Military Support to Governance Project
Dr. Karen Guttieri
Naval Postgraduate School
20 September, 2103 through 20 August, 2014
Objective
This project for US Army Special Warfare Center and School on military support to governance is
proposed to support professionalization of the Special Operations Civil Affairs Forces and the wider
community of Civil Affairs practitioners. The project design creates a multi-stakeholder dialogue and
analysis of requirements and competencies and fosters greater community understanding of current
issues and trends in military support to governance: provision of essential services, civil security, rule of
law, governance, economy and infrastructure, and homeland integration. We will analyze required
expertise qualifications, human behavior dynamics in support of conflict prevention and mitigation, and
technological enablers for stability and peace building. The project aims to enable Special Operations
soldiers to more effectively operate in the civil dimension of military operations across the spectrum of
conflict.
Background
Although the civil dimension of military operations is well-known to be vital to mission success in locales
as diverse as Afghanistan, the Balkans, Iraq, and the Horn of Africa, it remains little understood. Military
support to governance in particular has suffered from years of neglect due to several factors: the policy
and military communities – despite specific responsibilities under international law and US DoD polcy are skittish about the appearance of “occupation” and wary of “military government” responsibilities
that stem from it; the literature on governance is largely crafted by civilians with little attention to or
understanding of military norms and rules; the literature on military operations is generally focused on
kinetic missions with little attention to or understanding of civil domain factors. In short, the literatures
that are available do not effectively speak to one another. Moreover, the subject area is extremely
complex, as state-society relations and expectations vary from place to place, and technological
developments including new roles for social media in civic participation and empowerment, and new
ways of monitoring political governance are constantly being developed and/or refined.
Military support to governance, a significant knowledge gap in civil affairs, is as complex as it is essential.
The need for understanding military support to governance is particularly acute today, given the number
of missions and organizations now concerned with civil-military planning and execution. The
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information domain has become much more diverse with the advent of new technologies – hardware
and software – that enable people to communicate, organize, and share information. Civil Information
is a core task for Civil Affairs. Today, civil affairs are at the forefront of major developments in the
mission of the United States military and its relationship to civilian agencies.
The November 2005 DOD Directive 3000.05 for the first time identified stability operations as “a core
U.S. military mission,” that the military should be prepared to conduct “throughout all phases of conflict
and across the range of military operations, including in combat and non-combat environments.” This
message was affirmed in a 2009 DOD Instruction. DoD Directive 5100.01 on 21 December 2010 requires
the Army to be prepared to, when necessary and directed, “occupy territories abroad and provide for
the initial establishment of a military government, pending transfer of responsibility to other authority.”
Understanding of the socio-cultural-political dynamics is critical to success in “the human domain,”
defined as “the totality of the physical, cultural, social, and psychological environments that influence
human behavior. The success of unified action depends upon the application of capabilities that
influence the perceptions, understanding, and actions of relevant populations and decision makers.” (7
August, 2012 Special Warfare Center, Fort Bragg, ARCIC and USASOC meeting of General Officers).
In January 2013, the US National Defense Strategy, Sustaining U.S. Global Leadership: Priorities for 21st
Century Defense calls for the ability to “secure territory and populations and facilitate a transition to
stable governance on a small scale for a limited period using standing forces and, if necessary, for an
extended period with mobilized forces” as part of a primary mission to deter and defeat aggression (p. 4,
italics in original). Joint Publication 3-07 Stability Operations in September 2011 expects military
contributions to operations design and planning. The doctrine identifies the following stability
operations functions: security, humanitarian assistance, economic stabilization and infrastructure, rule
of law, and governance and participation. Civil Affairs perform key roles in stability operations, as JP 307 notes “A civil-military operations staff element (cell, branch, or directorate) and appropriate
employment of civil affairs (CA) forces provides connectivity and understanding that enables unity of
effort within the headquarters and among stakeholders.” (xi) The Joint Requirements Oversight Council
Recommendations of 1 December 2011 recommended Joint CA education “with the overarching goal of
equipping and transitioning CA officer from a tactical focus in support of Brigade to Corps level
formations to a strategic and operational focus in support of CCDR, Theater Special Operations
Command civil capacity focused on the following: governance, city management/infrastructure,
economics, public health and safety (civil security), essential services, rule of law, public education and
information.”
The Army Civil Affairs Proponent at the US Army Special Warfare Center and School is taking steps,
including the establishment of a new Institute for Military Support to Governance (IMSG) at Fort Bragg,
to address a deficit in critical areas for both Civil Affairs personnel. As the Special Operations Civil
Affairs force structure evolves and professionalizes, the SOF sponsor requires analysis of the functional
areas, qualifications and certifications for military support to governance, analysis of human behavior,
technological enablers, and strategic planning and strategy for military support to governance.
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The project proposed here supports the US Special Warfare Center and School initiatives to address
these gaps principally for Special Operations, but also the wider Civil Affairs community. In this
proposed project, the Principal Investigator (PI) will work closely with colleagues at NPS and the Institute
for Military Support to Governance, and premier civilian schools. NPS is a Department of Defense
institution. Our team itself embodies civil-military cooperation. Together we propose an analytic
working group to develop analysis that will advance community research and education goals.
Specific Tasks
The Principal Investigator will lead a cross-disciplinary team including experts from NPS, Stanford
University and other academic institutions in an analytic dialogue producing academic reports, articles
and monographs on military support to governance. The PI will regularly consult with the program
sponsor. The team will engage relevant joint, interagency and international stakeholders, for example,
the State Department Bureau of Conflict Stabilization, the USAID Office of Transition Initiatives, the US
Institute of Peace, the US Army Peacekeeping and Stability Operations University, the Joint Special
Operations University, and members of the non-governmental and academic communities. The project
team will consider throughout the changing environment and information communications technologies
that present both hazards and opportunities for practitioners.
We propose analysis on human behavior dynamics for conflict prevention and mitigation, technological
enablers of peace and stability operations, and the following military governance areas: essential and
humanitarian services, civil security, rule of law, governance, economy and infrastructure, and
homeland integration.
We propose analysis conducted by working groups on the following topics:
1. Analysis of the required areas of expertise, qualifications and certifications of IMSG governance
elements:
a. Provision of essential and humanitarian services
b. Civil security
c. Rule of law
d. Governance
e. Economy and infrastructure
f. Homeland integration
2. Human behavior dynamics in military support to governance
3. Technological enablers of military support to governance
4. Planning and integration for military support to governance
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Timeline/Deliverables:
The overall project timeline is built upon work that begins in September 2013 to develop a survey linked
to the remainder of the project. Within the constraints of the non-severable elements of the analysis,
the project is subject to mutually-agreed modification. Upon completion, the sponsor and NPS will
develop a timeline for future project initiatives.
1. 30 September, 2013 – preliminary literature review, draft survey, and agenda for October
project design review
o Logistics for webcasting, website, meetings,
o Stakeholder survey for required areas of expertise
2. 17 October 2013 - Project design review meeting
o Working with sponsor, identify specific project needs around objectives for the
team areas
o Determine goals for outputs such as journal articles, monographs, and case studies
that support the community
o Report of the project design review
3. November 2014 – Initiate monthly working group featuring expert papers on each of the
project areas
o Papers by leading experts
o Webcast for remote participation
o Record and post for later viewing
o Website to support project platform
4. August 2014 – Final report
5. Throughout: manage basic logistics
o Consult with and recruit appropriate experts from civilian and military academic,
lessons-learned and policy and communities to contribute to the project.
o Interim review discussions
As agreed by all parties, other related tasks that arise may be undertaken in the bounds of the time
commitment.
Points of Contact
Principal Investigator and Technical POC – Dr. Karen Guttieri, 93943 - Global Public Policy Academic
Group, 279 Stone Road Qrts. E Monterey, CA 93943 guttieri@nps.edu
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Selected References
Bennett, Andrew, and Colin Elman. "Case Study Methods in the International Relations Subfield."
Comparative political studies 40.2 (2007):170-195.
Coles, Harry L., and Albert K. Weinberg. Civil Affairs: Soldiers Become Governors. United States Army in
World War Ii. Washington, D.C.: Office of the Chief of Military History, Department of the Army,
1964.
Guttieri, Karen and Volker Franke. “Picking Up the Pieces: Are United States Officers Ready for Nation
Building?” Journal of Political and Military Sociology (forthcoming)
Guttieri, Karen and Jessica Piombo, editors. Interim Governments: Institutional Bridges to Peace and
Democracy? Washington DC: United States Institute of Peace Press, 2008.
Guttieri, Karen. “Unlearning War: U.S. Military Experience with Stability Operations.” In Organizational
Learning in the Global Context, edited by Leann Brown, Michael Kenney and Michael Zarkin.
London: Ashgate, September 2006.
Guttieri, Karen. "Gaps at the Seams of the Dayton Accord: A Role Play Scenario." In Case 279 Pew Case
Studies in International Affairs. Washington, DC: Institute for the Study of Diplomacy,
Georgetown University, 2005.
Gundersen, Jon et al., "Sharing the Space: A Study on Education and Training for Complex Operations."
Washington, DC: US Institute of Peace and Consortium for Complex Operations, 2008.
Guttieri, Karen and Jessica Piombo (eds). Interim Governments Washington, DC: US Institute of Peace
Press, 2008.
Hicks, Kathleen and Christine Wormuth. "The Future of U.S. Civil Affairs Forces: A Report of the CSIS
International Security Program" CSIS, February 2009.
Moore, Gregory. "Research Methods for International Relations Studies: Assembling an Effective
Toolkit" Paper presented at the annual meeting of the International Studies Association 48th
Chicago, Feb 28, 2007.
Ragin, Chales G. and Howard S. Becker. 1992. What Is a Case?: Exploring the Foundations of Social
Inquiry. University of Chicago Press.
Simon, H. A. 1973. The structure of ill-structured problems. Artificial Intelligence, 4: 181-202.
Schram, Sanford F. and Brian Caterino, Making political science matter : debating knowledge, research,
and method. New York : New York University Press, 2006.
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US Army HQDA ALARACT Message 161/2004, Implementation of Intermediate Level Education (ILE):
Officers may qualify for constructive or equivalent credit in lieu of ILE attendance based on duty
assignment history and past academic experiencesUS Office of the President, National Security
Presidential Directive / NSPD-44, “Management of Interagency Efforts Concerning
Reconstruction and Stabilization”, December 7, 2005
USAR CA Stabilization and Security Qualification course briefing, November 2008.
U.S. Department of State Office of the Coordinator for Reconstruction and Stabilization. "Essential Task
Matrix, 2005.”
U.S. Department of Defense. “Military Support for Stability, Security, Transition, and Reconstruction
(SSTR) Operations. Directive Number 3000.05.” November 28, 2005.
US Department of Defense Instruction 3000.05, "Military Support for Stability, Security, Transition, and
Reconstruction (SSTR) Operations", September 16, 2009
US Department of Defense. "Sustaining US Global Leadership: Priorities for 21st Century Defense."
edited by The White House. Washinton DC, January 2012.
US Joint Chiefs of Staff. "Joint Publication 3-07 Stability Operations." Washington DC, 29 September
2011.
US Joint Staff Joint Requirements Oversight Council. "Civil Affairs DOTMLPF Change Recommendation
(Dcr) Actions." Washington DC: The Joint Staff, 1 December 2011.
Yates, Lawrence A. The U.S. Military's Experience in Stability Operations, 1789-2005. Fort Leavenworth,
KS: Combat Studies Institute Press, 2006.
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Faculty Biographies
Dr. Karen Guttieri
Karen Guttieri is a faculty member with the Global Public Policy Academic Group at the Naval
Postgraduate School in Monterey, California, and a member of the Peace Innovation Lab at Stanford
University. Dr. Guttieri’s research maps the evolution of the American stability operations paradigm and
military learning as new technologies and normative standards for treatment of civilians have emerged.
Related research addresses dynamics of transitional processes, metrics for evaluating them, and
cognitive preparedness for such operations. This work is published in a co-edited volume on transitional
regimes, Interim Governments, and numerous articles and book chapters on topics such as civil affairs,
international law, cognitive psychology, and organizational learning. An award-winning teacher, Dr.
Guttieri has developed curricula on stabilization and reconstruction, including a seminar in Geneva on
leadership in complex operations. Dr. Guttieri developed and edited the Complex Operations Case Series
for the Center for Complex Operations. Recognizing that military understanding of globalization and
protection of civilian populations will be increasingly vital to human security, recent research projects
seek to refresh now standard debates around globalization and national security issues. Research on
anomie and insurgency is one such project; the study of prevention regimes and strategies is another. A
native of California, Dr. Guttieri received a Bachelor of Arts (BA) degree in Economics and International
Relations from San Francisco State University and earned Master of Arts (MA) and Doctor of Philosophy
(PhD) degrees in Political Science at the University of British Columbia in Vancouver, Canada. She joined
the Naval Postgraduate School in 2001 after conducting post-doctoral research at Stanford's Center for
International Security and Cooperation (CISAC).
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Dr. Marc J. Ventresca
Professor, Oxford University and Naval Postgraduate School
Marc Ventresca joined the GPPAG faculty in 2009 and has been affiliated with the Naval Postgraduate
School since 2006. Professor Ventresca conducts research in the area of global security, innovation, and
policy knowledge. He teaches technology strategy focusing on innovation and institutional
infrastructure at the University of Oxford. He also teaches leadership in complex operations
environments, with a focus on social network strategies and strategy implementation at Oxford and in
other global executive programs. Professor Ventresca earned his doctorate in sociology (focus on
organizations, culture, and economic institutions) from Stanford University in Palo Alto, California.
Margarita Quihuis
Co-Director, Peace Innovation Lab Stanford University
A social entrepreneur and mentor capitalist, Margarita Quihuis’s career has focused on innovation,
technology incubation, access to capital and entrepreneurship. Her accomplishments include being the
first director of Astia (formerly known as the Women’s Technology Cluster), a business incubator where
her portfolio companies raised $67 million in venture funding, venture capitalist, Reuters Fellow at
Stanford, and Director ofRI Labs for Ricoh Innovations. She is currently a member of the research team
at Stanford Persuasive Technology Lab, and co-directs the Stanford Peace Innovation Lab where she
conducts research on innovation, mass collaboration, persuasive technology & the potential of social
networks to change society for the better. Her projects have included the study of collaboration and
citizen engagement to foster government innovation –Manor Labs, bottoms-up post-disaster response
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and recovery – Relief 2.0 and advisory roles in citizen psy-op efforts such as the the Israel Loves
Iran and Romancing the Bordersocial media campaigns.
She is a recognized thought leader in the areas of innovation, emergent social behavior and technology
and has been part of Deloitte’s On Social Roundtable and Aspen Institute’s Dialogue on Open Innovation
and Dialogue on Diplomacy and Technology.
As Director of R I Labs for Ricoh Innovations she created a consumer focused innovation lab that focused
on new market opportunities from generational behavior (Millenials), cloud and mobile computing,
emerging social technologies, crowdsourcing and open innovation.
Dr. Maria Dubravka P. Pineda
Dr. Pineda has been on the faculty of NPS since 2008, developing and teaching the SSDCO program for
Civil Affairs officers. She teaches and works on Global Change and International Governance, Gender
Inclusion and Strategic Leadership. She also Teaches at UCLA Global Governance, as well as Strategic
Culture for the Intern-American Defense College. She is an international expert on Global Public Policy,
urban and regional development, Strategic Planning and Risk. She has an extensive and unique
interdisciplinary experience in Security, Energy Finance, Environment and Development with over 25
years of experience in public and private sector practice, as well as academia and military education. Dr.
Pineda has been a senior advisor to governments and industry on resource strategy, finance, regulatory
restructuring and devolution, in Europe as well as Latin America, and was appointed twice to the select
environmental advisory board f the US Export Import Bank, and served on the planning committees of
the Environmental Export Council in the US. She brings a unique perspectives from the public as well as
private sectors, with a multi-cultural approach enabled by her fluency 7 languages, and over 25 years of
strategic consulting and advisory expertise, in addition to academic and teaching engagements with
command of the current theoretical debates and empirical field experience.
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Paula J. Philbin
Paula J. Philbin entered government service in June 2000. In April 2002, Paula was detailed to the White
House Office of Homeland Security, where she served as Assistant Director of Policy and Plans for Tom
Ridge. She was part of the 8-member team that developed the background proposal for the
Department of Homeland Security, wrote the President’s National Strategy for Homeland Security, and
provided support to the White House Legislative Affairs and Communication Offices during the
Congressional debate on H.R.5005. In October 2002, she moved to the Transition Planning Office of the
Department of Homeland Security Science and Technology Directorate. Paula next served as a
Professional Staff member on the U. S. Senate Armed Services Committee from March 2003-December
2005, where she oversaw the Combating Terrorism, Homeland Defense, Chemical-Biological Defense,
Chemical Demilitarization, and Information Assurance portfolios.
Prior to entering government service, Paula was an assistant professor at Campbell University, Buies
Creek, NC) and at Mount Wachusett College (University of Massachusetts system-Gardner, MA). In both
positions she taught at offsite locations (Ft. Bragg, NC and Ft Devens, MA, respectively) in programs
specifically tailored to meet the needs of US Army Special Forces, Delta Force, and Military Intelligence
MOSs. Among the courses she developed and taught were Historical Perspectives on Political Terrorism,
Revolutions in the Twentieth Century, War and Peace in the Nuclear Age, and History of Warfare. She
also taught courses in The Middle East and Africa: An Area Study; 20th Century Middle East History;
America and the Middle East; and several courses in various topics in 20th Century Russian History. She
has also taught courses at the high school level in Massachusetts. More recently, she was a visiting
Professor at the University of Texas-San Antonio in 2006, where she taught Political Philosophy, and
Historical Perspectives on Political Terrorism.
Paula earned graduate and undergraduate degrees in Russian History and History, respectively, from
Worcester State University, Worcester, MA. She has done additional graduate work at the University of
Hawaii (Soviet Studies and Military History), Harvard University (Political Philosophy and International
Relations), The American University at Cairo (Islamic History) and The Hebrew University of Jerusalem
(American Foreign Policy in the Middle East). She has completed all course work in an approved plan of
study for a Ph.D. in American Foreign Policy and Middle Eastern Studies. She has been the recipient of a
Fulbright Fellowship (to Egypt), a National Endowment for the Humanities grant (to Harvard University)
and was a Dorot Fellow (Institute for the Study of Contemporary Jewry) and a Truman Fellow (The Harry
S Truman Institute for the Advancement of Peace) at the Hebrew University of Jerusalem.
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