve over time. This evolution influences institutional capabilities and the expertise and perspectives of military partners in civil-military interactions at the highest levels.
Relations between the executive branch and Congress shape the way they manage their shared constitutional responsibilities for military affairs and bring up the following questions:
o How is the relationship between the country’s two major political parties? o Does the same party control the executive and legislative branches of government? o What is the intensity of partisanship, especially over national security policies? o What are the relationships between government officials and members of the news media?
What are factors in the way Congress and the executive branch manage their shared constitutional responsibilities for military affairs?
o The intensity of partisanship, especially over national security policies o the relationship between the country’s two major political parties
In a relationship between civilian elites and American society, political officials and other civilian opinion leaders help inform the American public views about ____ and the instruments of power used to execute it.
national security policy
Public appeal is the strategy of using statements or opinion-laden commentary to convey information to the public about a government’s strategic or policy choices and its judgments about them. Two things distinguish a public appeal from the regular dissemination of military affairs information:
o Scope and Nature of Commentary A military briefing might involve a statement of costs, risks, and benefits of military options and alternatives. o Public Nature of Appeal A public appeal attaches a judgment about how to weigh the costs, risks, and benefits of military options and alternatives.
How do military leaders use the political strategy of public appeal?
To convey information to the public about a government’s policy choices and judgments about them
In this context, the military is using resignation to show a vote of no confidence in the political leadership. It is sending a signal to the opposition and the public that the military leader believes the political leadership is pursuing ineffective or inappropriate military policies. Resignation is political in the sense that when faced with a resignation threat from an esteemed military officer, a political leader may be forced to retreat from policy because the resignation compromises domestic support, mobilizes the opposition, and makes it difficult to maintain the policy. Not all military leaders see resignation as grandstanding. When done quietly without public commentary or media attention, resignation may have few political ramifications.
When using grandstanding, a military leader’s threat to resign is ____ and sends a signal that the military leader believes political leadership is pursuing ____ military policies.
o publicized o ineffective
In the U.S., officers and enlisted personnel are prohibited from participating in campaigns and engaging in partisan activity. However, the military still has influence at the ballot box through politicking which displays the military’s indirect power in elections because of its size, reach into the community, number of veterans in an electorate, and veterans’ membership in veterans’ organizations. Politicking involves support for candidates through prominent, retired senior officers’ endorsements and public statements of support. This raises the issue about the political activities of retired military leaders have a bearing on the military as a whole. As a citizen, a retired leader is released from legal and regulatory constraints that limit participation in partisan politics; therefore, he or she can campaign on the behalf of a favored candidate. This view brings up two critical considerations: •First, the retired leader’s endorsement matters because of their prominence; their efforts would be publicized and have influence. •Second, this person may be seen as speaking on the behalf of the military, which can send powerful signals to active personnel on how to cast their votes.
Alliance Building
Alliance building refers to military efforts: o To court civilian groups and constituencies to indirectly leverage their influence in policy processes, o That vary depending on the target audience or the focus of attention on specific issues, and o That initiates debate as to what degree relations between the military and the public are political. Activities in which the military targets civilian “influentials” in politics, public life, or private industry to influence civilian opinion through visits to ships and bases are on the verge of inappropriate. These activities might be seen as payback or as a way to gain support. Powerful civilian partners available to the military include defense industry officials. This partnership teams up to promote weapons programs to Congress who are susceptible to the military’s lobbying tactics because they want to protect jobs and local economies.
Shoulder Tapping
o Shoulder tapping refers to activities of military leaders seeking support for a policy from members of the country’s legislative branch. o Military leaders might make these activities look like advocacy by informally “volunteering” information to legislators or speaking forthrightly in congressional testimony. o Shoulder tapping is evident when the military takes the initiative in framing an issue for Congress by what is called agenda setting.
How does politicking have an effect on elections?
Retired officers’ endorsements of candidates have influence because of their prominence.
Alliance building refers to military efforts to court civilian groups and constituencies to indirectly ____ their influence in policy process.
Shoulder tapping refers to activities of military leaders seeking support for a policy from members of the country’s ____ branch.
Expertise Effect
Military leaders can explain the merits of war plans and alternative strategies. In peacetime, they can offer insight into organizational reform, force structure, and other aspects of military development. Their expertise can educate citizens on a candidate’s ideas for managing a military conflict. This can motivate political leaders to invest in research and analysis and avoid pursuing flawed policies, war plans, or strategies. How do citizens hold politicians accountable for decisions they make in the military realm, especially when citizens may not understand military operations themselves? Military leaders can provide information to the public at pivotal moments, especially when it is critical to the policies adopted by civilian leaders. This helps citizens identify weaknesses when political leaders make propositions for military operations based on poorly conceived plans. In this way, public appeals can promote more extensively considered policies and strategies that would be absent without public awareness.
How is the expertise effect useful in military policy and strategy?
o Military leaders’ expertise educates citizens on a candidate’s ideas for managing a military conflict o Conveying information to the public on government policy choices motivates political leaders to avoid pursuing flawed policies.
Fire Alarm Effect
The fire alarm effect is how military officers alert Congress or outside experts when political leaders are contemplating significant changes in military doctrine, organization, force structure, or other critical areas. This can prompt Congress to investigate and civilian analysts to research these changes. The fire alarm effect is close to public appeal, but instead of informing, the military signals when proposed changes could affect their competence or capabilities. Shoulder tapping and building alliances are powerful ways to attract attention to issues. Congress may not be able to identify and pursue issues that affect the military, but military leaders can alert Congress to the issues. Congress may be more inclined to respond by investigating the issues. Shoulder tapping also allows for military leaders to communicate information in ways consistent with their preferences about an issue.
In the Fire Alarm Effect, Military officers alert congress or outside experts when political leaders are contemplating significant changes in military doctrine which can prompt congress to ____ and civilian analysts to ____ these changes.
o Investigate o Research
Innovation Effect
Military political activity can be helpful in facilitating innovation through these ways: agenda setting, civilian support, and constituency mobilization.
Innovation Effect (Agenda Setting)
Military leaders can use shoulder tapping and offer public appeals to articulate a case for change within a bureaucracy that has a status quo orientation, and raise awareness to examine new issues. This can force those who hold on to the status quo to formulate better defenses of their positions.
Innovation Effect (Civilian Support)
Military political activity makes it easier for civilians to identify and support innovators. Those capable of being effective innovators within the military must be empowered and supported by civilians who play a critical role in promoting change. Senior officers who advocate new concepts and approaches to warfare are more likely to gain support from civilians for new specializations or regulatory changes. Civilians’ support facilitates the rise of these individuals and promotes their influence within a bureaucracy.
Innovation Effect (Constituency Mobilization)
Innovators might mobilize and build constituencies through alliance building. For example, the defense industry may organize to raise awareness in Congress or with the Department of Defense if they identify a benefit for themselves through proposed changes. Military leaders with novel ideas may gain support through close relationships with corporations and industry officials. This can prepare the country to seize opportunities to enhance the military’s capabilities.
Use shoulder tapping and offer public appeals to articulate a case for change within a bureaucracy.
Agenda Setting
Use alliance building to gain support through close relationships.
Mobilize Constituency
Use empowerment by civilians who play a critical role in promoting change to advocate new concepts.
Identify and Support Innovators
Civilian Perception of Military
A risk for the military engaging in political activity is the negative effect it can have on civilian society’s perception of the military which can lead to: o Distortion of civilians’ views of the military as being impartial and operating separately from politics, and o Questioning of the military’s motives if it is seen as participating in political processes. If civilians view the military as just another special-interest group vying for resources, this could make it difficult to defend funding choices. Civilians may view military leaders as representatives for self-interest bureaucracies or identify them with one political party. This could be damaging because voters would perceive military leaders’ recommendations as part of a political agenda instead of judgment of disinterested professionals.
What negative impact can military political activity have on civilian perception of the military?
Civilians would perceive military leaders’ recommendations as part of a political agenda.
Appointments of Military Leadership Positions
Another risk of the military participating in political activity is that it might affect civilian incentives in making appointments to military leadership positions. If military leaders are chosen because they are perceived as having loyalty to a particular administration, it could damage their credibility in intragovernmental debate. They may no longer be seen as independent contributors of objective expertise.
Fallout could include reluctance on the part of political leaders to present controversial ideas or be forthcoming in front of these military leaders for fear of the military leaders publicly criticizing them or their policies. This would harm civil-military relations in that it would diminish presentation of political leaders’ alternate views in the strategic assessment process.
How does military political activity effect civilian incentives in making appointments to military leadership positions?
Leader’s credibility in intragovernmental debate could be damaged if they are perceived as having loyalty to a particular administration.
Senior leaders engaging in political activity can be a distraction from military proficiencies because:
o The military might be seen as less than expert on the battlefield, o Promotions may reflect considerations of political candidates, and o Those under military leaders’ command may receive mixed signals.
Deference to Elected Officials
o Military political activity can also undermine deference to civilian leaders on policy issues and strategy. The more military leaders engage in political activities, the more it might seem natural for them to play a central role in national security decisions. o In a country like the U.S., where citizens may be persuaded by military opinion, shoulder tapping by military leaders could have enormous consequences for political leaders’ policy decisions. o Political leaders might refrain from pursuing policies that might be criticized by military leaders. This stems from military leaders’ influence on political leaders’ decisions by pressuring them to conform to military opinion or risk losing civilian support. o Political leaders may then accommodate military opinion even if they disagree and regardless of its impact on the country.
How does military political activity affect deference to elected officials?
Political leaders might refrain from pursuing policies that might be criticized by military leaders for fear of losing civilian support.
Balancing Negative with Positive Implications
To balance the negative implications of military political activities with the positive implications, you have to weigh the costs and benefits. o The risk of military political activity threatens democratic accountability and decisionmaking in the U.S. Military leaders may go beyond just contributing to debate and end up influencing policy, thus turning outcomes in their favor. o However, it is the political leaders who must, by constitutional mandate, make the final decisions about military security policy and strategy because they are accountable to the citizens who elected them. o At the same time, if military leaders refrain from political activity, political leaders may pursue misguided or less informed military strategies and operational plans. o Either way, across-the-board rules for requiring the military to refrain from or for allowing them to engage in political activity are inflexible. The conclusion is to bear the costs in order to maintain civil-military relations.
What would make the balance of negative and positive implications of military political activity inflexible?
Across-the-board rules for requiring the military to refrain from or for allowing them to engage in political activity
The Purpose of Interorganizational Coordination (Interagency)
Of or pertaining to the USG agencies and departments including the DOD. o Department of the Interior o President of the United States o Department of Education o Department of Defense o Department of Commerce o Department of State o Department of Agriculture
The Purpose of Interorganizational Coordination (Intergovernmental)
An organization created by a formal agreement (e.g., a treaty) between two or more governments. It may be established on a global, regional, or functional basis for wide-ranging or narrowly defined purposes. Formed to protect and promote national interests shared by member states. Examples include the United Nations (UN), North Atlantic Treaty Organization (NATO), and the African Union.
The Purpose of Interorganizational Coordination (Private Sector)
An umbrella term that may be applied in the U.S. and in foreign countries to any or all of the nonpublic or commercial individuals and businesses, specified nonprofit organizations, most of the academia and other scholastic institutions, and selected nongovernmental organizations.
The Purpose of Interorganizational Coordination (Unified Action)
The synchronization, coordination, and/or integration of the activities of governmental and nongovernmental entities with military operations to achieve unity of effort.
The Purpose of Interorganizational Coordination (Nongovernmental)
A private, self-governing, not-for-profit organization dedicated to alleviating human suffering; and/or promoting education, health care, economic development, environmental protection, human rights, and conflict resolution; and/or encouraging the establishment of democratic institutions and civil society.
The Purpose of Interorganizational Coordination (Unity of Effort)
Coordination and cooperation toward common objectives, even if the participants are not necessarily part of the same command or organization-the product of successful unified action.
The Need for Unity of Effort (Overview)
Meeting the challenges of current and future operations requires the concerted effort of all instruments of U.S. national power plus foreign governmental agencies, military forces, and civilian organizations. Within the USG alone, achieving unity of effort is often complicated by organizational “stove piping,” crisis-driven planning, and divergent organizational processes and cultures. These differences have certain benefits, but are not well-suited for addressing the range of conventional and irregular challenges that occur across available organizational expertise.
The Need for Unity of Effort (Comprehensive approach)
There is a need to conduct integrated planning to effectively employ the appropriate instruments of national power. A comprehensive approach seeks to stimulate a cooperative culture within a collaborative environment, while facilitating a shared understanding of the situation. In its simplest form, a comprehensive approach should invigorate existing processes and strengthen interorganizational relationships. Several factors contribute to success in the effort: 1.Dialogue among national leadership, agencies, and departments in ascertaining the problem, defining success, and developing feasible direction and acceptable courses of actions (COAs). 2.Collective recognition of the complex, interconnected nature of the operational environment. 3.Including all stakeholders promotes a common understanding of the environment, problem, issues, goals, and objectives. Stakeholders have unique perspectives and expertise. Together they build a more enriched overall assessment. Including civilian stakeholders from the beginning in of an assessment, estimates in planning, or military participation in civilian processes facilitates a more complete understanding of the nature of the problem to be solved and actions required to solve it. 4.Collective recognition that the commander is ultimately accountable for the assigned mission, regardless of the resources provided and the degree of support by others.
The Need for Unity of Effort (Unity of effort)
Achieving unity of effort requires the application of comprehensive approach that includes coordination, consensus building, cooperation, collaboration, compromise, consultation, and deconfliction among all the stakeholders toward an objective. An inclusive approach of working closely with stakeholders is often more appropriate than a military command and control (C2) focused approach. Taking authoritative, military approach may be counterproductive to effective interorganizational relationships, impede unified action, and compromise mission accomplishment. Gaining unity of effort is never settled and permanent; it takes constant effort to sustain interorganizational relationships.
The Need for Unity of Effort (Range of interactions)
The following terms are a range of interactions that occur among stakeholders. There is no common interorganizational agreement on these terms, and other stakeholders may use them interchangeably or with varying definitions. A consensus of dictionary definitions is provided as a baseline for common understanding.
The Need for Unity of Effort (Coordination)
It can be defined as the process of organizing a complex enterprise in which numerous organizations are involved and bring their contributions together to form a coherent or efficient whole. It implies formal structures, relationships, and processes.
The Need for Unity of Effort (Consensus)
It can be described as a general or collective agreement, accord, or position reached by a group as a whole. It implies a serious treatment of every group member’s considered position.
The Need for Unity of Effort (Cooperation)
It can be described as the process of acting together for a common purpose or mutual benefit. It involves working in harmony, side by side and implies an association between organizations. It is the alternative to working separately in competition. Cooperation with other agencies does not mean giving up authority, autonomy, or becoming subordinated to the direction of others.
The Need for Unity of Effort (Collaboration)
It can be described as a process where organizations work together to attain common goals by sharing knowledge, learning, and building consensus. Be aware that some attribute a negative meaning to the term “collaboration” as if referring to those who betray others by willingly assisting an enemy of one’s country, especially an occupying force.
The Need for Unity of Effort (Compromise)
It can be described as a settlement of differences by mutual concessions without violation of core values; an agreement reached by adjustment of conflicting or opposing positions, by reciprocal modification of an original position. Compromise should not be regarded in the context of win/lose.
The Need for Unity of Effort (Consultation)
It can be described as seeking the opinion or advice of other organizations, which may include discussion, conferring and deliberation.
The Need for Unity of Effort (Deconfliction)
It can be described as the elimination of undesirable overlap among entities, especially where two or more entities perform the same function or occupy the same physical space.
What approach seeks to stimulate a cooperative culture within a collaborative environment, while facilitating a shared understanding of the situation?
Central Intelligence Agency (CIA)
o The Central Intelligence Agency’s (CIA’s) reconnaissance and intelligence assessment capabilities are essential ingredients to interagency strategic and operational planning. They provide real-time response in the quest for essential information to form the basis for interagency action. o The Office of Military Affairs (OMA) provides the full range of the CIA’s intelligence and operational capabilities to support deployed U.S. forces. The OMA is composed of CIA personnel from all directorates and of military detailees from all the uniformed Services. The OMA is the only CIA component with the exclusive mission of supporting military plans and operations and has the mandate to coordinate overall intelligence community (IC) support to military customers.
What organizations’ reconnaissance and intelligence assessment capabilities are essential ingredients to interagency strategic and operational planning?
Central Intelligence Agency
United States Agency for International Development (USAID) (Overview)
The United States Agency for International Development (USAID) is an independent federal agency that receives overall foreign policy guidance from the Secretary of State. It is the principal U.S. agency to extend assistance to countries recovering from disaster, trying to escape poverty, and engaging in democratic reforms. USAID supports long-term and equitable economic growth and advances U.S. foreign policy objectives by supporting economic growth, agriculture, and trade; global health; and democracy, conflict prevention, and humanitarian assistance. USAID works in agriculture, democracy and governance, economic growth, the environment, education, health, global partnerships, and humanitarian assistance in more than 100 countries to provide a better future for all.
United States Agency for International Development (USAID) (Agriculture)
United States Agency for International Development (USAID) works with all participants in agricultural development to support efforts to increase productivity.
United States Agency for International Development (USAID) (Democracy and Governance)
Expanding the global community of democracies is a key objective of U.S. foreign policy. USAID provides technical leadership and strategic support in promoting sustainable democracies.
United States Agency for International Development (USAID) (Economic growth and trade)
USAID economic growth and trade programs provide support both to government and private sector partners in lower-income countries to improve the levels of income their citizens enjoy.
United States Agency for International Development (USAID) (Environment)
USAID takes an integrated approach to natural resources management. Land and water must be managed skillfully so that they are able to maintain our basic ability to produce food for the nine billion people that the world is expected to have by 2050.
United States Agency for International Development (USAID) (Education and training)
USAID emphasizes programs of support for basic education and places a special emphasis on improving opportunities for girls, women, and other underserved and disadvantaged populations.
United States Agency for International Development (USAID) (Global health)
USAID’s programs in global health represent the commitment and determination of the USG to prevent suffering, save lives, and create a brighter future for families in the developing world.
United States Agency for International Development (USAID) (Global partnerships)
USAID works in cooperation with U.S. and international partners to improve conditions of people around the world. USAID is committed to an approach that recognizes and incorporates the efforts of partnership and private giving, focusing on grassroots support, local ownership, sustainability, accountability; and-not least-passion and commitment.
United States Agency for International Development (USAID) (Humanitarian assistance)
The U.S. gives more to those in crises than any other country in the world. USAID is the USG agency that is responsible for directing these contributions to thousands on nonprofit partners and international organizations.
United States Agency for International Development (USAID) (Cross-cutting programs)
Some parts of USAID’s work are best implemented by working through USAID’s key sectors to implement their goals in a coordinated fashion and to call attention to these issues in each programmatic area. These are called cross-cutting programs, and include the following: 1.Transition initiatives: Provides fast, flexible, short-term assistance to take advantage of windows of opportunity to build democracy and peace 2.Private and voluntary cooperation: USAID has forged critical ties with U.S. NGOs committed to participating in development. It has used competitive grants and programs to help deliver essential services in underserved communities 3.Conflict management: USAID takes a lead role in designing development assistance programs that better address the causes and consequences of violent conflict 4.Urban programs: USAID’s urban programs improve the living conditions of the urban poor, while protecting the well-being of future generations 5.Water: USAID has made the preservation and environmentally sound development of the world’s water resources a top priority 6.Women in development: The contributions that women make to the economic, social, and political lives of their nations, communities, families, and the next generation make them key actors in effective development.
Which organization provides technical leadership and strategic support in promoting sustainable democracies?
United States Agency for International Development
Defense Intelligence Agency (DIA)
The Defense Intelligence Agency (DIA) also leads efforts to align intelligence, surveillance, and reconnaissance (ISR) activities and links and synchronizes national, defense, and military intelligence. DIA also provides intelligence and analytical and operational support in areas such as CI, counterterrorism, counterdrug operations, computer network operations (CNO), personnel recovery, counter proliferation of weapons of mass destruction (WMD), and associated delivery means, United Nations (UN) peacekeeping and multinational support, measurement and signature intelligence (MASINT), noncombatant evacuation efforts, indications and warnings (I&W), targeting, battle damage assessment (BDA), current intelligence, collection management, intelligence architecture and systems support, document and media exploitation (DOMEX), and counterinsurgency support (including the forensic collection and exploitation of improvised explosive devices [IEDs] and other weapons systems derived from weapons technical intelligence [WTI]).
Which agency leads efforts to align intelligence, surveillance, and reconnaissance (ISR) activities and links and synchronizes national, defense, and military intelligence?
Defense Intelligence Agency
National Reconnaissance Office (NRO)
The National Reconnaissance Office (NRO) is responsible for research and development, acquisition, launch, deployment, and operation of overhead systems and related data processing facilities to collect intelligence and information to support national and departmental missions and other USG needs. NRO activities provide support to I&W, monitoring arms control agreements, access to denied areas, and the planning and execution of military operations.
What office provides support to monitoring arms control agreements?
National Reconnaissance Office
Which agency is the largest producer of all-source national security intelligence to senior U.S. policymakers?
Central Intelligence Agency
North Atlantic Treaty Organization (NATO) performs the following fundamental security tasks:
•Provide one of the indispensable foundations for stable security in Europe based on the growth of democratic institutions and commitment to the peaceful resolution of disputes; •Seek to create an environment in which no country would be able to intimidate or coerce any member nation or impose hegemony through the threat or use of force; •Serve as a transatlantic forum for the Allied consultations on any issues affecting the vital interests of its members, including developments which might pose risks to their security; •Facilitate appropriate coordination of members’ efforts in fields of common concern; •Provide deterrence and defense against any form of aggression against the territory of any NATO member state; •Contribute to effective conflict prevention and engage actively in crisis management, including crisis response operations; and •Promote wide-ranging partnership, cooperation, and dialogue with other countries in the Euro-Atlantic area.
NATO Tasks To fulfill these tasks member nations must do the following:
•Provide continuous consultation and cooperation in political, economic, and other nonmilitary fields; •Formulate joint plans for the common defense; •Establish the infrastructure needed to enable military forces to operate; •Arrange joint training programs and exercises; and •Coordinate communications needed to facilitate political consultation, C2 of military forces, and their logistic support.
United Nations (UN)
The United Nations (UN) is a unique international organization of 192 sovereign states, representing virtually every country in the world. It was founded towards the end of the Second World War. The member states are bound together by the principles of the UN Charter, an international treaty that spells out their rights and duties as members of the world community. There are six principal organs of the UN: the General Assembly, the Security Council, the Economic and Social Council (ECOSOC), the Trusteeship Council, the International Court of Justice, and the Secretariat.
United Nations (UN) (General Assembly)
The assembly cannot force action by any state, but its recommendations are an important indication of world opinion and represent the moral authority of the community of nations. The General Assembly may perform the following– •Consider and make recommendations on the general principles of cooperation for maintaining international peace and security, including disarmament; •Discuss any questions relating to international peace and security and except where a dispute or situation is currentlybeing discussed by the Security Council, make recommendations on it; •Discuss, with the same exception, and make recommendations on any questions within the scope of the charter or affecting the power and functions of any organ of the UN; •Initiate studies and make recommendations to promote international political cooperation, the development and codification of international law, the realization of human rights and fundamental freedoms, and international collaboration in the economic, social, humanitarian, cultural, educational, and health fields; •Make recommendations for the peaceful settlement of any situation that might impair friendly relations among nations; •Receive and consider reports from the Security Council and other UN organs; •Consider and approve the UN budget and establish the financial assessments of member states; •Elect the nonpermanent members of the Security Council and members of other UN councils and organs, and the recommendations of the Security Council appoint the Secretary-General (SYG); and •The assembly may also take action if the Security Council fails to act, owing to the negative vote of a permanent member, in a case where there appears to be a threat to peace, breach of peace, or act of aggression.
United Nations (UN) (The Security Council)
There are 15 Security Council members. Five of these-China, France, the Russian Federation, the United Kingdom, and the United States-are permanent members. The other 10 members are elected by the General Assembly for two-year terms. Under the charter, the functions and powers of the Security Council are the following: •To maintain international peace and security in accordance with the principles and purposes of the UN; •To investigate any dispute or situation which might lead to international friction; •To recommend methods of adjusting such disputes or the terms of settlement; •To formulate plans for the establishment of a system to regulate armaments; •To determine the existence of a threat to the peace or act of aggression and to recommend what action should be taken; •To call on members to apply economic sanctions and other measures not involving the use of force to prevent or stop aggression; •To take military action against an aggressor; •To recommend the admissions of new members; •To exercise the trusteeship functions of the UN in “strategic areas”; and •To recommend to the General Assembly the appointment of the SYG and together with the assembly elect judges to the International Court of Justice.
United Nations (UN) (ECOSOC)
The ECOSOC, under the overall authority of the General Assembly, coordinates the economic and social work of the UN and the UN family of organizations. As the central forum for discussing international economic and social issues and for formulating policy recommendations, the ECOSOC plays a key role in fostering international cooperation for development. (1) It is responsible for– a. promoting higher standards of living, full employment, and economic and social progress; b. identifying solutions to international economic, social, and health problems; c. facilitating international cultural and educational cooperation; and d. encouraging universal respect for human rights and fundamental freedoms. (2) The ECOSOC’s subsidiary bodies meet regularly and report back to it. These bodies focus on such issues as social development, the status of women, crime prevention, narcotic drugs, and sustainable development. Five regional commissions promote economic development and cooperation in their respective regions.
United Nations (UN) (Trusteeship Council)
The Trusteeship Council was established to provide international supervision for Trust Territories administered by member states. By 1994, all Trust Territories had attained self-government or independence. Its work completed, the Trusteeship Council now consists of the five permanent members of the Security Council and meets when the occasion may require.
United Nations (UN) (International Court)
The International Court of Justice, also known as the World Court, is the main judicial organ of the UN. Its 15 judges are elected by the General Assembly and the Security Council, voting independently and concurrently. The World Court was established by the UN Charter, which provides that all member states of the UN are ipso facto (by the fact itself) parties to the World Court’s Statute. The World Court’s role is to settle, in accordance with the international law, legal disputes submitted to it by states and to give advisory opinionon legal questions referred to it by authorized UN organs and specialized agencies. The World Court may entertain two types of cases: legal disputes between states submitted to it by them (contentious cases) and requests for advisory opinions on legal questions referred to it by UN organs and specialized agencies (advisory proceedings).
United Nations (UN) (The Secretariat)
The Secretariat carries out the substantive and administrative work of the UN as directed by the General Assembly, the Security Council, and the other organs. As its head is the SYG who provides overall administrative guidance. The Secretariat consists of departments and offices with a total staff of about 8,100 under the regular budget, drawn from some 170 countries. Duty stations include UN HQ in New York, as well as UN offices in Geneva, Vienna, Nairobi, and other locations.
Organization of American States (OAS)
The Organization of American States (OAS) General Secretariat carries out the programs and policies set by the political bodies. Four specialized secretariats coordinate OAS efforts in several broad areas
Secretariat for Multidimensional Security
Coordinates OAS actions against terrorism, illegal drugs, and other threats to public security.
Secretariat for Political Affairs
Directs efforts to promote democracy, strengthen, democratic governance, and prevent democratic crises.
Executive Secretariat for Integral Development
Includes departments that promote social development, sustainable development, trade and tourism, and education, culture, science, and technology. Also handles follow-up actions from region’s ministerial meetings.
Secretariat for Administration and Finance
Provides support services to the General Secretariat, in areas that include human resources, information and technology, and budgetary affairs.
Department of International Legal Affairs
Promotes legal cooperation among the member states by helping to develop and implement international treaties.
Which secretariat in the Organization of American States is responsible for actions against terrorism, illegal drugs threats to public security?
Secretariat for Multidimensional Security
organization of the UN is responsible to recommend methods of adjusting such disputes or the terms of the settlement?
Security Council
What organization has its member states responsible for their own territorial defense?
European Union (EU)
European Union (EU)
o The European Union is a regional IGO compromised of 27 European countries (i.e., Austria, Belgium, Bulgaria, Cyprus, the Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Republic of Ireland, Romania, Slovakia, Slovenia, Spain, Sweden, and the United Kingdom). Current candidate countries are Croatia, Iceland, Former Yugoslav Republic of Macedonia, and Turkey. Albania, Bosnia and Herzegovina, Montenegro, and Serbia are officially recognized as potential candidates. The Maastricht Treaty established a Common Foreign and Security Policy. Gives the Common Foreign and Security Policy the aims of promoting both the European Union (EU)’s own interests and those of the international community as a whole. o The Amsterdam Treaty established the office of High Representatives for the Common and Foreign Security Policy to coordinate the EU’s foreign policy. The unanimity and difficult issues treated under the Common Foreign and Security Policy makes disagreements, such as those which occurred over the war in Iraq not uncommon o Member states are responsible of their own territorial defense.
What organization contributes to effective conflict prevention and engages actively in crisis management, including crisis response operations?
North Atlantic Treaty Organization (NATO)
The International Committee of the Red Cross (ICRC)
The International Red Cross and Red Crescent Movement is a term covering two internal institutions with headquarters in Geneva and national societies in 186 countries. The two institutions are the International Committee of the Red Cross (ICRC) and International Federation of Red Cross and Red Crescent Societies (IFRC). The national societies compromise most of the more 97 million Red Cross workers-the world’s biggest volunteer force. All Red Cross and Red Crescent activities have a central purpose-to help those who suffer without discrimination and thus contribute to peace in the world. The International Red Cross and Red Crescent movement is guided by seven principles.
The International Committee of the Red Cross (ICRC) (Humanity)
Bring assistance without discrimination to the wounded on the battlefield, endeavors, in its international and national capacity, to prevent and alleviate human suffering wherever it may be found.
The International Committee of the Red Cross (ICRC) (Impartiality)
It makes no discrimination as to nationality, race, religious beliefs, class, or political opinions.
The International Committee of the Red Cross (ICRC) (Voluntary Service)
It is a voluntary relief movement not prompted in any manner by desire for gain.
The International Committee of the Red Cross (ICRC) (Neutrality)
In order to enjoy the confidence of all, the International Red Cross and Red Crescent movement may not take sides in hostilities or engage at anytime in controversies of a political, racial, religious, or ideological nature.
The International Committee of the Red Cross (ICRC) (Unity)
There can be only one Red Cross or one Red Crescent society in any one country. It must be open to all. It must carry on its humanitarian work throughout its territory.
The International Committee of the Red Cross (ICRC) (Independence)
The national societies, while auxiliaries and humanitarian services of their governments and subject to the laws of their respective countries, must always maintain their autonomy so they may be able at all times to act in accordance with the principles of the International Red Cross and Red Crescent movement.
The International Committee of the Red Cross (ICRC) (Universality)
The International Red Cross and Red Crescent movement, in which all societies have equal status and share equal responsibilities and duties in helping each other, is worldwide.
The ICRCs tasks include the following:
o Visits and interviews, without witness, to prisoners of war and detained or interned civilians; o Search for missing persons; o Transmit messages between family members separated by conflict, including from prisoners of war and detained civilians; o Reunification of dispersed families; o Provision of basic-health care services; o Provision of urgently needed food, water, sanitation, and shelter to civilians without access to these basic necessities; o Monitor compliance with and contribute to the development of humanitarian aspects of international law; and o Spreading knowledge of humanitarian aspects of international law.
International Federation of Red Cross and Red Crescent Societies (IFRC)
The IFRC is the world’s largest humanitarian organization, providing assistance without discrimination as to nationality, race, religious beliefs, class, or political opinions. The IFRCs mission is to improve the lives of vulnerable people by mobilizing the power of humanity. Vulnerable people are those who are at greatest risk from situations that threaten their survival, or their capacity to live with an acceptable level of social and economic security and human dignity.
International Federation of Red Cross and Red Crescent Societies (IFRC) (Programs)
The IFRCs programs are grouped into four main core areas: promoting humanitarian principles and values; disaster preparedness; and health and care in the community.
International Federation of Red Cross and Red Crescent Societies (IFRC) (Promotes)
The IFRC promotes individual and community humanitarian values which encourage respect for other human beings and a willingness to work together to find solutions to problems.
International Federation of Red Cross and Red Crescent Societies (IFRC) (Increase)
The sharp increase in the number of natural disasters worldwide in recent years has prompted the IFRC to devote more attention to disaster preparedness activities by making communities more aware of the risks they face, how to reduce their vulnerability, and how to cope when disaster strikes.
International Federation of Red Cross and Red Crescent Societies (IFRC) (Disaster)
Disaster response continues to represent the largest portion of the IFRCs work, with assistance to around 30 million people annually from refugees to victims of natural disasters.
International Federation of Red Cross and Red Crescent Societies (IFRC) (People)
Too many people die as a result of no access to even the most basic health services and elementary health education. Health and community care has become a cornerstone of humanitarian assistance, and accounts for a large part of Red Cross and Red Crescent spending.
As stated in the American Red Cross ARC congressional charter the organizations purpose is the following:
•To provide volunteer aid in time of war to the sick and wounded of the Armed forces; •To perform all the duties devolved on a national society by each nation that has acceded to any of those treaties, conventions, or protocols; •To act in matters of voluntary relief and in accordance with the military authorities as a medium of communication between the people of the US and the Armed forces of the US; and •To carry out system of national and international relief in time of peace, and to apply the system in mitigating the suffering caused by pestilence, famine, fire, floods, other great national calamities, and to devise and carry out measures of preventing those calamities.
What organization transmits messages between family members separated by conflict, including from prisoners of war and detained civilians?
International Committee of Red Cross
What organization promotes individual and community humanitarian values which encourage respect for other human beings and a willingness to work together to find solutions to problems?
International Federation of Red Cross and Red Crescent Societies.
What organization carries out a system of national and international relief in time of peace?
American Red Cross
Intelligence Gathering and Control (Overview)
The primary function of joint intelligence is to provide information and assessments to facilitate accomplishment of the mission. Information sharing is critical and the architecture for intelligence dissemination must facilitate joint, multinational, and interagency consumers.
Intelligence Gathering and Control (Company Commander)
The CCDR, if required, should request a national intelligence support team (NIST) to support the JTF during a crisis or contingency operation. NIST is a nationally sourced team composed of intelligence and communication experts from DIA, CIA, NSA, NGA, and other IC agencies as required. The support provided by a NIST provides commanders access to national-level databases and to agency-unique information and analysis.
Intelligence Gathering and Control (Joint Task Force)
Managing the intelligence collection, analysis, production, and dissemination for a JTF may be complicated by non-USG civilians, especially members of IGOs and NGOs, who may be sensitive to the perception that they are being used to gather intelligence. Intelligence gathering may be regarded as an act of direct participation in hostilities under the law of war and the involvement or perception of involvement by NGOs may result in them losing their protection from attack, and if captured, they may be prosecuted for their belligerent acts under the domestic law of captor. However, general information provided by personnel from IGOs and NGOs may corroborate intelligence gained from other sources. Generally, the best approach to information sharing with the NGOs and international civilian community is to keep focus on complete transparency in sharing operational information and developing a shared situational awareness and understanding of the objectives to accomplish the mission.
Intelligence Gathering and Control (Foreign Governments)
It is unlawful to disclose classified information to foreign governments without proper authorization. Classified military information shall not be disclosed to foreign national until the appropriate designated disclosure authority receives a security assurance from the recipient foreign government on individuals who are to receive information. Guidance for the disclosure of classified military information to foreign governments is contained in Department of Defense Directive (DODD) 5230.11.
Intelligence Gathering and Control (Joint Forces Command)
In most multinational operations, the JFC will be required to share intelligence with foreign military forces and to coordinate the receipt of intelligence from those forces. Release procedures should be established in advance, and the JFC participating in the MNF must tailor the policy and procedures for that particular operation based on national and theater guidance. In order to share critical intelligence information with multinational partners efficiently, US intelligence information should be written for release at the lowest possible classification level and given the fewest possible dissemination restrictions within foreign disclosure guidelines.
Intelligence Gathering and Control (Foreign Disclosure)
The joint force J-2, or delegated representative, obtains all the necessary foreign disclosure authorization from DIA, national agencies, and other originators of controlled classified information as soon as possible to effect seamless transfer of information to foreign partners engaged in joint operations. All the Joint Staff (JS) personnel should be knowledgeable of the specific foreign disclosure policy, procedures, and regulations for the operation. The efficient flow of classified and sensitive information will be enhanced by the assignment of formally trained personnel who are knowledgeable of foreign disclosure.
What do you find the guidance for the disclosure of classified information to foreign governments?
DODD Directive 5230.11
Force Protection Planning
Force protection (FP) planning considerations are based on joint intelligence preparation of the operational environment (JIPOE), the multinational nature of the operation, and the nonmilitary organizations operating in and operational area. The chief of mission (COM)’s regional security office sets FP standards for all country team personnel. Other aspects of force protection (FP) that the commander, joint task force (CJTF) must consider are the following: 1.Other nations do not necessarily execute FP in the same manner as the US military. If a joint force is under the operational control (OPCON) of a MNF commander, the JFC is still responsible for implementing the appropriate FP measures in accordance with CCDR directives 2.Special measures may be required for joint force personnel who must interact with local populations and NGOs. Unfamiliar procedures, lack of common language, and differing operational terms of reference increase the risk to these joint force personnel 3.Because US force often assume the leadership role in multinational operations, joint force personnel can potentially be a great target 4.In addition to actions taken to prevent or mitigate hostile actions against the joint force, the JFC may provide security for other personnel and assets. These requirements must be clearly stated in the mission. A memorandum of agreement (MOA) may be required to document protection for the following: a. Personnel and equipment belonging to USG agencies, IGOs, and NGOs; b. Affected country personnel and assets; c. Relief convoys, supplies, and main supply routes; d. Relief distribution centers; e. Stock of supplies; and f. Ports and airfields.
What may be required to document protection?
Logistic Support Requirements (Overview)
All USG agencies, the UN, IGOs, NGOs, and MNFs are responsible to provide for their own logistic support. However, U.S. military logistic capabilities are frequently requested and provided to these organizations. Pursuant to the Economy Act, the JTF may be asked to assume all or part of the burden of logistics for these organizations after arrival. This support may include intertheater and intratheater airlift, ground transportation of personnel, equipment and supplies, and management of air, land, or sea transportation nodes. In situations where there is limited or denied access and civilian transportation infrastructure is degraded or otherwise limited, DOD-provided transportation may be the only viable mode
Logistic Support Requirements (Unity of Effort)
Unity of effort is essential to coordinate logistic operations in joint and multinational environments, requiring coordination not only between Services and U.S. agencies, but also among all relief and humanitarian organizations in theater. Authority for logistics matters should be clearly stated in the operation plan (OPLAN) and supporting plans and the JFC should validate these on a continual basis throughout the operation, making changes when and were required. If the joint task force (JTF) has been designated in the OPLAN as the primary source of movement support, then the CJTF is responsible for establishing movement priorities between JTF requirements and those of USG agencies, the country team, multinational or UN forces, NGOs, and any international joint logistic center. Close communications should be established with all elements (e.g., USG agency, IGO, NGO) to ensure that their movement requirements are fully understood by the JTF to enable effective planning and security for material movement
Logistic Support Requirements (Joint Forces)
Normally, joint forces are supported through a combination of scheduled U.S. resupply, contingency contracting, HN support, and UN logistic support. When joint forces participate in a UN operation many of the cost incurred by the U.S. are reimbursable by the UN. In a multinational, non-UN sponsored operation; a single nation may be responsible for planning and coordinating logistic support for all forces on a reimbursable basis.
Logistic Support Requirements (Operational)
Operational contract support is commonly used to augment organic military and other sources of support as multinational logistic support, HN support, and to provide support where no organic capability exists. Normally, the JFC establishes contracting related boards. In order to facilitate civil-military operations (CMO), other agencies and organizations operating in the joint operations area (JOA) with contracting interests should be represented at these boards.
Logistic Support Requirements (Acquisition)
Acquisition and cross-servicing agreements are agreements negotiated on a bilateral basis with multinational partners that allow US forces to exchange most common types of support, including food, fuel, transportation, ammunition, and equipment.
Logistic Support Requirements (Economy)
The Economy Act provides agencies the authority to provide services to, or secure services of, another executive agency for in-house performance or performance by contract where there is not other statutory authority. The head of an agency or major organizational unit within an agency may place an order with a major organizational unit within the same agency or another agency for goods or services if– •the agency has available funds; •the order is in the best interest of the USG; •the agency filling the order can provide, or acquire by contract, the ordered goods or services; and •the head of the agency decides that the ordered goods or services cannot be provided by contract as conveniently or cheaply by a commercial enterprise.
What provides agencies the authority to provide services to, or secure services of, another executive agency for in-house performance by contract where there is no other statutory authority?
Economy Act
Meteorological and Oceanographic (METOC) Support
o Meteorological and oceanographic (METOC) forces work cooperatively within the DOD community across interorganizational lines to share and obtain information to provide timely, accurate, relevant, and consistent METOC support to JFCs. METOC examines the whole range of atmospheric (weather) and oceanographic phenomena, from the sub-bottom of the Earth’s oceans up to the top of the atmosphere and the space environment (space weather). Joint METOC operations focus on the following two key functions: •Characterization of the environment, and •Exploitation of environmental information to gain an operational advantage and ensure the safety of operational forces. o The principles of accuracy, consistency, relevancy, and timeliness are the cornerstone of joint METOC operations. When characterizing the environment, the principles of accuracy and consistency are paramount to collection, analysis, and prediction processes. METOC operations depend on continuous characterization of the environment, which includes the following: •Collection – METOC personnel collect environmental measurements from air, land, maritime, and space, using on-site and remote sensing platforms; •Analysis – METOC production facilities, reachback centers, and on-scene METOC personnel interpret, fuse, and evaluate collected data and information to develop forecasts and recommendations in support of operational requirements and decisions; and •Prediction – Utilizing numerical models, expert systems, and human judgment, METOC forces describe the anticipated future state of the METOC environment. Forecasts, computer and human based, include temporal and spatial assessments of atmospheric, terrestrial, marine, and space environmental features and associated elements. o Environmental exploitation is composed of two processes: •Tailoring predicted data to meet specific operational requirements; and •Integrating the tailored forecast into operation planning and execution. o Meteorological and oceanographic forces tailor information into mission execution and planning forecast products by applying METOC parameter thresholds specific to mission, platform, or system. Integration of METOC information into planning and decision-making processes allows the JFC to optimize weapons, sensors, platforms, mission profiles, tactics, techniques and procedures, and personnel while marginalizing the benefit of the environment for the adversary, thereby creating an asymmetrical advantage.
When characterizing the environment which two principles are paramount to collection, analysis, and prediction process?
o Accuracy o Consistency
____ forges the vital link between the U.S. military and the other instruments of national power.
Interagency Coordination
Interagency and Interorganizational Coordination
o Interagency Coordination Within the context of DOD involvement, interagency coordination is the coordination that occurs between elements of DOD and engaged USG agencies for the purpose of achieving an objective. Interagency coordination forges the vital link between the U.S. military and the other instruments of national power. o Interorganizational Coordination Within the context of DOD involvement, interorganizational coordination is the interaction that occurs among elements of the DOD; engaged USG agencies; state, territorial, local, and tribal agencies; foreign military forces and government agencies; IGOs; NGOs; and the private sector. Successful interorganizational coordination enables the USG to build international and domestic support, conserve resources, and conduct coherent operations that more effectively and efficiently achieve common objectives.
Interagency Operations Coordinations Goals
U.S. military forces may come into contact with IGOs and NGOs. It is mutually beneficial to closely coordinate the activities of all participants to achieve these three goals Goal 1: Establish a climate of cooperation. Goal 2: Establish as good a rapport as possible while maintaining neutrality. Goal 3: Monitor openly hostile organizations and develop mitigation strategies as needed.
Which of these is the secondary goal when working with IGOs and NGOs?
Establish as good a rapport as possible while maintaining neutrality
Interagency Operations Domestic Operations
o Mission Areas Domestic operations fall under two mission areas: •Homeland defense, for which the DOD serves as the lead federal agency, and •Civil support, for which DOD serves in a supporting role to other agencies by providing defense support to civil authorities at the federal, state, tribal, and local levels. o Homeland Defense Homeland defense is the protection of U.S. sovereignty, territory, domestic population, and critical defense infrastructure against external threats and aggression, or other threats as directed by the President. DOD is responsible for the homeland defense mission, and therefore leads the homeland defense response, with other departments and agencies in support of DOD efforts. o Civil Support U.S. Armed Forces are authorized under certain conditions to provide assistance to U.S. civil authorities. This assistance will always be in support of a primary agency. The military typically only responds after the resources of other federal agencies and state, local, and tribal governments have been exhausted or when specialized military assets are required o Interagency Operations DOD works closely with other federal agencies, in particular the Department of Homeland Security (DHS) and its subordinate organizations, when planning for domestic operations. The supported geographic combatant commanders (GCC) are DOD principal planning agents and have the responsibility to provide joint planning and execution directives for peacetime assistance rendered by DOD within their assigned areas of responsibility (AOR).
Which of these organizations is the lead federal agency for homeland defense?
Foreign Operations
Within the executive branch, the DOS is the lead foreign affairs agency, assisting the President in foreign policy formulation and execution. As such, DOS oversees the coordination of U.S. foreign policy with the DOD external political-military (POLMIL) relationships, including bilateral military relationships, multinational military forces, multilateral mutual defense alliances, treaties and agreements involving DOD activities or interests, and use of U.S. military assets for foreign humanitarian assistance or peace operations.
In addition to DOS, USAID is the lead agency for development and carries out programs that complement DOD efforts in stabilization, disaster response, foreign internal defense, and security force assistance
The GCC implements DOD external POLMIL relationships within the AOR. The GCC’s theater campaign plan, containing nested country plans, should complement plans developed by the country teams and USG interagency partners in the GCC’s AOR.
National Security Council (NSC)
In a crisis response and limited contingency operation, coordination between DOD and other USG agencies will normally occur within the National Security Council (NSC) interagency policy committee and, if directed, during development of the USG strategic plan.
Host Nation Support (HNS) Types
Logistics, Information systems, Installation management, Medical, and Engineering and facilities planning.
Host Nation Support (HNS) Agreements
To complement operational mission resourcing for crises, transition to war, wartime, and post-conflict establishment of civil control and rule of law, the U.S. Army actively seeks to increase its overseas combat potential through the formal establishment of HNS agreements with allied and friendly foreign nation governments.
Host Nation Support (HNS) Agreements (Benefits)
Wartime HNS can provide certain support and sustainment functions for forward-deployed and deploying forces that can: •Speed force reception and integration, •Enhance operational flexibility, and •Increase force sustainability through all phases of a campaign
Host Nation Support (HNS) Agreements (Basis)
All wartime HNS agreements are based on international agreements concluded between the U.S. and the host nation governments. The type and extent will be consistent with international law, host nation and U.S. laws, and the host nation’s support capabilities.
Host Nation Support (HNS) Agreements (Adjustments)
For planning purposes, wartime HNS is considered to be available in accordance with the agreed to stipulations or conditions upon the conclusion of a formal agreement between the governments of the U.S. and the host nation. However, real adjustments to existing U.S. Army deployment plans must be directly related to the actual details of wartime HNS agreements and plans that define all specific tasks, priorities, and procedures for validation.
Host Nation Support (HNS) Agreements (Reimbursement)
Wartime HNS may be obtained on a reimbursable basis when other negotiation options are not feasible. Reimbursement or other compensation may be obtained as an exchange of support, a part of mutual defense programs, or through combined defense projects. The form of reimbursement or compensation will be specified in the agreements.
The type and extent of wartime HNS agreements will be consistent with which of the following?
o International Laws o Host Nation Laws o U.S. Laws Host nation’s support capabilities
Army personnel requesting or directing the use of civilian HNS personnel in a combat zone will coordinate with the ____ in advance.
Servicing judge advocate
Wartime HNS Use
The use of military, paramilitary, or civilian wartime HNS personnel will comply with the terms of the negotiated wartime HNS agreement and the law of war. Certain situations restrict or complicate the use of HNS.
Wartime HNS Use (Use)
Army personnel requesting or directing the use of civilian HNS personnel in a combat zone will coordinate with the servicing judge advocate in advance of such use to ensure compliance. Civilian wartime HNS personnel may not be used in any role that would call into question their noncombatant status
Wartime HNS Use (Restrictions)
No wartime HNS agreements will be sought if: •A U.S. mission, operation, or capability would be jeopardized or severely degraded; •Classified or sensitive material, information, or technology could be compromised; •A requirement exists for U. S. command, control, or accountability of sensitive items or equipment; or •Host nation civil sector legal constraints would hinder or impede transition to war operations
Wartime HNS Use (Complications)
When operating as part of multinational coalitions and in theaters with considerable governmental or non-governmental presence, a host nation’s resources may become taxed beyond the nation’s ability to honor all formal agreements. To avoid shortfalls in critical requirements, attempt coordination with those organizations competing for resources
Contingency contracting generally can be planned for and implemented via ____ channels.
Contingency Contracting
o The fluid nature of contemporary operations will often dictate the need for creativity and flexibility in support and sustainment, especially in austere or high-risk operational environments. Due to this operational reality, HNS may not be practical due to the lack of time to put agreements into place, the inability of a governing entity to provide support, or the absence of a legitimate government. o Contingency contracting, depending on the type and scope of contracted support, generally can be planned for and implemented via military channels. These contracts require much less deliberate and detailed host nation and DOS coordination when compared to formal HNS agreements. o In many situations, contingency contracting, especially external support contracts, such as the Logistic Civil Augmentation Program, may be a viable alternative to HNS for meeting the immediate requirements of the operational force.
Money as a Weapon As a warfighter, you receive training on most weapons systems you will use, but you probably receive little if any training on money as a weapons system prior to deployment. Use the acronym WEAPONS to remember the seven steps in funding warfighters:
(W) Work to identify the requirement and appropriate funding authority. (E) Estimate the cost and ensure funding is available. (A) Attain required approval(s). (P) Purchase the goods or services. (O) Oversee the requirement to receipt or completion. (N) Notify the appropriate authorized U.S. Government (USG) disbursement agency when the goods or services are received or the project is complete. (S) Secure the appropriate documentation.
Rules of Engagement for Funding Warfighters (Costs and Funding)
o Ensure the decisionmaking process considers costs. o Look to the local government to fully fund or share expenses. o Match the requirement to a funding authority and then determine if funds are available.
Rules of Engagement for Funding Warfighters (Legal Authority)
o Identify and articulate the need to expedite the process when the attorneys, comptrollers, and contracting officers process the requirements. o Possess the legal authority to fund a requirement; the absence of a prohibition does not convey authority.
Rules of Engagement for Funding Warfighters (Guidance)
o Abide by fiscal laws, money as a weapons system standard operating procedures, and or other resource management publications, contract laws, legal opinions, and fragmentary orders. o Seek cost reduction measures, keeping in mind that major cost drivers are often “hidden” in the Logistics Civil Augmentation Program (LOGCAP) and Stock Fund.
Rules of Engagement for Funding Warfighters (Bona Fide Need)
o Be judicious in the use of financial resources; ensure money is used for a bona fide need. o Ensure the requirement meets the time, purpose, and amount criteria applicable to fiscal law.
Rules of Engagement for Funding Warfighters (Recordkeeping)
o Maintain a hard copy of records and keep current year and previous year hard copies on hand. o Ensure accurate, timely reporting; maintain files and records as audits and inspections increase in frequency and scope.
Rules of Engagement for Funding Warfighters (Compliance)
o Institute a robust Management Internal Control Program (MICP), make sure it is working, and make timely corrections a necessary. o Seek expert advice from professional community members, such as fiscal law attorneys, comptrollers, contracting officers, finance officers, and engineers, as needed.
Which of the following rules of engagement for funding warfighters?
o Match the requirement to a funding authority and then determine if funds are available. o Maintain a hard copy records and keep current year and previous year hard copies on hand.
Fiscal Law and Contracting (Key Players)
o The key players who serve the commander when contemplating using money to accomplish his mission are the: •Contracting officer, field ordering officer (FOO), and or project purchasing officer; •RM and or paying agent; and •Staff judge advocate. o Working with these individuals enables commanders to maintain awareness of changes to laws.
Which Group lists key players who support the commander who uses money to accomplish the mission?
Contracting officer, RM, and staff judge advocate
Fiscal law spans the whole field of financial management and requires familiarity with:
o Constitutional authority for the obligation and expenditure of funds, o Specificity of purpose, time, and amount of appropriations, o Anti-Deficiency Act and its penalties, o Use of funds under a continuing resolution authority, o Responsibilities of an accountable officer, o Applicable comptroller general decisions, and o Allotment or project executions.
Fiscal law establishes limitations on expending and obligating funds. An officer or employee of the USG may not:
o Make or authorize an expenditure or obligation exceeding an amount available in an appropriation or fund for the expenditure or obligation. o Involve the government in a contract or obligation for the payment of money before an appropriation is made unless authorized by law (for example, the Feed and Forage Act).
Basic Axiom of Fiscal Law
The basic axiom of fiscal law is that the expenditure of public funds is proper only when authorized by Congress and not that the expenditure of public funds is proper unless prohibited by Congress.
Contract and procurement laws are contained in the Federal Acquisition Regulation (FAR) and deal with creating, interpreting, and enforcing written agreements. The Feed and Forage Act contains basic guidance:
No contract or purchase on behalf of the U.S. shall be made, unless the same is authorized by law or is under an appropriation adequate to its fulfillment, except in the DOD and in the Department of Homeland Security with respect to the Coast Guard when it is not operating as a service in the Navy, for clothing, subsistence, forage, fuel, quarters, transportation, or medical and hospital supplies, which, however, shall not exceed the necessities of the current year
Which of the following states a contract or purchase on behalf of the U.S. can be made under an appropriation adequate to its fulfillment for clothing, subsistence, forage, fuel, quarters, transportation, or medical and hospital supplies?
Feed and Forage Act
Responsibilities of Assessable Unit (AU) Manager and AU Management Control Administrator (MCA)
AU Manager: •Ensures the brigade MCA receives MICP training, •Develops and submits an MCP to the senior headquarters’ MCA, •Conducts appropriate management control evaluations, documents findings, and forwards the documentation to the senior headquarters’ MCA, •Submits an ASA for the AU, •Prepares and submits a Statement of Material Weakness for the AU, and, if necessary, to the senior headquarters’ MCA, and •Ensures management control is listed as an explicit responsibility under major performance objectives on his or her annual personnel evaluation support form. AU MCA: •Administers the manager’s internal control process and leads all unit management control activities, and •Completes senior headquarters’ priority assessments and forwards compiled assessments to the senior headquarters’ MCA no later than the published dates.
AU Manager;
o Submits an ASA for the AU o Develops an MCP o Conducts appropriate management control evaluations o Prepares and submits a statement of material weakness
o Administers internal control process o Completes senior headquarters’ priority assessments o Leads all unit management control activities o Forwards compiled assessments to the senior headquarters’ MCA
Management Control Plan Evaluations
The MCP is a schedule of management control evaluations for each fiscal year. The schedule must clearly communicate areas for evaluation along with when and who will conduct the evaluation. During a period of turnover in which a transfer of authority will occur, the redeploying unit must conduct the evaluations.
Management Control Plan Evaluations (Inventory of Evaluations)
The Army has an inventory of management control evaluations listed on its website that must be conducted at least once every five years. MCAs should determine which of these evaluations are applicable to the AU.
Management Control Plan Evaluations (Command Oversight)
Command oversight processes such as staff assistance visits, internal and external audits, command inspections, and internal reviews are internal control evaluations.
Management Control Plan Evaluations (Leaders)
MCAs should ask senior leaders which functions require evaluation. Managers should focus on unique processes critical to operations that are not already covered by the Army’s inventory of evaluations. All leaders and managers perform management controls. These controls range from simple to complex and from locking a door at the end of the day to formal audits of financial records. When management controls are significant and recurring, managers should document them and place them on the MCP
Annual Statement of Assurance (Overview)
The ASA provides a broad assessment of management controls within the command or agency and identifies any material weaknesses in these management controls
Annual Statement of Assurance (ASA Components)
o The ASA consists of the following: •Cover memorandum signed by the brigade commander that includes the actual ASA and an unqualified statement (“I have reasonable assurance…”) or a qualified statement (“I have reasonable assurance except for…”), and •Department of the Army Form 11-2-R (Management Control Evaluation Certification Statement), which provides a description of the management control process and the basis for determining reasonable assurance. o The brigade commander may use a cover memorandum to address significant issues or concerns that relate to the effectiveness of management controls and should use Army Form 11-2-R to describe how he or she reached his or her determination of reasonable assurance
Annual Statement of Assurance (Writing the ASA)
o When writing the ASA, the brigade commander must determine if there is: •Reasonable assurance, which is a satisfactory level of confidence that management controls are adequate and are operating as intended, •Management control weakness, which is the ineffectiveness or absence of management controls (for instance, management controls are not in place, are in place but not used, or are in place and used but are ineffective), and •Material weakness, which is a management control weakness that warrants reporting to the next level of command for either its action or its awareness. o A weakness considered material must meet two conditions. It must involve a deficiency in management controls (for example, management controls are not in place, not used, or are inadequate), and it must warrant the attention of the next level of command, either because it must take action or because it must be aware of the problem
Annual Statement of Assurance (Material Weakness Factors)
Potential material weakness factors include: •Actual or potential loss of resources, •Sensitivity of the resource involved, •Magnitude of funds, property, or other resources involved, •Frequency of actual and or potential loss, •Current or probable media interest (adverse publicity), and •Current or probable Congressional interest (adverse publicity). •Unreliable information causing unsound management decisions, •Diminished credibility or reputation of Army management, •Impaired fulfillment of the essential mission, •Violation of statutory or regulatory requirements, •Impact on information security, and •Public deprived of needed government services
What must the brigade commander determine when writing an ASA?
o Management control weakness o Material weakness o Reasonable assurance
Brigade MCA Management Control Core Actions and Milestones (September)
Ramp-up for new fiscal year; review procedures, plan execution, and define milestones
Brigade MCA Management Control Core Actions and Milestones (October)
Provide draft MCP five-year plan for staff; obtain command input; conduct MCP training for all points of contact
Brigade MCA Management Control Core Actions and Milestones (November)
Consolidate staff input into MCP five-year plan and publish final version; publish tasking memo for current year evaluations and time line
Brigade MCA Management Control Core Actions and Milestones (April)
Prepare draft ASA; update material weakness action plans
Brigade MCA Management Control Core Actions and Milestones (December-March)
Conduct evaluations according to the MCP and submit documentation reports to the MCA for compilation and forwarding to the senior headquarters’ MCA; review audits, inspection reports, and program evaluations to identify program, policy, or procedural weaknesses
Brigade MCA Management Control Core Actions and Milestones (May)
Complete and submit ASA to higher headquarters’ MCA
CERP Responsibilities
o The DOD defines urgent as any chronic or acute inadequacy of an essential good or service that in the judgment of the local commander calls for immediate action. Prior coordination with community leaders increases goodwill. o With most small-scale projects, which total less than $500 thousand (K), CERP is a quick and effective method that provides an immediate, positive impact on the local population while other larger reconstruction projects are still getting off the ground. o The keys to project selection are: •Execute quickly, •Employ many people from the local population, •Benefit the local population, and •Be highly visible.
With most ____ projects, which total less then $500K, CERP is a quick and effective method that provides a(n) ____ impact on the local population.
o small-scale o immediate
CERP rules and guidance
Follow CERP rules and guidance, especially commander guidance. Ensure local, donor nation, nongovernmental organization, or other aid or reconstruction resources are not reasonably available before using CERP funds
CERP rules and guidance (Commanders)
To maintain their responsibilities, commanders: •Should consider complementary programs provided by the U.S. Agency for International Development and other nongovernmental agencies operating in their areas of responsibility; •Will coordinate and determine project needs with local government agencies, civil affairs elements, engineers, provincial reconstruction and development committees (PRDCs), provincial reconstruction teams (PRTs), and or agricultural development teams (ADTs) to gain the greatest effect, ensure synchronization, and provide for project acceptance with follow-on project maintenance and sustainment as required by the local government; •Must ensure reasonable prices are paid for services and supplies received and projects are constructed to a modest, functional standard; •Will not deliberately over-pay for projects or commingle funds; and •Can quickly execute projects that do not exceed $500K without a warranted contracting officer but with a USG employee (not a contractor) trained as a project purchasing officer (PPO).
CERP rules and guidance (Review Board)
A CERP review board will consider project requests
What are the rules and guidance commanders should follow for using CERP funds?
o Consider complementary programs provided by nongovernmental agencies operating in their areas of responsibility. o Coordinate and determine project needs with local government agencies to gain the greatest effect. o Ensure reasonable prices are paid for services and supplies received and projects are constructed to functional standard.
Ensure CERP projects focus primarily on the following items:
o Projects that can be sustained by the local population or government and cost less than $500K; o Economic development; o Employing as many of the local population as possible; o Reconstructing structures damaged after military operations to rapidly improve conditions such as repairing homes, roads, and mosques; o Making emergency repairs on critical facilities such as hospitals, water treatment facilities, and electrical plants; o Resolving critical infrastructure shortfalls that can be rapidly repaired such as bridges, sewage, and telephone systems; o Reducing the risk of injury to the local populace by means such as constructing security fences and barriers; providing trash and sewage removal; o Providing blankets, space heaters, and propane where unavailable; and installing traffic control and other warning signs; and o Procuring critical equipment to replace lost, stolen, and nonrepairable items or to establish critical, community-essential services such as buying new parts for a water pump, backup generators for a hospital, or firefighting equipment for a community fire department.
Which of the following items should CERP projects focus primarily on?
o making emergency repairs to critical facilities o reducing the risk of injury to the local populace
Unacceptable Uses of CERP;
o Projects that benefit U.S. o Support to national armies o Weapons buyback programs o Entertainment o Salaries or bonuses o Support to private business
Unacceptable Uses of CERP (Projects that Benefit U.S.)
o Projects with a direct or indirect benefit to U.S., coalition, or other supporting personnel o Duplication of services available through municipal governments o Conducting psychological operations; information operations; or other U.S., coalition, or foreign country’s security operations
Unacceptable Uses of CERP (Support to National Armies)
Providing goods, services, or funds to national armies; national guard forces; border security forces; civil defense forces; infrastructure protection forces; highway patrol units; police; special police or intelligence; or other security forces
Unacceptable Uses of CERP (Weapons Buyback Programs)
o Weapons buyback programs or other purchases of firearms or ammunition (except as authorized by law and with separate implementing guidance) o Removal of unexploded ordnance (unless incidental to construction or an agricultural development project)
Unacceptable Uses of CERP (Entertainment)
o Entertainment (except light refreshment costs purely incidental to either an approved CERP project opening ceremony or a conference in support of a CERP project) o Reward programs
Unacceptable Uses of CERP (Salaries or Bonuses)
o Salaries, bonuses, or pensions of foreign country’s military or civilian government personnel o Training, equipping, or operating costs of foreign country’s security forces o Stipends for trainees of CERP-funded education or training programs
Unacceptable Uses of CERP (Support to Private Business)
o Support to individuals or private businesses (except condolence, former detainee, or hero payments; battle damage payments; or micro-grants) o Purchasing goods or services from any U.S. trade-sanctioned nation o Loans or capitalization of lending institutes
For which of the following actions should commanders NOT use CERP?
o Purchasing goods or services from any U.S. trade-sanctioned nation o Removing unexploded ordnance o Duplication of services available through municipal governments o Providing goods, services, or funds to national armies
Approving Authorities (Overview)
o Because CERP is a commander’s program, commanders have significant responsibility in ensuring its success along with specific command responsibilities. o The RM supporting operations is the “go to” individual for CERP guidance
Approving Authorities (All Commanders)
•Identify CERP projects in coordination with local government officials and agencies and key staff elements, •Consult with the appropriate PRDCs (including PRTs; embedded PRTs; ADTs; and provincial support teams, where established) prior to initiating any CERP project of $50K or more, •Approve CERP projects consistent with their approval authorities and funding availabilities, •Ensure proper management, reporting, and fiscal controls to account for funding, and •Review project results and issue a clearance memorandum for record stating: “I have reviewed and approved these projects, and they are complete and adhere to the guidelines set forth in the CERP guidance and applicable fragmentary orders.”
Approving Authorities (Unit Commander)
•Identifies the scope of the proposed project; •Develops a statement of work or project proposal; •Prepares a Standard Form 44, Purchase Order- Invoice-Voucher; Department of the Army Form 3953, Purchase Request and Commitment Form; or a Department of Defense Form 1149, Requisition and Invoice/Shipping Document, as required; •Provides the information to the battalion-level CERP project manager; •Ensures construction meets engineering standards and performance is updated against the relevant metrics; and •Ensures final inspections are completed, project is documented as required, and project is transferred to the appropriate foreign government officials for sustainment.
Approving Authorities (Brigade Commander)
•Is the CERP project manager, •Appoints PPOs and paying agents in writing, and •Ensures no one serves as both PPO and paying agent. The appointment order of PPOs and paying agents specifies the maximum amount the PPO may manage or that the paying agent may draw from the finance office. The PPO will receive appointment orders upon successful completion of PPO training by a warranted contracting officer, and the paying agent on completion of training by the finance office.
Approving Authorities (PPO)
•Is the direct representative of the contracting officer, •Must be a USG employee and not a contractor or coalition member, •Receives authority to procure services and supplies from the commander in accordance with policies and procedures outlined in training received from the appropriate contracting office, •Contracts to obtain services and supplies subject to specific rules applicable to the project cost, •Manages individual CERP projects to completion, •Directs the paying agent to make installment (inprogress) and final payments according to command guidance and finance regulations, •Maintains project files in accordance with command guidance, •May be held financially liable, and •May be subject to administrative actions or criminal prosecution for making prohibited purchases
Approving Authorities (Paying Agent)
•Is the direct representative of the servicing finance office’s disbursing officer, •Receives and disburses cash for CERP project expenditures according to command guidance and finance regulations, •Is trained by the servicing finance office, •May be a coalition member subject to continued Secretary of Defense approval and if internal controls are met to ensure the restitution of USG funds if they are lost, •May be held financially liable for any loss of funds, •May be held financially liable for any cash, negotiable instrument, and or paid vouchers entrusted to him, •May not delegate responsibility for funds to anyone else, including financial institutions, •Ensures funds are delivered, transported, and safeguarded consistent with DOD Financial Management Regulation 7000.14-R, Volume 5, Chapter 3, and applicable finance command policies and procedures, •Signs a financial liability statement in the presence of the disbursing officer or deputy disbursing officer, •May be subject to administrative actions or criminal prosecution, and •Coordinates with finance prior to and after receipt of money on the potential for production of any classified documents during the CERP funds disbursement.
Approving Authorities (Contracting Office)
•Conducts formal training classes for PPOs, •Provides written certificates of training, and •Awards contracts for all CERP projects over $500K.
Approving Authorities (Finance Office)
•Is the location of the disbursing officer, deputy disbursing officer, and disbursing agent, and •Funds, manages, and clears paying agent accounts. o The disbursing officer, deputy disbursing officer, or disbursing agent trains and briefs paying agents on their duties and responsibilities. o The disbursing officer or deputy disbursing officer witnesses the paying agent signing a financial liability statement.
Which of the following is a commander’s responsibility for ensuring the success of CERP?
Approves CERP projects consistent with their approval authorities and funding availabilities
FOO and Paying Agent Involvement in the Importance of Contracting
Over time, contracting support on the battlefield has become an essential part of force projection capability. The Army relies on contractors’ support, including vendors for very small purchases for just about every mission, so FOOs and paying agents play critical roles in contracting. Commanders use FOOs to make over-the-counter purchases in amounts up to the micro-purchase threshold
The FOO and paying agents play critical roles in ____ when using vendors for very small purchases in support of a mission.
FOO and Paying Agent Duties
The supporting contracting officer appoints an FOO, and the disbursing officer within a supporting financial management (FM) unit appoints a paying agent. Though the FOO and paying agent are appointed by different offices, they work with each other to make purchases in field ordering operations
FOO Duties
The appointment of an FOO delegates the contracting officer’s authority to the FOO to obligate the government for micro-purchases for supplies and limited services. This appointment also eases the administrative burden on a unit and its supporting contracting office (and vendors) by eliminating lengthy contracting procedures for small purchases.
Paying Agent Duties
Each paying agent is under the exclusive supervision of the disbursing officer in all matters concerning custody and disposition of funds advanced to the paying agent. The paying agent will comply with all instructions and regulations the disbursing officer issues pertaining to paying agent duties. Each paying agent holds the funds advanced to him at personal risk and must account for those advanced funds to the disbursing officer immediately upon completion of the transaction(s).
The ____ delegates authority to the FOO to obligate the government for micro-purchases for supplies and limited services and the ____ within a supporting FM appoints the paying agent to hold and disburse funds.
o contracting officer o disbursing officer
FOO and Paying Agent Acquisition Team Membership
The FOO and paying agent are part of the acquisition team that consists of all participants in the acquisition process. The FOO and paying agent work along with the requiring activity, FM, RM, and contracting officer for successful mission accomplishment
FOO and Paying Agent Acquisition Team Membership (Requiring activity)
The requiring activity is the Army unit that has a requirement for goods or services and requested the initiation of the requirement. The FOO routinely interfaces with the requiring activity (most likely his own unit), the contractor, and the contracting officer
FOO and Paying Agent Acquisition Team Membership (Financial management)
The ultimate mission of your supporting FM detachment is to sustain the combat Soldiers and commanders in the field with timely and accurate financial and accounting support. This support includes processing military and civilian pay, preparing travel and paying travel expenses, managing transportation and commercial vendor vouchers, and accounting for the obligation and disbursement of public funds. As a paying agent, you will routinely interface with FM
FOO and Paying Agent Acquisition Team Membership (Resource manager)
The RM is the principal advisor to the commander on FM. The RM is responsible for developing command resource requirements, identifying sources of funding, determining costs, acquiring funds, distributing and controlling funds, and tracking costs and obligations
FOO and Paying Agent Acquisition Team Membership (Contracting officer)
Leadership of the acquisition team normally comes from the contracting officer. The contracting officer is the only individual expressly authorized to enter into, administer, and or terminate contracts. Contracting officers are responsible for ensuring all contract actions comply with appropriate laws, executive orders, regulations, and other applicable procedures and approvals
1. Army unit that has a requirement for goods or services and requests the initiation of the requirement. 2. Sustains Soldiers and commanders in the field with timely and accurate financial and accounting support. 3. Identifying sources of funding, determining costs, acquiring funds, and distributing and controlling funds. 4. Ensuring all contract actions comply with applicable procedures and approvals
1. Requiring Activity 2. Financial Management 3. Resource Manager 4. Contracting officer
Joint Operation Principles
Along with operational art, commanders use the twelve principles of joint operations, the first six of which are listed here, to envision how to establish conditions that accomplish their missions and achieve assigned objectives. These principles represent important factors that affect the conduct of operations across the levels of war. These principles are not a checklist but summarize characteristics of successful operations
12 Principles of Joint Operations;
1. Objective 2. Offensive 3. Mass 4. Maneuver 5. Economy of Force 6. Unity of Command 7. Security 8. Surprise 9. Simplicity 10. Restraint 11. Perseverance 12. Legitimacy
Joint Operation Principles (Objective)
Direct every military operation toward a clearly defined, decisive, and achievable goal.
Joint Operation Principles (Offensive)
Seize, retain, and exploit the initiative
Joint Operation Principles (Maneuver)
Place the enemy in a position of disadvantage through the flexible application of combat power
Joint Operation Principles (Economy of Force)
Expend minimum essential combat power on secondary efforts in order to allocate the maximum possible combat power on primary efforts
Joint Operation Principles (Mass)
Concentrate the effects of combat power at the most advantageous place and time to produce decisive results
Joint Operation Principles (Unity of Command)
Ensure unity of effort under one responsible commander for every objective
Joint Operation Principles (Security)
Prevent the enemy from acquiring unexpected advantage
Joint Operation Principles (Surprise)
Strike at a time or place or in a manner for which the enemy is unprepared
Joint Operation Principles (Simplicity)
Increase the probability that plans and operations will be executed as intended by preparing clear, uncomplicated plans and concise orders
Joint Operation Principles (Restraint)
Limit collateral damage and prevent the unnecessary use of force
Joint Operation Principles (Perseverance)
Ensure the commitment necessary to attain the national strategic end state
Joint Operation Principles (Legitimacy)
Maintain legal and moral authority in the conduct of operations
Along with operational art, commanders use ____ to envision how to establish conditions that accomplish their missions.
the principles of joint operations
1. Direct every military operation toward a clearly defined goal. 2. Place the enemy at a disadvantage through flexible application of combat power. 3. Expend minimum essential combat power on secondary efforts. 4. Ensure unity of effort under one commander for every objective. 5. Concentrate the effects of combat power advantageously 6. Seize, retain, and exploit the initiative. 7. Strike at a time or place or in a manner for which the enemy is unprepared. 8. Increase the probability that plans and operations will be executed as intended. 9. Limit collateral damage and prevent the unnecessary use of force. 10. Ensure the commitment necessary to attain the national strategic end state. 11. Maintain legal and moral authority in the conduct of operations. 12. Prevent the enemy from acquiring unexpected advantage.
1. Objective 2. Maneuver 3. Economy of Force 4. Unity of Command 5. Mass 6. Offensive 7. Surprise 8. Simplicity 9. Restraint 10. Perseverance 11. Legitimacy 12. Security
Operational Approach
Through operational art and the principles of joint operations, commanders thoroughly analyze an operational environment. They determine the most effective and efficient methods for applying decisive action in various locations across multiple echelons
Operational Approach (Collaboration)
Shared understanding of purpose begins with open, continuous collaboration and dialogue between commanders at various echelons of command. Effective collaboration: •Facilitates assessment, •Fosters critical analysis, and •Anticipates opportunities and risk
Operational Approach (Vision)
Operational art spans a continuum from comprehensive strategic direction to concrete tactical actions. Bridging this continuum requires creative vision coupled with broad experience and knowledge. Through operational art, commanders translate their operational approach into a concept of operations and ultimately into tactical tasks; they then array forces and maneuver them to achieve a desired end state
Operational Approach (Framework)
Army design methodology assists commanders in developing their operational approach. The operational approach is a description of the broad actions the force must take to transform current conditions into those desired at end state; it provides a framework that relates tactical tasks to the desired end state, providing a unifying purpose and focus to all operations
The operational approach provides a framework that relates tactical tasks to the ____.
Desired end state
End State and Conditions
Commanders explicitly describe the end state and its conditions for every operation. Otherwise, missions become vague, and operations lose focus. Successful commanders direct every operation toward a clearly defined, conclusive, and attainable end state
End State is Clearly Defined
The end state is a set of desired future conditions the commander wants to exist when an operation ends and is included in planning guidance. A clearly defined end state: •Promotes unity of effort; •Facilitates integration, synchronization, and disciplined initiative; and •Helps mitigate risk.
End State May Evolve
The end state may evolve as an operation progresses. Commanders continuously monitor operations and evaluate their progress using formal and informal assessment methods.
Center of Gravity
A center of gravity is a source of power that provides physical or moral strength, freedom of action, or will to act. The loss of a center of gravity can ultimately result in defeat. The center of gravity is a vital analytical tool for planning operations–it provides a focal point for identifying sources of strength and weakness
Physical Center of Gravity
Physical centers of gravity, such as capital cities or military forces, are typically easier to identify, assess, and target. They can often be influenced solely by military means
Moral Center of Gravity
Moral centers of gravity are intangible and more difficult to influence. They can include a charismatic leader, powerful ruling elite, religious tradition, tribal influence, or strong-willed populace. Military means alone usually prove ineffective when targeting moral centers of gravity. Affecting them requires the collective, integrated efforts of all instruments of national power.
Center of Gravity Analysis
Commanders analyze a center of gravity thoroughly and in detail. Faulty conclusions drawn from hasty or abbreviated analyses can adversely affect operations, waste critical resources, and incur undue risk. Thoroughly understanding an operational environment helps commanders identify and target enemy centers of gravity
Decisive Points (Overview)
A decisive point is a geographic place, specific key event, critical factor, or function that, when acted upon, allows commanders to gain a marked advantage over an adversary or contribute materially to achieving success
Decisive Points (Examples)
Decisive points help commanders select clear, conclusive, attainable objectives that directly contribute to achieving the end state. Geographic decisive points can include port facilities, distribution networks and nodes, and bases of operation. Specific events and elements of an enemy force may also be decisive points
Decisive Points (Apply at Operational and Tactical Levels)
Decisive points apply at both the operational and tactical levels, shaping the design of operations. Combined arms maneuver and wide area security often focus on achieving a position of physical, temporal, or psychological advantage with respect to one or more decisive points. Decisive points enable commanders to seize, retain, or exploit the initiative
Lines of Operations and Lines of Effort
Lines of operations and lines of effort link objectives to the end state. Commanders may describe an operation along lines of operations, lines of effort, or a combination of both. The lines converge on the well-defined, commonly understood end state outlined in the commander’s intent
Lines of Operations (LoO)
A line of operations is a line that defines the directional orientation of a force in time and space in relation to the enemy and links the force with its base of operations and objectives. Lines of operations connect a series of decisive points that lead to control of a geographic or force-oriented objective. These lines tie tasks to the geographic and positional references in the area of operations
Lines of Effort (LoE)
A line of effort is a line that links multiple tasks using the logic of purpose rather than geographical reference to focus efforts toward establishing operational and strategic conditions. Lines of effort are essential to long-term planning when positional references to an enemy or adversary have little relevance. Commanders use lines of effort to describe how they envision their operations creating the intangible end state conditions
Combining Lines of Operations and Lines of Effort
Commanders use lines of operations and lines of effort to connect objectives to a central, unifying purpose. The difference between lines of operations and lines of effort is that lines of operations are oriented on physical linkages while lines of effort are oriented on logical linkages
The difference between lines of operations and lines of effort is that lines of operations are oriented on ____ linkages while lines of effort are oriented on ____ linkages.
o physical o logical
Operational Reach
Operational reach is the distance and duration across which a joint force can successfully employ military capabilities. Operational reach is a tether, the limit of which is a unit’s culminating point; it equalizes the natural tension between endurance, momentum, and protection
Operational Reach (Endurance)
Endurance refers to the ability to employ combat power anywhere for protracted periods. It stems from the ability to create, protect, and sustain a force, regardless of the distance from its base and the austerity of the environment. Endurance involves anticipating requirements and making the most effective, efficient use of available resources. Endurance gives Army forces their campaign quality
Operational Reach (Momentum)
Momentum comes from seizing the initiative and executing high-tempo operations that overwhelm enemy resistance. It is the temporal advantage derived from combined arms maneuver. Commanders control momentum by maintaining focus and pressure; they set a tempo that prevents exhaustion and maintains sustainment
Operational Reach (Protection)
Protection is an important contributor to operational reach. Commanders anticipate how enemy actions and environmental factors might disrupt operations and then determine the protection capabilities required to maintain sufficient reach. Protection closely relates to endurance and momentum. It also contributes to the commander’s ability to extend operations in time and space
Operational Reach (Extending Operational Reach)
Commanders and staffs consider operational reach to ensure Army forces accomplish their missions before culminating. Commanders continually strive to extend operational reach. They assess friendly and enemy force status and civil considerations, anticipate culmination, and plan operational pauses if necessary
____ comes from seizing the initiative and executing high-tempo operations that overwhelm enemy resistance.
Basing Types (Support Area)
When a base camp expands to include clusters of sustainment, headquarters, and other supporting units, commanders may designate a support area. This specific area facilitates the positioning, employment, and protection of resources required to sustain, enable, and control tactical operations. Area security operations focus on the protected base or base camp, allowing sustainment units to focus on their primary function
Basing Types (Intermediate Staging Base ISB)
An intermediate staging base (ISB) is a tailorable, temporary location used for staging forces, sustainment, or extraction into and out of an operational area. At the ISB, units are unloaded from intertheater lift, reassembled and integrated with their equipment, and then moved by intratheater lift into the area of operations. ISBs are established near, but normally not in, the joint operations area
Basing Types (Forward Operating Base FOB)
A forward operating base (FOB) may be used for an extended time and is often critical to wide area security. During protracted operations, it may be expanded and improved to establish a more permanent presence. Commanders weigh whether to expand and improve a FOB against the type and number of forces available to secure it, the expected length of the forward deployment, and the force’s sustainment requirements
Basing Types (Lodgment)
A lodgment is a designated area in a hostile or potentially hostile operational area that, when seized and held, makes the continuous landing of troops and materiel possible and provides maneuver space for subsequent operations. Typically, deploying forces establish lodgments near key points of entry in the operational area that offers central access to air, land, and sea transportation hubs
Basing Types (Mix of Types)
Army forces typically rely on a mix of bases and base camps to serve as intermediate staging bases (ISBs), lodgments, and forward operating bases (FOBs). These bases and base camps deploy and employ land power simultaneously to operational depth. They establish and maintain strategic reach for deploying forces and ensure sufficient operational reach to extend operations in time and space
1. A tailorable, temporary location used for staging forces 2. A designated area in a hostile or potentially hostile operational area 3. Facilitates the positioning, employment, and protection of resources 4. May be used for an extended time and are often critical to wide area security
1. Intermediate staging base 2. Lodgment 3. Support area 4. Forward operating base
Tempo is the relative speed and rhythm of military operations over time with respect to the enemy. It reflects the rate of military action. Exceeding the enemy’s tempo, controlling tempo, and varying it helps commanders keep the initiative during combat operations or rapidly establish a sense of normalcy during humanitarian crises
Exceeding the Enemy’s Tempo
During operations dominated by combined arms maneuver, commanders normally seek to maintain a higher tempo than the enemy does; a rapid tempo can overwhelm an enemy’s ability to counter friendly actions.
Controlling Tempo
Commanders control tempo throughout the conduct of operations. First, they formulate operations that stress the complementary and reinforcing effects of simultaneous and sequential operations. Second, they avoid unnecessary engagements. Third, they enable subordinates to exercise initiative and act independently. Controlling tempo requires both audacity and patience.
Varying Tempo
Army forces expend more energy and resources when operating at a high tempo. Commanders assess the force’s capacity to operate at a higher tempo based on its performance and available resources. An effective operational design varies tempo throughout an operation to increase endurance while maintaining appropriate speed and momentum. There is more to tempo than speed. While speed can be important, commanders mitigate speed with endurance.
For effective operations, tempo should be:
Phasing and Transitions
A phase is a planning and execution tool used to divide an operation in duration or activity. Transitions mark a change of focus between phases or between the ongoing operation and execution of a branch or sequel
Phasing helps in planning and controlling and may be indicated by time, distance, terrain, or an event. Phasing is critical to arranging all tasks of an operation that cannot be conducted simultaneously; it is the logical expression of the commander’s visualization in time. Within a phase, a large portion of the force executes similar or mutually supporting activities. Achieving a specified condition or set of conditions typically marks the end of a phase.
Simultaneous and Sequential Tasks
Simultaneity, depth, and tempo are vital to all operations, but they cannot always be attained to the degree desired. Commanders may limit the number of objectives and decisive points engaged simultaneously; they deliberately sequence certain actions to maintain tempo while focusing combat power at a decisive point in time and space. Commanders combine simultaneous and sequential tasks of an operation to establish the end state conditions.
Extending Operational Reach
Phasing can extend operational reach. Commanders only phase the operation when the force lacks the capability to accomplish the mission in a single action. Each phase should strive to: •Focus effort, •Concentrate combat power in time and space at a decisive point, and •Accomplish its objectives deliberately and logically.
Shifting priorities between the core competencies or among tasks involve a transition. Transitions require planning and preparation well before their execution to maintain the momentum and tempo of operations. The force is vulnerable during transitions, and commanders establish clear conditions for their execution
Transition Reasons
Reasons for transitions include: •An operation dominated by combined arms maneuver becomes one dominated by wide area security, •The delivery of essential services or retention of infrastructure needed for reconstruction, or •An unexpected change in conditions.
Transition Considerations
Commanders identify potential transitions during planning and account for them throughout execution. Considerations should include: •Forecasting in advance when and how to transition, •Arranging tasks to facilitate transitions, •Creating a task organization that anticipates transitions, •Rehearsing certain transitions, such as from defense to counterattack, and •Ensuring the force understands different rules of engagement during transitions.
Commanders should appreciate the time required to both plan for and execute transitions. Assessment ensures that commanders measure progress toward such transitions and take appropriate actions to prepare for and execute them
A ____ is a planning and execution tool used to divide an operation in duration or activity; a ____ marks change of focus between the ongoing operation and execution of a branch or sequel.
o phase o transition
o A culminating point is where a force no longer possesses the capability to continue its current form of operations. Culmination represents a crucial shift in relative combat power, and is relevant to both attackers and defenders at each level of war. Click each Read More button for more information o While conducting offensive tasks, the culminating point occurs when the force cannot continue the attack and must assume a defensive posture or execute an operational pause. While conducting defensive tasks, it occurs when the force can no longer defend itself and must withdraw or risk destruction. The culminating point is more difficult to identify when conducting stability tasks. o Two conditions can result in culmination: units being too dispersed to achieve wide area security and units lacking required resources to achieve the end state. While conducting defense support of civil authorities tasks, culmination may occur if forces must respond to more catastrophic events than they can manage simultaneously. That situation results in culmination due to exhaustion o Culmination may be a planned event. In such cases, the concept of operations predicts which part of the force will culminate, and the task organization includes additional forces to assume the mission. Typically, culmination is caused by direct combat actions or higher echelon resourcing decisions. It relates to the force’s ability to generate and apply combat power and is not a lasting condition
Which of these characteristics concerning culmination are true?
o It is more difficult to identify when conducting stability tasks. o It is caused by direct combat actions or higher echelon resourcing decisions. o It may be a planned event.
Objectives of Community Relations (Overview)
o NCOs and Soldiers of today can make a difference in the quality of Soldiers we will have tomorrow. The images we leave with the public plant seeds in the minds of our youth. Civilians who interact with the Army will eventually tell their children about the Army. Civilians who read and hear about what the Army is doing for the greater good will encourage or support their children if they choose to pursue a career in the Army. o Never underestimate the importance of community relations. The relationship between the Army and the public is a fundamental objective of the public affairs mission of contributing to the conditions that lead to confidence in America’s Army and its readiness to conduct operations in peacetime and war.
Importance of Community Relations:
Public opinion about the Army is greatly influenced by the actions of each command. What the command does for its local community or fails to do affects the perceptions and attitudes of the American people, upon whom the Army depends for its support and existence. This applies not only to official acts but also to unofficial acts, which by their commission or omission affects public opinion. This principle also applies to individual members of the Army, their dependents, and Army civilian employees in their personal contacts with the civilian community. Conducting community relations is a vital element to successful public affairs operations. Commanders and public affairs officers (PAO) must seize on key opportunities to gain and maintain links to internal and external publics
Objectives of Community Relations:
The objectives of Army community relations programs are to— •increase public awareness of the Army’s mission, policies •inspire patriotism •foster good relations with the various publics with which the Army comes into contact at home and abroad •maintain the Army’s reputation as a respected professional organization responsible for national security •support the Army’s recruiting and personnel procurement mission o An active approach to community relations requires thorough planning to develop specific objectives and courses of action and to identify potential obstacles. Community relations are also impacted by what is reported in the media, and thus are affected by the media facilitation and information strategy processes. Media facilitation is in turn related to the public affairs process of training by which the military community is trained in effective media relations practices. Community relations are also affected by a variety of command and community initiated events and activities o The goal of community relations is to develop an open, mutually satisfactory, cooperative relationship between the installation and the community. A successful community relations program improves the community’s perception of the Army and its appreciation for the installation and the Soldiers, family members, and civilians who are part of the installation. It is based on openness and honesty. Community relations objectives are community assistance and social improvements for the community in which the military must work and live
Which of the following are objectives of Army community relations programs?
o Support the Army’s recruiting and personnel procurement mission o Maintain the Army’s reputation as a respected professional organization responsible for national security o Inspire patriotism
Official Community Relations Programs (Historical Perspective)
Fort Eustis, VA, started a pilot program in 1992 called Operation Self-Enhancement to give high-risk middle school students the opportunity to visit the post and focus on careers, teamwork, and self-esteem. The program was so successful that it has become an annual event. Students receive light military training through an array of testable tasks and obstacles presented by members of a cadre team. This training helps students build their self-esteem and self-confidence, and affords them the opportunity to interact with positive role models. This also gives the students a better idea of what the Army is about
Official Community Relations Programs (Community Liaison)
Maintaining liaison through informal community relations councils can establish and maintain open communications with community officials and organizations. Councils can be charged with a variety of responsibilities, such as developing and promoting new ways for members of the command to actively participate in local community activities, capitalizing on opportunities for better relations and resolving potential and actual areas of conflict. Community liaison can also involve recognition of private citizens, local community leaders and citizen groups and organizations for their support of the Army by public service awards. Commands can further community liaison through membership in civic, business and professional organizations when the goals and objectives of those organizations are beneficial to the Army and their programs and projects are consistent with Army interest
Official Community Relations Programs (Exhibits)
Exhibits and displays of Army equipment, historical materials, models, devices, and other information are other community relations activities that can enhance understanding of the Army and the installation. They provide an excellent opportunity for interaction between our Soldiers and members of the local community, and can communicate the professionalism, readiness, and standards of our forces
Official Community Relations Programs (Physical Improvements)
Community service physical improvements focus on ensuring the physical infrastructure is as safe as possible and provides the fullest possible range of support to the population. These activities encompass a wide range of programs that do not compete with the services provided by contractors and businesses in the local civilian community. Examples of physical improvements are the following: •Construction projects that enhance the recreational, educational, environmental or cultural facilities of the community, such as building community picnic areas and hiking and biking trails; •Demolition projects that enhance the safety and appearance of the community, such as the removal of unstable playground equipment; and •Projects that create or enhance a safe, clean environment, such as the removal of debris from a community, wildlife area, or painting a community recreation center
Official Community Relations Programs (Speakers Bureaus)
Speakers are an effective means of developing understanding of the Army, stimulating patriotic spirit and informing the public about the activities of the installation, its units, and its Soldiers. Commanders should establish an installation speakers bureau and encourage Soldiers of all ranks to participate in the installation program
Official Community Relations Programs (Ceremonial Units)
The band, color guard, and other ceremonial units participating in public events are excellent ways to accomplish community relations objectives. These representatives of the Army serve as ambassadors to the civilian community and promote patriotism, interest in the Army, and awareness of the professionalism of our forces
Official Community Relations Programs (Open House)
Open houses may be scheduled to coincide with Armed Forces Day, the Army Birthday, service branch birthdays or anniversaries, which mark the history of the installation, a unit or community events, or in support of media day. An open house gives the local community an idea of who we are and what we do. They also have the opportunity to visit us on the installation-at our job site
Official Community Relations Programs (Town Hall Meetings)
o Town hall meetings provide installation commanders with an unfiltered means of communicating ideas to internal and external communities. This tool, for conveying important information and ideas about the command, cannot be underestimated in its effect and should not be planned haphazardly. Commanders, PAOs, and staff directorates must work together to produce an effective community relations product. o Prospective town hall meeting planners must understand and properly apply the correct type of town hall meeting. With a focus on the type of meeting and probable audience, the planner can begin the process of planning and conducting the event. As part of the plan, the planner must determine the likely audience for the meeting, including attendees from internal and external audiences. He/she must also evaluate possible attendance by key publics. The planner should develop a standing operating procedure (SOP) to ensure each mechanism of the process is in place for the scheduled event
Which program helps people to develop an understanding of the Army throughout the public community?
Speakers Bureaus
Unofficial Community Relations Programs
o Programs that involve direct contact with the civilian community are the most effective unofficial means of improving community relations. Commanders should encourage military and civilian personnel, and their family members to participate as private persons in local community activities such as educational, religious, organizational, recreational and youth projects. o Military personnel lending voluntary support during off-duty time to a community activity may be authorized to participate in uniform.
Commanders should encourage military and civilian personnel and their family members to participate as ____ persons in local community activities.
Contributions to Public Support
o The public’s relationship with a local reserve unit or an active duty installation necessitates that the potential implications of every installation activity, operation or major training activity be considered at all times o This is especially true during crisis management and mobilization, deployment and redeployment operations, even when the installation or reserve unit is not directly involved. It is also important when national debate is occurring about a politically sensitive or controversial issue related to the Department of the Army (DA) or Department of Defense (DOD). During such times, the information requirements of both internal and external audiences increase dramatically. Installation and reserve unit commanders and their staffs, advised and supported by their public affairs elements, need to develop effective public affairs programs that stress the open, honest, accurate, complete and timely release of information. o Meeting the information needs of external audiences through information strategies and products contributes to a sense of community identity, culture, cooperation and mutual interdependence. It eases concerns and distractions so the installation, armory or reserve center can concentrate on performing its mission of improving readiness and providing community support. o Because the Army is an agency of the U.S. government, its internal audiences, local community members, and members of the American public as a whole, have a right to know about its operations. More importantly, the Army has an obligation to keep these audiences informed.
Strategic Level of War
o Strategic public affairs operations help demonstrate the Army’s readiness to react promptly, decisively and appropriately, and are planned to clarify the linkage between national strategic goals and the Army mission. They are conducted to communicate Army goals in support of the mission, identify the desired end state and describe the conditions that constitute success. Effective strategic public affairs operations engender confidence in the force, establish credibility for the operation, and enhance the Army’s ability to achieve decisive victory. o Echelon of Command -National Command Authority (NCA), Joint Chiefs of Staff (JCS), Unified/Specified Commands o PA Section -Assistant Secretary of Defense for Public Affairs (OASD (PA)) o PA Units -Public Affairs Operations Center (PAOC)
Operational Level of War
Operational public affairs support the commander by providing an assessment of information environment in which the commander’s force will conduct operations. It identifies public affairs issues for the commander’s consideration, assists in evaluating the implications of current and future campaigns, operations and plans, and ensures public affairs guidance is integrated into the planning process. At the operational level, public affairs supports the commander’s requirement to meet the internal information needs and expectations of the force and also plays a critical role in facilitating media efforts to cover the operation. o Echelon of Command -Theater Army o PA Section -Commander-in-chief (CinC’s) PAO -Theater Army (TA) PAO o PA Units -Broadcast Operations Detachment (BOD)
Tactical Level of War
The interface between Soldiers on the ground and media in the area of operations is also vitally important. While the commander positions public affairs assets where needed, they should be in accordance with the situation and based on mission, enemy, troop, time, and time available (METT-T) analysis, to ensure success in the military information environment, public affairs personnel should be positioned as close to the battlefield as logistically and logically possible. Ideally, organic corps and division public affairs staffs can best serve the commander and the Soldiers when collocated with the commander. When augmented by the public affairs detachment, public affairs personnel can be effectively used in a split-based operation between forward command post and rear command post. o Echelon of Command -Corps, Joint Task Force (JTF), COSCOM -Division -Brigade o PA Section -Corps/JTF PAO -Embedded PAO o PA Units -Mobile Public Affairs Detachment (MPAD) -Public Affairs Detachment (PAD)
Meeting the ____ needs of external audiences through information strategies and products contributes to a sense of community identity, culture, cooperation, and mutual interdependence.
What level of war demonstrates the Army’s readiness to react promptly, decisively, and appropriately?
What level of war provides the commander an assessment of the information environment in which their force will conduct operations?
Roles and Responsibilities in Market Research
Since market research should address both business and technical considerations of a requirement, it requires the active participation of all acquisition team members. These considerations might include technical approaches, common quality controls, contract structure, and standard industry terms and conditions. Therefore, all members of the acquisition team should actively participate in the market research for their area of expertise
Which of the following do all acquisition team members consider?
o Quality controls o Contract structure o Technical approaches o Industry terms and conditions
Market Research Process
A market research step does not exist in the PBSA process. Market research is a continuous process that should be revisited throughout the acquisition life cycle
Market Research Process (Preaward)
Before any documents such as the performance work statement (PWS) are developed, market research should be conducted to obtain information about alternative solutions that may be available in the marketplace. Market research is also useful in developing, validating, and refining the Performance Requirements Summary (PRS) for the PWS
Market Research Process (Postaward)
Some commercial market areas and their practices are continually evolving, being reshaped, and responding to various market trends. For example, since information technology changes rapidly, market research conducted after contract award ensures the current strategy remains effective in terms of price, schedule, and technical excellence
Preaward market research actions;
o Obtain information about alternative solutions available in the marketplace. o Validate and refine the performance requirements summary (PRS)
Postaward market research actions;
o Respond to various market trends o Ensure a strategy is effective in terms of price, schedule, and technical excellence
Using Survey Answers
Use answers to survey questions to build: o Performance objectives, performance standards, and other elements in the PBSA process; and o Team knowledge about the specific industry for better articulating requirements in the PWS Keep in mind that contractors or vendors are not required to provide any information. Any furnishing of information is strictly voluntary. As a rule, information on standard commercial practices will not be proprietary. However, if vendors provide any information that they consider proprietary, agencies must afford the same protection to that information that they afford to proprietary information submitted as part of a proposal.
What will the answers to the survey questions help you build?
o Performance Standards o Performance Objectives
Performance Requirement Analysis. Developing a PWS involves a series of analysis-oriented steps to identify and define the requirement
Step 1. Define the desired outcomes Step 2. Conduct an outcome analysis Step 3. Conduct a performance analysis
Performance-Based Work Statement Step 1 – Define Desired Outcomes
Step 1: Define desired outcomes by listing what needs to be accomplished to satisfy the overall requirement. o Use an interview or brainstorming approach to determine all dependent variables and ensure all unique requirements have been considered. For some requirements, you may simply be reviewing previous requirements for validity and accuracy o Example: Custodial Requirement To satisfy the overall custodial requirement of the college, the following needs to be accomplished: •Clean the office administration building. •Clean the office training building. •Clean the office physics lab. o Example: Prehardware Development To satisfy the overall prehardware development requirement, the following needs to be accomplished: •Conceptual design, •Component development, •Design, •Fabrication, •Testing, and •Reporting requirements.
Performance-Based Work Statement Step 2 – Conduct an Outcome Analysis
Step 2: Conduct an outcome analysis to identify specific performance objectives for desired outcomes. o Performance objectives are the specific services you want performed and delivered by the contractor. The goal is to describe what is expected in accomplishing the requirement without defining how to accomplish it. o Use a tree diagram to: •Segregate desired outcomes into lower task levels, and •Link tasks into a logical flow o Low-Level Tasks Keep in mind that there may not have to be a performance objective for each task specified, especially at lower levels. Here, the performance objective may be captured at higher levels. You should go only as low as you have to in order to describe the requirement adequately; sometimes there is no need to go into greater detail. o Restrictive Performance Objectives Ensure each performance objective is necessary and carefully chosen. Try not to make any performance objective unduly burdensome or restrictive. Restrictive performance objectives are often pricey and may result in delivery of unnecessary requirements at a high price.
Performance-Based Work Statement Step 3 – Conduct a Performance Analysis
o Conduct a performance analysis to identify the appropriate performance standards and acceptable quality levels (AQLs). 1. Performance Standards A performance standard outlines the acceptable quality level or outcome for a particular objective. Some examples include: Standard-Response time, delivery time, and timeliness Description-Meeting deadlines and adherence to schedule Example-By November 14 Standard-Error rate Description-Number of errors allowed Example-Less than three errors Standard-Accuracy rate Description-Similar to error rates but most often a percentage Example-Less than 5% rework Standard-Completion milestone rate Description-X percent complete at a given date Example-50 percent completed by January 12 Standard-Cost control Description-Keeping within the target cost, which applies in cost-reimbursement contract arrangement Example-Within budget 2. Acceptable Quality Levels AQLs are thresholds which constitute a minimally acceptable performance level and are typically stated as a: •Percentage of required conformances, or •Number of permissible deviations. AQLs should be measurable. Although not every performance standard needs an AQL, omitting one or setting one close to 100 percent may increase pricing. Example: The dining facility must be clean 95 percent of the time, with one error allowed per week 3. Commercial Standards o You should use commercial standards when appropriate. Conducting market research will help you identify them. o Even if you have to establish your own performance standards, you should employ industry input or review agency standards to ensure measures are realistic and effective. This may be accomplished through: •Public meetings, •Public comment on proposed standards, or •Draft solicitations. o The contracting officer should serve as a business advisor to guide the team on the use of commercial standards.
Reporting to the Government
Objective-Provide timely notification on items requiring government action. Performance Standard-No more than 5 percent of the reports to appropriate government contact may be later than the specified time period, and no more than 1 percent of required situations may go unreported Assessment Method-Review operational logs, databases, or metrics. Objective-Deliver required reports. Performance Standard-No more than 5 percent of the reports to appropriate government contact may be later than the specified time period Assessment Method-Review reports and logs. Objective-Gather required information from callers. Performance Standard-Report every month on the statistical or other information that has been gathered. At least 90 percent of the information gathered must be relevant and accurate Assessment Method-Review records and reports, make test calls, and randomly verify the process on-site.
Which of the following are identified during a performance analysis?
o Performance standards o AQLs
The ____ will be the baseline for the ____.
What information should you consider including in the PWS that is not necessarily indicative of the future, but allows prospective contractors to predict manpower and supply needs more accurately?
o Projected workload data o Historical data
Historical and Projected Workload Data
Consider including historical and projected workload data and any surge requirements in the PWS. Although this information is not necessarily indicative of the future, it: o Allows prospective contractors to predict manpower and supply needs more accurately, and o Results in more realistic proposals Workload data is often available from existing management information systems, databases, and records. If workload data is not available, consider consulting with other agencies to obtain information on similar requirements. Some agencies incorporate in PWSs a requirement to maintain accurate workload data that can be useful for future contract work estimates
Types of Incentives
Incentives can be: •Monetary, nonmonetary, positive, or negative; and •Based on cost, schedule, or quality of performance. Regardless of the final composition and structure of the incentives, the goal is to encourage and motivate the best-quality performance
Types of Incentives (Cost-Based Incentives)
Performance incentives are designed to relate profit or fee to results achieved by the contractor in relation to identified cost-based targets. For services such as maintenance of equipment, typical measures would be mean time between failures (MTBF), mean time to repair (MTTR), or system availability rates. Regardless of the measure, performance incentives must be quantified and within a reasonable range
Types of Incentives (Award-Fee Contract Arrangements)
Using evaluation factors established in an award-fee plan, award-fee contracts are a tool for subjectively assessing contractor performance for a given evaluation period. They allow contractors to earn a portion, if not all, of an award-fee pool established at the beginning of the evaluation period. The agency unilaterally determines the amount of earned fee. In the context of PBSA, the award-fee evaluation will be based on a subjective assessment of how well the contractor meets or exceeds the applicable performance standards
Types of Incentives (Award-Term Contract Arrangements)
Award-term arrangements are very similar to award-fee contracts, however, instead of money as compensation for quality performance, the contractor is awarded additional periods of performance. Or, if performance is habitually below standard, the period of performance can be shortened. Award-term arrangements are most suitable when establishing of a long-term relationship is valuable both to the government and to the potential contractor. They differ from options in that award terms are based on a formal evaluation process and do not entail the regulatory procedures associated with priced options. Award-term arrangements are relatively new
Types of Incentives (Schedule Incentives)
Schedule incentives focus on getting a contractor to exceed delivery expectations. They can be defined in terms of calendar days or months, attaining or exceeding milestones, or meeting rapid-response or urgent requirements
Types of Incentives (Past Performance)
Past performance information can affect decisions to exercise options or to make future contract awards. Thus, past performance assessments are a quick way for motivating improved performance or to reinforce exceptional performance. Keep in mind that the integrity of a past performance evaluation is essential
When contemplating incentives, you should ask the following questions:
o Will enhanced performance provide additional value to the mission? o Which areas of the requirement would benefit most from enhanced performance? Which areas do not need added incentives (or which areas can do without them)? o How much is the agency willing to pay to achieve a level of performance beyond the performance standard? Is there a potential for using cost-sharing? o Do contractors within the particular industry prefer additional performance periods (award terms) in lieu of monetary incentives (award fees)? o Is the incentive affordable? Will it affect timelines or in a schedules in a positive way? Adversely? o Is the incentive consistent with the effort and contract value? o Is the incentive built upon performance objectives and standards? Is it realistic, measurable, and attainable? o Does the incentive clearly communicate the agency’s desires and expectations?
Remedies for Non-Performance When a contractor does not meet contract requirements, the contract should specify the terms, such as:
o Correction of the services at no cost, or o Reduction in contract cost. Acceptance procedures should provide the appropriate terms to address less-than-satisfactory performance. While a cost reduction may be appropriate, it may be more feasible to require the contractor to reperform the service at no additional cost. o In cases where commercial item acquisition procedures are used, agencies should rely on contractor existing quality assurance systems as a substitute for acceptance procedures. o The bottom line is that agencies should not pay for services that: •Do not conform, •Do not meet performance standards, or •Have not been properly rendered

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