Chapter 4 - Implementing Guidance
Provincial reconstruction teams (PRTs) are deployed to foster stabilization and support U.S. national goals. A PRT's actions, projects, and programs should all support these goals. To develop a multi-year strategy PRT members need to assess and understand the factors that cause instability and conflict in their area. The local causes of instability and conflict may be similar to those driving the national conflict, but there likely will be additional complexities and local aspects of the problem (e.g., local resource issues and relationships among local actors, tribes, sects, or groups). The PRT's job is to understand what is causing the instability and conflict in its area, so that its interventions can reduce conflict and promote a more stable environment.
Conflict is frequently conceptualized and assessed in terms of sources/causes, parties, actors, "drivers," and potential triggers. The sources and root causes of conflict can be described in terms of stakeholders' frustrated needs and grievances. The "drivers" of conflict are the dynamics of how those frustrations and grievances are expressed and manipulated. Triggers are often thought of as shocks to the system (a drought) or events (an election) that spark conflict. The PRT needs to assess the potential drivers of instability and conflict in its area of responsibility (AOR). These may include resource competition, sectarian animosity, ethnic violence, lack of meaningful economic opportunity, and culturally sanctioned vendettas. This assessment entails mapping the social, cultural, political, and economic networks that the population lives with daily. The mapping is not a doctoral dissertation, but it should touch on the key aspects of the environment that impact the level of conflict.
Within Afghanistan, the U.S. Agency for International Development's District Stability Framework (DSF) is used by most U.S. government (USG) departments (to include a number of military units), agencies, and bureaus, as well as by some of our international partners. The DSF helps these entities identify and take action to mitigate the root causes of the instability, as identified from the local population's perspective. See Annex B for a full description of DSF.
Whether a PRT uses the DSF or another system, the key element of any assessment is to listen to and engage with the local population including different levels of society and the various groups in the PRT's AOR.
Typical steps in an assessment include:
PRTs have used a variety of formal and informal planning processes, as well as short-term and long-term focus throughout their existence. However, a consensus is emerging that PRTs are most effective when they develop a multi-year plan of action based on their mission analysis and shaped by their analysis of what is driving instability and conflict in their area. The PRT plan should be:
Mitigate Conflict and Build Local Capacity
In the follow-on planning phase, PRT planners decide how to mitigate the dynamics that "drive" the conflict and strengthen the dynamics that mitigate or defuse the conflict. Factors that demonstrate local and regional capacity usually contribute to mitigation of the conflict. These factors include the legitimacy and effectiveness of the host government; its political, social, economic, and security institutions; and the resilience of civil society.
In most interventions in countries in crisis, the USG's goal is to achieve a sustainable peace where the host government is able to meet the fundamental needs of its citizens for security, social well-being, just governance, and economic livelihood. In many reconstruction and stabilization environments, this institutional capacity is limited or absent. Identifying the areas of need, mentoring key individuals, facilitating training, and focusing intervention are all potential tools.
Building governmental capacity above the provincial level is clearly beyond the scope of the PRT and is the responsibility of the national-level program; however, the PRT is best positioned to understand the specific needs within the province, district, or regional area within its responsibility and to use the information to design local programs and inform national-level planning. While every situation is different, local governments often need help developing processes for citizen input, prioritizing government programs and projects, implementing budgeting processes, and establishing public security capabilities. Keep in mind that not all institutions are governmental; building the capacity of traditional governing mechanisms and civil society (religious groups, business institutions, and political parties) may also be required.
Figure 4-1 provides a visual summary of planning process goals (to increase the capacity of local institutions to respond to local needs and wants, while reducing the drivers of conflict).
Figure 4-1. Planning process goals
Develop Long-Term Objectives
Once the PRT has assessed local needs, identified key drivers of conflict, and built connections to local institutions, it needs to develop intervention strategies to be implemented through an action plan. For example, if the two major tribes in a PRT's area are engaged in ongoing, low-level hostilities over historic grievances and competition for scarce water resources, the PRT may decide it needs a strategy for a peace-building process supported by a water management strategy to address this underlying source of conflict. Taken together, the major mission elements or objectives should be:
The PRT may not have the resources and tools to address larger and more complex issues. In these cases the PRT should flag these parts of the plan for consideration by the embassy and higher military headquarters. For example, the PRT may identify a corrupt and poorly trained police force as a significant factor undermining local support for the national government. Police training likely needs to be conducted as part of a national program and should be raised with the embassy. However, setting up a public safety commission to represent citizen interests in interactions with police authorities might be something the PRT could help with at the local level.
Develop an Implementation Plan with Tasks, Activities, and Actions
The implementation plan consists of the major mission elements or operational objectives the PRT has identified and the tasks, activities, and actions the PRT should undertake to achieve them. In the example involving competition over water resources, the PRT may want to seek input from a hydrologist. The hydrologist might recommend a regional solution, which might be expensive and need to be referred for higher-level action. The hydrologist might also identify smaller local projects that would improve lives in the short term and provide space for the peace-building process to proceed. The completion of these projects might be identified by the PRT as essential tasks. Essential tasks should be:
The action plan should identify which agency or PRT member has the lead for a specific program or action and the source of funding. However, not all the essential tasks involve expending program funds; some may involve diplomatic, political, or other initiatives undertaken by the PRT's leadership and advisers. The plan's time frame varies according to the circumstances, the nature of U.S. involvement, and the overall strategic plan but should be at least two years long to provide continuity of PRT personnel. While actions and programs for the current year will need to be identified, the MME/objectives will likely be multi-year.
The PRT constantly needs to balance conflicting goals. Is effective direct intervention in local disputes more important than efforts to increase the capacity of local security forces? Should limited reconstruction funds be used to build necessary government infrastructure or to increase the general population's general welfare? (Are police stations more important than sewage systems?)
There will always be trade-offs in the planning process, including staffing and budgetary cycles, limits on uses of funds, national versus provincial imperatives, different time frames for achieving immediate security requirements versus stability, and other constraints that will affect what can be done. But a good planning process and framework leads to the best use of resources within the inevitable constraints.
Given the changing nature and stability dynamics of the AOR, the implementation plan should also identify triggers for contingency plan activation to support local and national government response. For instance, natural disasters significantly strain nascent government capacity. The ability of the local government to respond to natural disasters can reduce resulting instability and impact the population's perception of government legitimacy. A PRT plan with goals, objectives, and action officers to support provincial government response can help the provincial government address short-term stability requirements while also addressing long-term capacity building.
Measuring Performance (Metrics)
PRTs will be asked to assess and report on their progress. This assessment will probably include the development of indicators or metrics as part of a process called performance monitoring. Performance monitoring involves the repeated review of reported information to inform decision making. The reported information is a combination of metrics, other information gathered, and the review and analysis of that information. The purposes of performance monitoring are to gather and present systematic, analytic information for the PRT's own use in assessing the impact and effects of its efforts; to inform decision makers up the chain of command; and to report to Congress and the public. The best time to consider how to measure the success of the PRT's plan is while the plan is being developed. Note that there also will be demands from higher agency levels for assessments that may or may not track those of the PRT.
Impact assessment can be difficult in a reconstruction and stabilization context - the full impact of a PRT's activities may not become clear for some time, and public databases that might track changes in indicators over time may not exist or be reliable. Nonetheless, it is important that the PRT assess its output - the immediate effect of its activities - and the short- and long-term impact of these activities. Ultimately, the impact is what matters. Output is usually easiest to measure, (e.g., number of wells drilled, schools built, and police trained), but it does not measure the effects the PRT is trying to achieve. Outcomes or intermediate effects (how many have access to clean water, growth in school enrollment, public perception of police) and longer-term impacts of activities on the overall situation (impact of wells on local power structure, perception of education's impact on social values or economic prospects, impact of police training on public security, and support for the government) may require more creativity. A few clear, insightful measures are better than many indirect or less obvious ones. Examples of indicators include:
While output indicators can help PRTs track their efforts, when USG planners and policymakers use the terms "performance" or "results," they are referring to those objectives nearer the top - at least at the outcome level.
PRT staff is subject to a high rate of turnover. Civilians generally serve 12 months but often have gaps between assignments, while core military members serve 9 months. Unfortunately, changes in personnel often result in changes in PRT direction, objectives, and programs. Without a long-term plan, new arrivals are left to improvise their own programs, drawing on their own expertise, which results in choppy and ineffective PRT programming that wastes time and resources.
A long-term common operating picture and strategic implementation plan assists with continuity. During their predeployment training, PRT members should strive to understand the specific area analysis and implementation plan provided by their predecessors. The new PRT should be aware of the causes of instability and conflict; strategies and implementation interventions, programs, activities, and measures of effectiveness as they relate to its work; the objectives of the maneuver brigade and other PRTs in the particular region; and the longer term USG provincial goals and objectives. In addition to forwarding the planning documents, during the last month of deployment, PRTs and military teams should complete the following tasks:
Funding Guidance and Authorities
Funding for activities within the PRT AOR will likely come from several sources. Examples include: Economic Support Funds (ESF), Quick Response Funds (QRF), Commander's Emergency Response Program (CERP), and International Narcotics Control and Law Enforcement (INCLE).
In many cases, such as ESF, QRF, and INCLE, the PRT is likely to play an oversight or supporting role. In Afghanistan, the CERP provides military commanders with funds they can directly program and disburse. Legal restrictions on the use of certain funds and the existing sanctions on the country in question require the separate management of these funds by the organization responsible for their expenditure. In addition, constraints, including prohibitions on certain uses of the funds, must be taken into account in planning how and whether the PRT will undertake specific activities.
In cases where a PRT has discretionary authority in funding, PRT leadership must be fully aware of the guidelines and authorities that are attached to each funding source and determine the best use of these funds. This responsibility includes which funds are best used for specific projects. Balancing this multitude of considerations is an essential task of the PRT's interagency leadership to ensure an effective, efficient, and sustainable plan.